3–8–04 Monday Vol. 69 No. 45 Mar. 8, 2004

Pages 10595–10900

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The FEDERAL REGISTER (ISSN 0097–6326) is published daily, Monday through Friday, except official holidays, by the Office of the Federal Register, National Archives and Records Administration, Washington, DC 20408, under the Federal Register Act (44 U.S.C. Ch. 15) and the regulations of the Administrative Committee of the Federal Register (1 CFR Ch. I). The Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402 is the exclusive distributor of the official SUBSCRIPTIONS AND COPIES edition. Periodicals postage is paid at Washington, DC. The FEDERAL REGISTER provides a uniform system for making PUBLIC available to the public regulations and legal notices issued by Subscriptions: Federal agencies. 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Contents Federal Register Vol. 69, No. 45

Monday, March 8, 2004

Agriculture Department Education Department See Animal and Plant Health Inspection Service NOTICES See Forest Service Grants and cooperative agreements; availability, etc.: Elementary and secondary education— Air Force Department Early Reading First Program, 10682–10686 NOTICES Safe and Drug-Free Schools Programs— Environmental statements; notice of intent: Alcohol and other drug prevention models on college Nevada Test and Training Range; used depleted uranium campuses, 10686–10688 targets removal, 10682 Election Assistance Commission Animal and Plant Health Inspection Service NOTICES RULES Meetings; Sunshine Act; republication, 10688 Plant-related quarantine, domestic: Asian longhorned beetle, 10599–10601 Employment and Training Administration PROPOSED RULES NOTICES Exportation and importation of animals and animal Adjustment assistance: products: Alfmeier Corp., 10756–10757 Bovine spongiform encephalopathy; minimal risk regions American Lock Co., 10757 and importation of commodities, 10633–10636 Bloomsburg Mills, Inc., 10757 Bremner Inc., 10757 Arts and Humanities, National Foundation Cardinal Glass Industries, Inc., 10757–10758 See National Foundation on the Arts and the Humanities Electric Motor Repair Center, 10758 Broadcasting Board of Governors Gates Corp., 10758–10759 NOTICES Geotrac, Inc., 10759 Meetings; Sunshine Act, 10654–10655 Harriet and Henderson Yarns, Inc., 10759 Johnson Controls, Inc., 10759 Centers for Disease Control and Prevention Kincaid Furniture Co., Inc., 10759 NOTICES KS Bearings, Inc., 10760 Agency information collection activities; proposals, Motion Industries, Inc., 10760 submissions, and approvals, 10695 Oxford Drapery, Inc., 10760 Meetings: Parsons Diamond Products, Inc., 10760 Disease, Disability, and Injury Prevention and Control Remington Products Co., L.L.C., 10760 Special Emphasis Panels, 10695 Springs Industries, Inc., 10760–10761 TDK Texas Corp., 10761 Children and Families Administration NOTICES Employment Standards Administration Grants and cooperative agreements; availability, etc.: NOTICES Special State Technical Assistance Program, 10695–10702 Agency information collection activities; proposals, Meetings: submissions, and approvals, 10761–10762 Mentoring Children of Prisoners Program; technical assistance, 10702–10703 Energy Department Native American programs: NOTICES Social and economic development strategies and Agency information collection activities; proposals, language and environmental programs; clarifications submissions, and approvals, 10688–10689 and modifications, 10703–10711 Electricity export and import authorizations, permits, etc.: Excelon Generation Co., LLC, 10689–10690 Coast Guard Grants and cooperative agreements; availability, etc.: RULES Biological and Environmental Research Office programs— Drawbridge operations: Climate Change Research Program Integrated Virginia, 10615–10616 Assessment, 10690–10692 Ports and waterways safety: Meetings: Susquehanna River— Environmental Management Site-Specific Advisory Three Mile Island Generating Station; security zone, Board— 10616–10618 Northern New Mexico, 10692 High Energy Physics Advisory Panel, 10693 Commerce Department See International Trade Administration Environmental Protection Agency See National Institute of Standards and Technology PROPOSED RULES See National Oceanic and Atmospheric Administration Superfund program: National oil and hazardous substances contingency Defense Department plan— See Air Force Department National priorities list update, 10646–10653

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NOTICES Potassium iodide shelf life extension, 10725 Grants, State and local assistance: Grantee performance and evaluation reports— Forest Service Various States, 10693 NOTICES Meetings: Executive Office of the President Lake Tahoe Basin Federal Advisory Committee, 10654 See Presidential Documents Resource Advisory Committees— Rogue/Umpqua, 10654 Federal Aviation Administration Siskiyou County, 10654 RULES Class D airspace, 10603–10604 Health and Human Services Department Class E airspace, 10604–10612 See Centers for Disease Control and Prevention IFR altitudes, 10612–10614 See Children and Families Administration Standard instrument approach procedures, 10614–10615 See Food and Drug Administration PROPOSED RULES See Health Resources and Services Administration Airworthiness directives: See National Institutes of Health Cessna, 10641–10646 See Substance Abuse and Mental Health Services McDonnell Douglas, 10636–10640 Administration NOTICES Agency information collection activities; proposals, Health Resources and Services Administration submissions, and approvals, 10806–10807 NOTICES Exemption petitions; summary and disposition, 10807– Agency information collection activities; proposals, 10808 submissions, and approvals, 10725–10726 Meetings: Aviation Rulemaking Advisory Committee, 10808 Homeland Security Department See Coast Guard Federal Emergency Management Agency See Federal Emergency Management Agency NOTICES PROPOSED RULES Disaster and emergency areas: Immigration: Oregon, 10737 Aliens— Asylum claims made in transit and at land border Federal Reserve System ports-of-entry; U.S.-Canada agreement; RULES implementation, 10620–10627 Availability of funds and collection of checks (Regulation CC): Interior Department Check processing operations restructuring; amendments, See Fish and Wildlife Service 10602–10603 See Land Management Bureau Credit by brokers and dealers (Regulation T): See Minerals Management Service Foreign margin stocks; list, 10601–10602 NOTICES NOTICES National Environmental Policy Act; implementation: Banks and bank holding companies: Departmental policies and procedures, 10865–10887 Change in bank control, 10693 Formations, acquisitions, and mergers, 10694 Internal Revenue Service Permissible nonbanking activities, 10694 NOTICES Agency information collection activities; proposals, Federal Retirement Thrift Investment Board submissions, and approvals, 10811–10812 NOTICES Meetings; Sunshine Act, 10694 International Boundary and Water Commission, United States and Mexico Fish and Wildlife Service NOTICES NOTICES Environmental statements; availability, etc.: Agency information collection activities; proposals, Hidalgo County, TX; Lower Rio Grande Flood Control submissions, and approvals, 10737–10739 Project, 10763

Food and Drug Administration International Trade Administration RULES NOTICES Medical devices: Antidumping: Class II devices— Automotive replacement glass windshields from— Arrhythmia detector and alarm; reclassification and China, 10655–10656 special controls; correction, 10615 Carbon-quality steel plate products from— NOTICES Korea, 10656–10657 Human drugs: Mechanical transfer presses from— Drug products withdrawn from sale for reasons other Japan, 10657–10659 than safety or effectiveness— Preserved mushrooms from— LOVENOX (enoxaparin sodium), 10711–10712 India, 10659–10666 Reports and guidance documents; availability, etc.: Stainless steel bar from— FDA Modernization Act of 1997— India, 10666–10674 Recognized Standards List modifications (Recognition Wax and wax/resin thermal transfer ribbons from— List Number: 009), 10712–10725 France, 10674–10677

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International Trade Commission National Archives and Records Administration NOTICES NOTICES Import investigations: E-Government Act (2002) implementation; Electronic Ironing tables and parts from— Records Policy Working Group; meeting and comment China, 10753–10755 request, 10764 U.S.-Australia Free Trade Agreements; potential economywide and selected sectoral effects, 10755– National Foundation on the Arts and the Humanities 10756 NOTICES Meetings: Arts and Humanities, President’s Committee, 10765 Justice Department Arts National Council, 10765 PROPOSED RULES Executive Office for Immigration Review: National Institute of Standards and Technology Asylum claims made by aliens arriving from Canada at NOTICES land border ports-of-entry, 10627–10633 Inventions, Government-owned; availability for licensing, 10677 Labor Department Meetings: See Employment and Training Administration Information Security and Privacy Advisory Board, 10677– See Employment Standards Administration 10678 NOTICES Grants and cooperative agreements; availability, etc.: National Institutes of Health Combating child labor, etc., through education in— NOTICES Various countries, 10756 Meetings: National Institute of Arthritis and Musculoskeletal and Land Management Bureau Skin Diseases, 10726–10727 NOTICES National Institute of Child Health and Human Meetings: Development, 10727 Caribou-Targhee National Forest; Grays River District National Institute of Mental Health, 10727 Office, 10739–10740 National Institute on Drug Abuse, 10726 Opening of public lands: Scientific Review Center, 10727–10730 California, 10740 National Oceanic and Atmospheric Administration Public land orders: NOTICES Idaho, 10740–10741 Meetings: Realty actions; sales, leases, etc.: Caribbean Fishery Management Council, 10678–10679 Arizona, 10741 North Pacific Fishery Management Council, 10679 Michigan, 10741–10742 Pacific Fishery Management Council, 10679–10680 New Mexico, 10742–10743 Permits: Recreation management restrictions: Marine mammals, 10680–10682 Lower Blackfoot River Corridor, Missoula County, MT; supplementary rules, 10743–10744 Nuclear Regulatory Commission NOTICES Maritime Administration Meetings: NOTICES Reactor Safeguards Advisory Committee, 10766 Coastwise trade laws; administrative waivers: Applications, hearings, determinations, etc.: GREY GHOST, 10808 Nuclear Management Co., LLC, 10765–10766

Presidential Documents Medicare Payment Advisory Commission EXECUTIVE ORDERS NOTICES Government agencies and employees: Meetings, 10763 Rates of pay; further adjustment (EO 13332), 10889– 10900 Mexico and United States, International Boundary and ADMINISTRATIVE ORDERS Water Commission China; ductile iron waterworks fittings imports See International Boundary and Water Commission, United (Memorandum of March 3, 2004), 10597–10598 States and Mexico Pakistan; cooperation in global war on terrorism (Presidential Determination 2004-25 of February 26, Minerals Management Service 2004), 10595 NOTICES Research and Special Programs Administration Agency information collection activities; proposals, NOTICES submissions, and approvals, 10744–10753 Agency information collection activities; proposals, submissions, and approvals, 10808–10811 National Aeronautics and Space Administration NOTICES Securities and Exchange Commission Meetings: NOTICES Space Exploration Policy President’s Commission on Public Utility Holding Company Act of 1935 filings, 10768– Implementation, 10764 10773

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Self-regulatory organizations; proposed rule changes: Transportation Department American Stock Exchange LLC, 10773–10774 See Federal Aviation Administration Boston Stock Exchange, Inc., 10774 See Maritime Administration Chicago Board Options Exchange, Inc., 10774–10775 See Research and Special Programs Administration National Association of Securities Dealers, Inc., 10775– 10789 Treasury Department National Securities Clearing Corp., 10789–10791 See Internal Revenue Service New York Stock Exchange, Inc., 10791–10803 Pacific Exchange, Inc., 10803–10806 Veterans Affairs Department Applications, hearings, determinations, etc.: RULES Money Market Obligations Trust et al., 10766–10768 Organization, functions, and authority delegations: Property management contractor, 10618–10619 State Department NOTICES Meetings: Separate Parts In This Issue Public Diplomacy, U.S. Advisory Commission, 10806 Shipping Coordinating Committee, 10806 Part II Passport travel restrictions: Health and Human Services Department, Substance Abuse Libya, 10806 and Mental Health Services Administration, 10813– 10853 Substance Abuse and Mental Health Services Administration Part III NOTICES Interior Department, 10865–10887 Agency information collection activities; proposals, submissions, and approvals, 10730–10731 Part IV Grants and cooperative agreements; availability, etc.: Executive Office of the President, Presidential Documents, Discretionary grant programs— 10889–10900 Announcement changes, 10813–10814 Standard best practices planning and implementation announcement changes, 10838–10852 Standard infrastructure announcement changes, 10827– Reader Aids 10839 Consult the Reader Aids section at the end of this issue for Standard services announcement changes, 10813– phone numbers, online resources, finding aids, reminders, 10828 and notice of recently enacted public laws. Standard service-to-science announcement changes, To subscribe to the Federal Register Table of Contents 10851–10863 LISTSERV electronic mailing list, go to http:// Mental Health Services Center— listserv.access.gpo.gov and select Online mailing list Statewide Consumer Network Grants, 10731–10734 archives, FEDREGTOC-L, Join or leave the list (or change Statewide Family Network Grants, 10734–10737 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Executive Orders: 13322 (Superseded by EO 13332)...... 10891 13332...... 10891 Administrative Orders: Memorandum of March 3, 2004 ...... 10597 Presidential Determinations: No. 2004-25 of February 26, 2004 ...... 10595 7 CFR 301...... 10599 8 CFR Proposed Rules: 208...... 10620 212...... 10620 1003...... 10627 1208...... 10627 1212...... 10627 1240...... 10627 9 CFR Proposed Rules: 93...... 10633 94...... 10633 95...... 10633 12 CFR 220...... 10601 229...... 10602 14 CFR 71 (15 documents) ...... 10603, 10604, 10605, 10606, 10608, 10609, 10610, 10611, 10612 95...... 10612 97...... 10614 Proposed Rules: 39 (3 documents) ...... 10636, 10638, 10641 21 CFR 870...... 10615 33 CFR 117...... 10615 165...... 10616 38 CFR 36...... 10618 40 CFR Proposed Rules: 300...... 10646

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Federal Register Presidential Documents Vol. 69, No. 45

Monday, March 8, 2004

Title 3— Presidential Determination No. 2004–25 of February 26, 2004

The President Determination that the Government of Pakistan is Cooper- ating with the United States in the Global War on Terrorism

Memorandum for the Secretary of State

Consistent with the authority vested in me by the Constitution and laws of the United States, including the Emergency Supplemental Appropriations Act for Defense and for the Reconstruction of Iraq and Afghanistan, 2004 (Public Law 108–106)(the ‘‘Act’’), I hereby determine for the purposes of that Act that the Government of Pakistan is cooperating with the United States in the Global War on Terrorism. You are authorized and directed to report this determination to the Congress and to arrange for its publication in the Federal Register. W THE WHITE HOUSE, Washington, February 26, 2004.

[FR Doc. 04–5274 Filed 3–5–04; 8:45 am] Billing code 4710–10–P

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Memorandum of March 3, 2004

Presidential Determination on Imports of Certain Ductile Iron Waterworks Fittings from the People’s Republic of China

Memorandum for the United States Trade Representative

Consistent with section 421 of the Trade Act of 1974, as amended (19 U.S.C. 2451), I have determined the action I will take with respect to the affirmative determination of the United States International Trade Com- mission (USITC Investigation TA–421–4) regarding imports of certain ductile iron waterworks fittings (pipe fittings) from China. After considering all relevant aspects of the investigation, I have determined that providing import relief for the U.S. pipe fittings industry is not in the national economic interest of the United States. In particular, I find that the import relief would have an adverse impact on the United States economy clearly greater than the benefits of such action. The facts of this case indicate that imposing the USITC’s recommended tariff-rate quota remedy or any other import relief available under section 421 would be ineffective because imports from third countries would likely replace curtailed Chinese imports. The switch to third country imports could occur quickly because the major U.S. importers already import substantial quantities from countries such as India, Brazil, Korea, and Mexico. Because importers’ existing inventories of imports will likely cover demand for ap- proximately 6 to 12 months from the imposition of import relief, a switch from China to alternative import sources would not likely lead to significant additional demand for domestically produced pipe fittings, even accounting for a time lag in making that switch. Under these circumstances, import relief would provide no meaningful benefit to domestic producers. In addition, import relief would cost U.S. consumers substantially more than the increased income that could be realized by domestic producers. Indeed, the USITC estimated that its recommended remedy would generate a negative net domestic welfare effect of between $2.3 million and $3.7 million in the first year alone. While not necessary in reaching my determination that imposing import relief would have an adverse impact on the United States economy clearly greater than the benefits, it is also worth noting two additional points: • First, evidence suggests that domestic producers enjoy a strong competitive position in the U.S. market, and in fact the largest do- mestic producer recently announced price increases nationwide ranging from 8 to 35 percent. The two smaller domestic producers and the major U.S. importers have publicly indicated that they would follow these price increases. • Second, in 2002 and 2003, imports of this product have been rel- atively stable in volume terms and have shown a slight decline in value terms.

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The circumstances of this case make clear that the U.S. national economic interest would not be served by the imposition of import relief under section 421. I remain fully committed to exercising the important authority granted to me under section 421 when the circumstances of a particular case warrant it. You are authorized and directed to publish this memorandum in the Federal Register. W THE WHITE HOUSE, Washington, March 3, 2004.

[FR Doc. 04–5299 Filed 3–5–04; 8:45 am] Billing code 3190–01–P

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Rules and Regulations Federal Register Vol. 69, No. 45

Monday, March 8, 2004

This section of the FEDERAL REGISTER Please state that your comment refers to into tree trunks and branches, causing contains regulatory documents having general Docket No. 04–002–1. heavy sap flow from wounds and applicability and legal effect, most of which • E-mail: Address your comment to sawdust accumulation at tree bases. are keyed to and codified in the Code of [email protected]. Your They feed on, and over-winter in, the Federal Regulations, which is published under comment must be contained in the body 50 titles pursuant to 44 U.S.C. 1510. interiors of trees. Adult beetles emerge of your message; do not send attached in the spring and summer months from The Code of Federal Regulations is sold by files. Please include your name and round holes approximately three- the Superintendent of Documents. Prices of address in your message and ‘‘Docket eighths of an inch in diameter (about the new books are listed in the first FEDERAL No. 04–002–1’’ on the subject line. size of a dime) that they bore through REGISTER issue of each week. • Agency Web Site: Go to http:// branches and trunks of trees. After www.aphis.usda.gov/ppd/rad/ emerging, adult beetles feed for 2 to 3 cominst.html for a form you can use to days and then mate. Adult females then DEPARTMENT OF AGRICULTURE submit an e-mail comment through the lay eggs in oviposition sites that they APHIS Web site. make on the branches of trees. A new Animal and Plant Health Inspection • Federal eRulemaking Portal: Go to Service generation of ALB is produced each http://www.regulations.gov and follow year. If this pest moves into the the instructions for locating this docket 7 CFR Part 301 hardwood forests of the United States, and submitting comments. the nursery, maple syrup, and forest [Docket No. 04–002–1] Reading Room: You may read any product industries could experience comments that we receive on this severe economic losses. In addition, Asian Longhorned Beetle; Quarantined docket in our reading room. The reading urban and forest ALB infestations will Areas room is located in room 1141 of the result in environmental damage, USDA South Building, 14th Street and aesthetic deterioration, and a reduction AGENCY: Animal and Plant Health Independence Avenue, SW., Inspection Service, USDA. in public enjoyment of recreational Washington, DC. Normal reading room spaces. ACTION: Interim rule and request for hours are 8 a.m. to 4:30 p.m., Monday comments. through Friday, except holidays. To be Addition to Quarantined Area sure someone is there to help you, SUMMARY: We are amending the Asian please call (202) 690–2817 before The ALB regulations in 7 CFR 301.51– longhorned beetle regulations by adding coming. 1 through 301.51–9 (referred to below as a portion of Cook County, IL, to the list Other Information: You may view the regulations) restrict the interstate of quarantined areas and restricting the APHIS documents published in the movement of regulated articles from interstate movement of regulated Federal Register and related quarantined areas to prevent the articles from those areas. This action is information, including the names of artificial spread of ALB to noninfested necessary to prevent the artificial spread groups and individuals who have areas of the United States. Portions of of the Asian longhorned beetle to commented on APHIS dockets, on the the State of Illinois, a portion of Hudson noninfested areas of the United States. Internet at http://www.aphis.usda.gov/ County in the State of New Jersey, and We are also removing other portions of ppd/rad/webrepor.html. portions of New York City and Nassau Cook County, IL, and portions of FOR FURTHER INFORMATION CONTACT: Mr. and Suffolk Counties in the State of DuPage County, IL, from the list of Michael B. Stefan, Director of New York are already designated as quarantined areas and removing Emergency Programs, Pest Detection quarantined areas. restrictions on the interstate movement and Management Programs, PPQ, Recent surveys conducted in Illinois of regulated articles from these areas. APHIS, 4700 River Road Unit 134, by inspectors of State, county, and city We have determined that the Asian Riverdale, MD 20737–1236; (301) 734– agencies and by inspectors of the longhorned beetle no longer presents a 4387. Animal and Plant Health Inspection risk of spread from these parts of Cook SUPPLEMENTARY INFORMATION: Service (APHIS) have revealed that an and Dupage Counties, IL, and that the infestation of ALB has occurred outside quarantine and restrictions are no longer Background the existing quarantined area in necessary. The Asian longhorned beetle (ALB) Chicago, IL. Officials of the U.S. DATES: This interim rule was effective (Anoplophora glabripennis), an insect Department of Agriculture and officials March 3, 2004. We will consider all native to China, Japan, Korea, and the of State, county, and city agencies in comments that we receive on or before Isle of Hainan, is a destructive pest of Illinois are conducting intensive survey May 7, 2004. hardwood trees. It attacks many healthy and eradication programs in the infested ADDRESSES: You may submit comments hardwood trees, including maple, horse area, and the State of Illinois has by any of the following methods: chestnut, birch, poplar, willow, and quarantined the infested area and is • Postal Mail/Commercial Delivery: elm. In addition, nursery stock, logs, restricting the intrastate movement of Please send four copies of your green lumber, firewood, stumps, roots, regulated articles from the quarantined comment (an original and three copies) branches, and wood debris of half an area to prevent the further spread of to Docket No. 04–002–1, Regulatory inch or more in diameter are subject to ALB within that State. However, Federal Analysis and Development, PPD, infestation. The beetle bores into the regulations are necessary to restrict the APHIS, Station 3C71, 4700 River Road, heartwood of a host tree, eventually interstate movement of regulated Unit 118, Riverdale, MD 20737–1238. killing the tree. Immature beetles bore articles from the quarantined area to

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prevent the spread of ALB to other areas of the United States. This rule will human environment. Based on the States and other countries. also relieve restrictions on certain areas finding of no significant impact, the The regulations in § 301.51–3(a) that are no longer warranted. Under Administrator of the Animal and Plant provide that the Administrator of APHIS these circumstances, the Administrator Health Inspection Service has will list as a quarantined area each has determined that prior notice and determined that an environmental State, or each portion of a State, where opportunity for public comment are impact statement need not be prepared. ALB has been found by an inspector, contrary to the public interest and that The environmental assessment and where the Administrator has reason to there is good cause under 5 U.S.C. 553 finding of no significant impact were believe that ALB is present, or where for making this rule effective less than prepared in accordance with: (1) The the Administrator considers regulation 30 days after publication in the Federal National Environmental Policy Act of necessary because of its inseparability Register. 1969 (NEPA), as amended (42 U.S.C. for quarantine purposes from localities We will consider comments we 4321 et seq.), (2) regulations of the where ALB has been found. receive during the comment period for Council on Environmental Quality for Less than an entire State will be this interim rule (see DATES above). implementing the procedural provisions quarantined only if (1) the After the comment period closes, we of NEPA (40 CFR parts 1500–1508), (3) Administrator determines that the State will publish another document in the USDA regulations implementing NEPA has adopted and is enforcing restrictions Federal Register. The document will (7 CFR part 1b), and (4) APHIS’ NEPA on the intrastate movement of regulated include a discussion of any comments Implementing Procedures (7 CFR part articles that are equivalent to those we receive and any amendments we are 372). imposed by the regulations on the making to the rule. The environmental assessment and interstate movement of regulated finding of no significant impact may be articles and (2) the designation of less Executive Order 12866 and Regulatory viewed on the Internet at http:// than an entire State as a quarantined Flexibility Act www.aphis.usda.gov/ppd/es/alb.html. area will be adequate to prevent the This rule has been reviewed under Copies of the environmental assessment artificial spread of ALB. Executive Order 12866. For this action, and finding of no significant impact are In accordance with these criteria and the Office of Management and Budget also available for public inspection in the recent ALB findings described has waived its review under Executive our reading room. (Information on the above, we are amending the list of Order 12866. location and hours of the reading room quarantined areas in § 301.51–3(c) to This emergency situation makes is provided under the heading include an additional area in Chicago, timely compliance with section 604 of ADDRESSES at the beginning of this IL. The quarantined area is described in the Regulatory Flexibility Act (5 U.S.C. interim rule). In addition, copies may be the rule portion of this document. 601 et seq.) impracticable. We are obtained by writing to the individual currently assessing the potential Removal of Quarantined Areas listed under FOR FURTHER INFORMATION economic effects of this action on small CONTACT. In an interim rule effective November entities. Based on that assessment, we 6, 1998, and published in the Federal will either certify that the rule will not Paperwork Reduction Act Register on November 13, 1998 (63 FR have a significant economic impact on This rule contains no new 63385–63388, Docket No. 98–088–1), we a substantial number of small entities or information collection or recordkeeping amended the regulations by designating publish a final regulatory flexibility requirements under the Paperwork three areas in and around Chicago, IL, analysis. Reduction Act of 1995 (44 U.S.C. 3501 as quarantined areas, including areas et seq.). near Addison in DuPage County, IL, and Executive Order 12372 portions of the Village of Summit, IL. This program/activity is listed in the List of Subjects in 7 CFR Part 301 Based on surveys conducted by Catalog of Federal Domestic Assistance Agricultural commodities, Plant inspectors of Illinois State and county under No. 10.025 and is subject to diseases and pests, Quarantine, agencies and by APHIS inspectors, we Executive Order 12372, which requires Reporting and recordkeeping are removing from quarantine those intergovernmental consultation with requirements, Transportation. areas in DuPage County and the Village State and local officials. (See 7 CFR part ■ Accordingly, we are amending 7 CFR of Summit. The last findings of ALB in 3015, subpart V.) part 301 as follows: these quarantined areas were December Executive Order 12988 2, 2000, and August 18, 1999, PART 301—DOMESTIC QUARANTINE respectively. This rule has been reviewed under NOTICES Since then, no evidence of ALB Executive Order 12988, Civil Justice ■ infestation has been found in these Reform. This rule: (1) Preempts all State 1. The authority citation for 7 CFR areas. Based on our experience, we have and local laws and regulations that are part 301 continues to read as follows: determined that sufficient time has in consistent with this rule; (2) has no Authority: 7 U.S.C. 7701–7772; 7 CFR 2.22, passed without finding additional retroactive effect; and (3) does not 2.80, and 371.3. beetles or other evidence of infestation require administrative proceedings Section 301.75–15 also issued under Sec. to conclude that ALB constitutes a before parties may file suit in court 204, Title II, Pub. L. 106–113, 113 Stat. negligible risk to those areas in DuPage challenging this rule. 1501A–293; sections 301.75–15 and 301.75– 16 also issued under Sec. 203, Title II, Pub. County and the Village of Summit. National Environmental Policy Act L. 106–224, 114 Stat. 400 (7 U.S.C. 1421 Therefore, we are removing the entries note). for these areas from the list of An environmental assessment and quarantined areas in § 301.51–3(c). finding of no significant impact have ■ 2. In § 301.51–3, paragraph (c), under been prepared for this interim rule. The the heading Illinois, the entry titled Immediate Action assessment provides a basis for the ‘‘Cook County’’ is revised to read as set This rulemaking is necessary on an conclusion that the integrated forth below and the entries titled immediate basis to help prevent the eradication program will not have a ‘‘DuPage County’’ and ‘‘Village of artificial spread of ALB to noninfested significant impact on the quality of the Summit’’ are removed.

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§ 301.51–3 Quarantined areas. foreign margin stocks under Regulation and recordkeeping requirements, * * * * * T, making them also margin securities Securities. (c) * * * and therefore eligible for credit at ■ Accordingly, pursuant to the authority Illinois brokers and dealers on the same basis as of sections 7 and 23 of the Securities domestic margin securities. The List Exchange Act of 1934, as amended (15 Cook County. That area in the was last published on September 4, U.S.C. 78g and 78w), and in accordance Ravenswood community in the City of 2003 (68 FR 8993), and became effective with 12 CFR 220.2 and 220.11, the Chicago that is bounded as follows: September 15, 2003. Board is removing the following stocks Beginning on the shoreline of Lake The List is composed of foreign equity from the Foreign List: Michigan at Howard Street; then west securities that qualify as margin ql on Howard Street to Western Avenue; Akita Bank, Ltd., A¥ j50 par common securities under Regulation T by Aomori Bank, Ltd., A¥qlj50 par common then south on Western Avenue to Bryn meeting the financial requirements of § Asatsu-DK Inc., A¥qlj50 par common Mawr Avenue; then west on Bryn Mawr 220.11(c) and (d). In determining the Bank of Nagoya, Ltd., A¥qlj50 par Avenue to Central Park Avenue; then qualification of particular foreign equity common south on Central Park Avenue to securities, the Board has relied on a list Chudenko Corp., A¥qlj50 par common Diversey Avenue; then east on Diversey of proposed foreign margin stocks Chugoku Bank, Ltd. A¥qlj50 par common Avenue to Diversey Parkway; then east submitted by the New York Stock Daihatsu Motor Co., Ltd., A¥qlj50 par on Diversey Parkway to Damen Avenue; Exchange (NYSE) based on certification common then south on Damen Avenue to of the securities’ eligibility by at least Dainippon Screen MFG. Co., Ltd., Chicago Avenue; then east on Chicago two NYSE members under procedures A¥qlj50 par common ql Avenue to the shoreline of Lake adopted by the NYSE and approved by Denki Kagaku Kogyo, A¥ j50 par Michigan; then north along the common the Board in 1990. These procedures ql shoreline of Lake Michigan to the point include periodic recertification of the Eighteenth Bank, Ltd., A¥ j50 par of beginning. common stocks on the List by at least two NYSE ql * * * * * Futaba Corp., A¥ j50 par common member firms. Futaba Industrial Co., Ltd. A¥qlj50 par Done in Washington, DC, this 3rd day of Foreign securities may also qualify as margin securities if they are deemed by common March, 2004. Higo Bank, Ltd., A¥qlj50 par common Bobby R. Acord, the Securities and Exchange Hitachi Software Engneering Co., Ltd., Administrator, Animal and Plant Health Commission (SEC) to have a ‘‘ready A¥qlj50 par common Inspection Service. market’’ under SEC Rule 15c3–1 (17 Hokkoku Bank, Ltd., A¥qlj50 par [FR Doc. 04–5128 Filed 3–5–04; 8:45 am] CFR 240.15c3–1) or a ‘‘no-action’’ common BILLING CODE 3410–34–P position issued thereunder. This Hokuetsu Paper Mills, Ltd., A¥qlj50 par includes all foreign stocks in the FTSE common World Index Series. Iyo Bank, Ltd., A¥qlj50 par common FEDERAL RESERVE SYSTEM The New York Stock Exchange has Japan Airport Terminal Co., Ltd., A¥qlj50 informed the Board that the member par common 12 CFR Part 220 firms who usually recertify the stocks Juroku Bank, Ltd., A¥qlj50 par common ql [Regulation T] on the list have declined to do so, and Kagoshima Bank, Ltd., A¥ j50 par plan to rely on the ‘‘ready market’’ test common Credit by Brokers and Dealers; List of instead. The Board is therefore Kamigumi Co., Ltd., A¥qlj50 par common ql Foreign Margin Stocks removing the 51 stocks on the current Katokichi Co., Ltd., A¥ j50 par common List because it is no longer able to Keisei Electric Railway Co., Ltd., A¥qlj50 AGENCY: Board of Governors of the determine that the securities par common Federal Reserve System. substantially meet the provisions of Keiyo Bank, Ltd., A¥qlj50 par common ACTION: Final rule. Komori Corp., A¥qlj50 par common section 220.11(d) of Regulation T, which ql is necessary for the securities’ continued Konami Co., Ltd., A¥ j50 par common SUMMARY: The List of Foreign Margin Michinoku Bank, Ltd., A¥qlj50 par Stocks (List) is composed of certain inclusion on the List. The Board will publish a List in the common foreign equity securities that qualify as Musashino Bank, Ltd., A¥qlj500 par margin securities under Regulation T. future if it receives the required information under the approved common The Foreign List has been published Namco, Ltd., A¥qlj50 par common twice a year by the Board since 1999. procedures to establish the qualification Nichicon Corp., A¥qlj50 par common The Board is removing all 51 stocks of specific foreign equity securities Nihon Unisys, Ltd., A¥qlj50 par common from the current List because they have pursuant to section 220.11(c) of Nishi-Nippon Bank, Ltd., A¥qlj50 par not been recertified as required under Regulation T, which is necessary for common procedures approved by the Board in initial inclusion on the List. Nishi-Nippon Railroad Co., Ltd., A¥qlj50 1990. The Board will publish a new List Public Comment par common Nissan Chemical Industries, Ltd., A¥qlj50 if eligible securities are identified The Board finds that the requirements pursuant to these listing procedures. par common of 5 U.S.C. 553 with respect to notice Ogaki Kyoritsu Bank, Ltd., A¥qlj50 par EFFECTIVE DATE: April 15, 2004. and public participation are FOR FURTHER INFORMATION CONTACT: common unnecessary. No additional useful Q.P. Corp., A¥qlj50 par common Peggy Wolffrum, Financial Analyst, information would be gained by public Rinnai Corp., A¥qlj50 par common Division of Banking Supervision and participation, given the objective Sagami Railway Co., Ltd., A¥qlj50 par Regulation, (202) 452–2837, or Scott character of the criteria for continued common Holz, Senior Counsel, Legal Division, inclusion on the Foreign List specified Sakata Seed Corp., A¥qlj50 par common (202) 452–2966, Board of Governors of in § 220.11(d) of Regulation T. Santen Pharmaceutical Co., Ltd., A¥qlj50 the Federal Reserve System, par common Washington, DC 20551. List of Subjects in 12 CFR Part 220 Shimadzu Corp., A¥qlj50 par common SUPPLEMENTARY INFORMATION: Stocks Brokers, Credit, Margin, Margin Shimamura Co., Ltd., A¥qlj50 par that appear on the List are by definition requirements, Investments, Reporting common

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Sumitomo Rubber Industries, Ltd., withdrawal.1 A depositary bank operations from El Paso to Dallas and to A¥qlj50 par common generally must provide faster assist banks in identifying local and Taiyo Yuden Co., Ltd., A¥qlj50 par availability for funds deposited by a nonlocal banks. These amendments are common ‘‘local check’’ than by a ‘‘nonlocal effective May 15, 2004, to coincide with Takara Standard Co., Ltd., A¥qlj50 par check.’’ A check drawn on a bank is the effective date of the underlying common considered local if it is payable by or at check processing changes. The Board is Toho Bank, Ltd., A¥qlj50 par common a bank located in the same Federal providing advance notice of these Toho Gas Co., Ltd., A¥qlj50 par common Reserve check processing region as the amendments to give affected banks Tokyo Ohka Kogyo Co., Ltd., A¥qlj50 par depositary bank. A check drawn on a ample time to make any needed common nonbank is considered local if it is processing changes. The advance notice Uni-Charm Corp., A¥qlj50 par common payable through a bank located in the will also enable affected banks to amend Ushio, Inc., A¥qlj50 par common same Federal Reserve check processing their availability schedules and related Yamaha Motor Co., Ltd., A¥qlj50 par region as the depositary bank. Checks disclosures, if necessary, and provide common that do not meet the requirements for their customers with notice of these ‘‘local’’ checks are considered 3 By order of the Board of Governors of the changes. The Federal Reserve routing Federal Reserve System, acting by its Director ‘‘nonlocal.’’ symbols assigned to all other Federal of the Division of Banking Supervision and Appendix A to Regulation CC Reserve branches and offices will Regulation pursuant to delegated authority contains a routing number guide that remain the same at this time. The Board (12 CFR 265.7(f)(10)), March 2, 2004. assists banks in identifying local and of Governors, however, intends to issue Jennifer J. Johnson, nonlocal banks and thereby determining similar notices at least sixty days prior Secretary of the Board. the maximum permissible hold periods to the elimination of check operations at for most deposited checks. The [FR Doc. 04–5103 Filed 3–5–04; 8:45 am] some other Reserve Bank offices, as appendix includes a list of each Federal BILLING CODE 6210–01–P described in the May 2003 Federal Reserve check processing office and the Register document. first four digits of the routing number, Administrative Procedure Act FEDERAL RESERVE SYSTEM known as the Federal Reserve routing symbol, of each bank that is served by The Board has not followed the 12 CFR Part 229 that office. Banks whose Federal provisions of 5 U.S.C. 553(b) relating to Reserve routing symbols are grouped notice and public participation in [Regulation CC; Docket No. R–1185] under the same office are in the same connection with the adoption of this check processing region and thus are final rule. The revisions to the Availability of Funds and Collection of local to one another. appendices are technical in nature, and Checks As explained in detail in the Board’s the routing symbol revisions are final rule published in the Federal required by the statutory and regulatory AGENCY: Board of Governors of the Register on May 28, 2003, the Federal definitions of ‘‘check-processing Federal Reserve System. Reserve Banks decided in early 2003 to region.’’ Because there is no substantive ACTION: Final rule; technical reduce the number of locations at which change on which to seek public input, amendment. they process checks.2 As part of this the Board has determined that the restructuring process, the El Paso office section 553(b) notice and comment SUMMARY: The Board of Governors is of the Federal Reserve Bank of Dallas procedures are unnecessary. amending appendix A of Regulation CC will cease processing checks on May 15, to delete the reference to the El Paso 2004. As of that date, banks with routing Paperwork Reduction Act check processing office of the Federal symbols currently assigned to the El In accordance with the Paperwork Reserve Bank of Dallas and reassign the Paso office for check processing Reduction Act of 1995 (44 U.S.C. 3506; Federal Reserve routing symbols purposes will be reassigned to the 5 CFR 1320 appendix A.1), the Board currently listed under that office to the Dallas Reserve Bank’s head office. As a has reviewed the final rule under head office of the Federal Reserve Bank result of this change, some checks that authority delegated to the Board by the of Dallas. These amendments reflect the are drawn on and deposited at banks Office of Management and Budget. This restructuring of check processing located in the El Paso and Dallas check technical amendment to appendix A of operations within the Federal Reserve processing regions and that currently Regulation CC will delete the reference System. are nonlocal checks will become local to the El Paso check processing office of DATES: The final rule will become checks subject to faster availability the Federal Reserve Bank of Dallas and effective on May 15, 2004. schedules. reassign the routing symbols listed FOR FURTHER INFORMATION CONTACT: Jack The Board accordingly is amending under that office to the head office of K. Walton II, Assistant Director (202/ the list of routing symbols assigned to the Federal Reserve Bank of Dallas. The 452–2660), or Joseph P. Baressi, Senior Eleventh District check processing depository institutions that are located Financial Services Analyst (202/452– offices to reflect the transfer of in the affected check processing regions 3959), Division of Reserve Bank and that include the routing numbers in Operations and Payment Systems; or 1 For purposes of Regulation CC, the term ‘‘bank’’ their disclosure statements would be refers to any depository institution, including Adrianne G. Threatt, Counsel (202/452– commercial banks, savings institutions, and credit required to notify customers of the 3554), Legal Division. For users of unions. resulting change in availability under § Telecommunications Devices for the 2 See 68 FR 31592, May 28, 2003. In addition to 229.18(e). However, because all Deaf (TDD) only, contact 202/263–4869. the general advance notice of future amendments paperwork collection procedures previously provided by the Board, as well as the SUPPLEMENTARY INFORMATION: Regulation Board’s notices of final amendments, the Reserve associated with Regulation CC already CC establishes the maximum period a Banks are striving to inform affected depository depositary bank may wait between institutions of the exact date of each office 3 Section 229.18(e) of Regulation CC requires that transition at least 120 days in advance. The Reserve banks notify account holders who are consumers receiving a deposit and making the Banks’ communications to affected depository within 30 days after implementing a change that deposited funds available for institutions are available at www.frbservices.org. improves the availability of funds.

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are in place, the Board anticipates that DEPARTMENT OF TRANSPORTATION depicted on appropriate aeronautical no additional burden will be imposed as charts. a result of this rulemaking. Federal Aviation Administration The FAA has determined that this regulation only involves an established 12 CFR Chapter II 14 CFR Part 71 body of technical regulations for which List of Subjects in 12 CFR Part 229 frequent and routine amendments are [Docket No. FAA–2003–16147; Airspace necessary to keep them operationally Docket No. 03–AGL–17] Banks, Banking, Federal Reserve current. Therefore, this proposed System, Reporting and recordkeeping Modification of Class D Airspace; regulation—(1) Is not a ‘‘significant requirements. Rapid City, SD regulatory action’’ under Executive Order 12866; (2) is not a ‘‘significant Authority and Issuance AGENCY: Federal Aviation rule’’ under DOT Regulatory Policies Administration (FAA), DOT. and Procedures (44 FR 11034; February ■ For the reasons set forth in the ACTION: Final rule. 26, 1979); and (3) does not warrant preamble, the Board is amending 12 preparation of a Regulatory Evaluation CFR part 229 to read as follows: SUMMARY: This action modifies Class D as the anticipated impact is so minimal. airspace at Rapid City, SD. Category E Since this is a routine matter that will PART 229—AVAILABILITY OF FUNDS circling procedures have become only affect air traffic procedures and air AND COLLECTION OF CHECKS necessary at Ellsworth AFB, Rapid City, navigation, it is certified that this rule (REGULATION CC) SD. Controlled airspace extending will not have a significant economic upward from the surface of the earth is impact on a substantial number of small ■ 1. The authority citation for part 229 needed to contain aircraft executing entities under the criteria of the continues to read as follows: these approach procedures. This action Regulatory Flexibility Act. Authority: 12 U.S.C. 4001 et seq. increases the area of the existing controlled airspace at Ellsworth AFB, List of Subjects in 14 CFR Part 71 ■ 2. The Eleventh Federal Reserve Rapid City, SD. Airspace, Incorporation by reference, District routing symbol list in appendix EFFECTIVE DATE: 0901 UTC, June 10, Navigation (air). A is revised to read as follows: 2004. ■ In consideration of the foregoing, the Appendix A to Part 229—Routing FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration Number Guide to Next-Day Availability Patricia A. Graham, Air Traffic Division, amends 14 CFR part 71 as follows: Checks and Local Checks Airspace Branch, AGL–520, Federal Aviation Administration, 2300 East PART 71—DESIGNATION OF CLASS A, * * * * * Devon Avenue, Des Plaines, Illinois CLASS B, CLASS C, CLASS D, AND 60018, telephone (847) 294–7568. CLASS E AIRSPACE AREAS; Eleventh Federal Reserve District AIRWAYS; ROUTES; AND REPORTING [Federal Reserve Bank of Dallas] SUPPLEMENTARY INFORMATION: POINTS History Head Office ■ 1. The authority citation for part 71 1110 3110 On Wednesday, November 5, 2003, continues to read as follows. 1111 3111 the FAA proposed to amend 14 CFR Authority: 49 U.S.C. 106(g), 40103, 40113, 1113 3113 part 71 to modify Class D airspace at 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– 1119 3119 Rapid City, SD (68 FR 62548). The 1963 Comp., p. 389. 1120 3120 proposal was to modify controlled 1122 3122 airspace extending upward from the § 71.1 [Amended] 1123 3123 surface of the earth to contain ■ 2. The incorporation by reference in 1163 3163 Instrument Flight Rules (IFR) operations 14 CFR 71.1 of the Federal Aviation Houston Branch in controlled airspace. Administration Order 7400.9L, Airspace Interested parties were invited to Designations and Reporting Points, 1130 3130 participate in this rulemaking dated September 2, 2003, and effective 1131 3131 proceeding by submitting written September 16, 2003, is amended as San Antonio Branch comments on the proposal to the FAA. follows: No comments objecting to the proposal 1140 3140 * * * * * 1149 3149 were received. Class D airspace areas extending upward from the surface of Paragraph 5000 Class D airspace. * * * * * the earth are published in paragraph AGL SD D Rapid City, SD [Revised] 5000, of FAA Order 7400.9L dated Rapid City, Ellsworth AFB, SD By order of the Board of Governors of the September 2, 2003, and effective (Lat. 44°08’42’’ N., long. 103°06’13’’ W.) Federal Reserve System, acting through the September 16, 2003, which is Rapid City Regional Airport, SD Secretary of the Board under delegated incorporated by reference in 14 CFR (Lat. 44°02’43’’ N., long. 103°03’27’’ W.) authority, March 2, 2004. 71.1. The Class D airspace designations That airspace extending upward from the Jennifer J. Johnson, listed in this document will be surface to and including 5,800 feet MSL and published subsequently in the order. within a 5.9-mile radius of Ellsworth AFB to Secretary of the Board. the Rapid City Regional Airport 4.4-mile [FR Doc. 04–5050 Filed 3–5–04; 8:45 am] The Rule radius, excluding that airspace south of a line BILLING CODE 6210–01–P between the intersection of the Ellsworth This amendment to 14 CFR part 71 AFB 4.7-mile radius and the Rapid City modifies Class D airspace at Rapid City, Regional Airport 4.4-mile radius. This Class SD, to accommodate aircraft executing D airspace is effective during the specific instrument flight procedures into and dates and times established in advance by a out of Ellsworth AFB. The area will be notice to Airmen. The effective date and time

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will thereafter be continuously published in Airspace Branch, ACE-520A, DOT Register indicating that no adverse or the Airport/Facility Directory. Municipal Headquarters Building, negative comments were received and * * * * * Federal Aviation Administration, 901 confirming the date on which the final Issued in Des Plaines, Illinois, on February Locust, Kansas City, MO 64106; rule will become effective. If the FAA 18, 2004. telephone: (816) 329–2524. does receive, within the comment Nancy B. Shelton, SUPPLEMENTARY INFORMATION: This period, an adverse or negative comment, or written notice of intent to submit Manager, Air Traffic Division, Great Lakes amendment to 14 CFR 71 modifies the Region. Class E airspace area extending upward such a comment, a document withdrawing the direct final rule will be [FR Doc. 04–5175 Filed 3–5–04; 8:45 am] from 700 feet above the surface at published in the Federal Register, and BILLING CODE 4910–13–M Excelsior Springs, MO. An examination of controlled airspace for Excelsior a notice of proposed rulemaking may be Springs Memorial Airport revealed it published with a new comment period. DEPARTMENT OF TRANSPORTATION does not meet the criteria for 700 feet Comments Invited AGL airspace required for diverse Federal Aviation Administration Interested parties are invited to departures as specified in FAA Order participate in this rulemaking by 7400.2E, Procedures for Handling 14 CFR Part 71 submitting such written data, views, or Airspace Matters. The criteria in FAA arguments, as they may desire. [Docket No. FAA–2004–17147; Airspace Order 7400.2E for an aircraft to reach Comments that provide the factual basis Docket No. 04–ACE–13] 1200 feet AGL is based on a standard supporting the views and suggestions climb gradient of 200 feet per mile plus presented are particularly helpful in Modification of Class E Airspace; the distance from the airport reference developing reasoned regulatory Excelsior Springs, MO point to the end of the outermost decisions on the proposals. Comments runway. Any fractional part of a mile is AGENCY: are specifically invited on the overall Federal Aviation converted to the next higher tenth of a Administration (FAA), DOT. regulatory, aeronautical, economic, mile. The review also identified that the environmental, and energy-related ACTION: Direct final rule; request for extension to the Excelsior Springs, MO comments. aspects of the proposal. Class E airspace area is no longer Communications should identify both required and its existence is not in SUMMARY: This action amends title 14 docket numbers and be submitted in Code of Federal Regulations, part 71 (14 compliance with FAA Order 8260.19C, triplicate to the address listed above. CFR 71) by revising Class E airspace at Flight Procedures and Airspace. This Commenters wishing the FAA to Excelsior Springs, MO. A review of amendment expands the airspace area acknowledge receipt of their comments controlled airspace for Excelsior Springs from a 6-mile radius to a 6.3-mile radius on this notice must submit with those Memorial Airport identified of Excelsior Springs Memorial Airport, comments a self-addressed, stamped noncompliance with the criteria for 700 revokes the Excelsior Springs, MO Class postcard on which the following feet above ground level (AGL) airspace E airspace area extension, and brings the statement is made: ‘‘Comments to required for diverse departures. The legal description of the Excelsior Docket No. FAA–2004–17147/Airspace review also revealed that the extension Springs, MO Class E airspace area into Docket No. 04–ACE–13.’’ The postcard to this airspace area is no longer compliance with FAA Orders 7400.2E will be date/time stamped and returned required. The extension is deleted and and 8260.19C. This area will be to the commenter. depicted on appropriate aeronautical the area enlarged to conform to the Agency Findings criteria in FAA Orders. charts. Class E airspace areas extending upward from 700 feet or more above the The regulations adopted herein will DATES: This direct final rule is effective surface of the earth are published in not have a substantial direct effect on on 0901 UTC, June 10, 2004. Comments paragraph 6005 of FAA Order 7400.9L, the States, on the relationship between for inclusion in the Rules Docket must Airspace Designations and Reporting the national Government and the States, be received on or before April 16, 2004. Points, dated September 2, 2003, and or on the distribution of power and ADDRESSES: Send comments on this rule effective September 16, 2003, which is responsibilities among the various to the Docket Management System, U.S. incorporated by reference in 14 CFR levels of government. Therefore, it is Department of Transportation, Room 71.1. The Class E airspace designation determined that this final rule does not Plaza 401, 400 Seventh Street, SW., listed in this document will be have federalism implications under Washington, DC 20590–0001. You must published subsequently in the Order. Executive Order 13132. identify the docket number FAA–2004– The FAA has determined that this 17147/Airspace Docket No. 04–ACE–13, The Direct Final Rule Procedure regulation is noncontroversial and at the beginning of your comments. You The FAA anticipates that this unlikely to result in adverse or negative may also submit comments on the regulation will not result in adverse or comments. For the reasons discussed in Internet at http://dms.dot.gov. You may negative comment and, therefore, is the preamble, I certify that this review the public docket containing the issuing it as a direct final rule. Previous regulation (1) is not a ‘‘significant proposal, any comments received, and actions of this nature have not been regulatory action’’ under Executive any final disposition in person in the controversial and have not resulted in Order 12866; (2) is not a ‘‘significant Dockets Office between 9 a.m. and 5 adverse comments or objections. Unless rule’’ under Department of p.m., Monday through Friday, except a written adverse or negative comment, Transportation (DOT) Regulatory Federal holidays. The Docket Office or a written notice of intent to submit Policies and Procedures (44 FR 11034, (telephone 1–800–647–5527) is on the an adverse or negative comment is February 26, 1979); and (3) if plaza level of the Department of received within the comment period, promulgated, will not have a significant Transportation NASSIF Building at the the regulation will become effective on economic impact, positive or negative, above address. the date specified above. After the close on a substantial number of small entities FOR FURTHER INFORMATION CONTACT: of the comment period, the FAA will under the criteria of the Regulatory Brenda Mumper, Air Traffic Division, publish a document in the Federal Flexibility Act.

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List of Subjects in 14 CFR Part 71 Navigation (RNAV) Global Positioning Regulatory Policies and Procedures (44 Airspace, Incorporation by reference, System (GPS) Standard Instrument FR 11034; February 26, 1979); and (3) Navigation (air). Approach Procedures (SIAPs) have been does not warrant preparation of a developed at Ravalli County Airport, Regulatory Evaluation as the anticipated Adoption of the Amendment Hamilton, MT, making it necessary to impact is so minimal. Since this is a establish this controlled airspace. routine matter that will only affect air ■ Accordingly, the Federal Aviation Additional Class E airspace extending traffic procedures and air navigation, it Administration amends 14 CFR part 71 upward from 700 feet or more above the is certified that this rule will not have as follows: surface of the earth is needed for the a significant economic impact on a PART 71—DESIGNATION OF CLASS A, safety of Instrument Flight Rules (IFR) substantial number of small entities CLASS B, CLASS C, CLASS D, AND aircraft executing these new SIAPs. under the criteria of the Regulatory CLASS E AIRSPACE AREAS; EFFECTIVE DATE: 0901 UTC June 10, Flexibility Act. AIRWAYS; ROUTES; AND REPORTING 2004. List of Subjects in 14 CFR Part 71 POINTS FOR FURTHER INFORMATION CONTACT: Ed Haeseker, Air Traffic Division, Federal Airspace, Incorporation by reference, ■ 1. The authority citation for part 71 Aviation Administration, 1601 Lind Navigation (air). continues to read as follows: Avenue SW., Renton, Washington Adoption of the Amendment Authority: 49 U.S.C. 106(g), 40103, 40113, 98055–4056; telephone (425) 227–2527. 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– SUPPLEMENTARY INFORMATION: ■ 1963 Comp., p. 389. Accordingly, pursuant to the authority History delegated to me, the Federal Aviation § 71.1 [Amended] Administration proposes to amend 14 ■ 2. The incorporation by reference in On November 6, 2003, the FAA CFR part 71 as follows: 14 CFR 71.1 of Federal Aviation proposed to amend Federal Aviation Administration Order 7400.9L, dated Regulations 14 CFR part 71 to establish PART 71—DESIGNATION OF CLASS A, September 2, 2003, and effective Class E airspace at Hamilton, MT (68 FR CLASS B, CLASS C, CLASS D, AND September 16, 2003, is amended as 62762). New RNAV GPS SIAPs at CLASS E AIRSPACE AREAS; follows: Ravalli County Airport, Hamilton, MT, AIRWAYS; ROUTES; AND REPORTING made this proposal necessary. * * * * * POINTS Additional airspace extending upward Paragraph 6005 Class E airspace areas from 700 feet or more above the surface ■ 1. The authority citation for 14 CFR extending upward from 700 feet or more of the earth was added for the safety of part 71 continues to read as follows: above the surface of the earth. IFR aircraft executing these new SIAPs. * * * * * Interested parties were invited to Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– participated in this rule making ACE MO E5 Excelsior Springs, MO 1963 Comp., p. 389. proceeding by submitting written Excelsior Springs Memorial Airport, MO (Lat. 39°20’14’’ N., long. 94°11’52’’ W.) comments on the proposal to the FAA. § 71.1 [Amended] One favorable comment was received. That airspace extending upward from 700 Class E airspace areas extending upward ■ 2. The incorporation by reference in feet above the surface within a 6.3-mile 14 CFR 71.1 of the Federal Aviation radius of Excelsior Springs Memorial Airport. from 700 feet or more above the surface of the earth are published in paragraph Administration Order 7400.9L, Airspace * * * * * 6005 of FAA Order 7400.9L dated Designations and Reporting Points, Issued in Kansas City, MO, on February 24, September 2, 2003, and effective dated September 2, 2003, and effective 2004. September 16, 2003, which is September 16, 2003, is amended as Paul J. Sheridan, incorporated by reference in 14 CFR follows: 71.1. The Class E airspace designations Acting Manager, Air Traffic Division, Central Paragraph 6005 Class E airspace areas Region. listed in this document will be published subsequently in that Order. extending upward from 700 feet or more [FR Doc. 04–5035 Filed 3–5–04; 8:45 am] above the surface of the earth BILLING CODE 4910–13–M The Rule * * * * * This amendment to 14 CFR part 71 ANM UT E5 Hamilton, MT [New] establishes Class E airspace at Ravalli DEPARTMENT OF TRANSPORTATION Ravalli County Airport, MT County Airport, Hamilton, MT. Class E (Lat. 46°15’05’’ N., long. 114°07’32’’ W.) Federal Aviation Administration airspace extending upward from 700 feet or more above the surface of the That airspace extending upward from 700 feet above the surface of the earth within an earth is necessary to provide adequate 14 CFR Part 71 8 mile radius of Ravalli County Airport; that controlled airspace for the safety of IFR airspace extending upward from 1,200 feet [Docket No. FAA 2003–16070; Airspace aircraft executing these new RNAV GPS Docket No. 03–ANM–05] above the surface of the earth bounded by a SIAPs. line beginning at lat. 46°42’00’’ N., long. Establishment of Class E Airspace; The FAA has determined that this 114°11’00’’ W.; to lat. 46°42’00’’ N., long. Hamilton, MT regulation only involves an established 113°52’00’’ W.; to lat. 46°19’30’’ N., long. body of technical regulations for which 113°52’00’’ W.; to lat. 45°51’30’’ N., long. AGENCY: Federal Aviation frequent and routine amendments are 114°01’00’’ W.; to lat. 45°51’30’’ N., long. Administration (FAA), DOT. necessary to keep them operationally 114°11’00’’ W.; to lat. 46°03’00’’ N., long. ° ACTION: Final rule. current. Therefore, this regulation—(1) 114 19’00’’ W.; thence to the beginning; is not a ‘‘significant regulatory action’’ excluding that airspace within Federal SUMMARY: This establishes Class E under Executive Order 12866; (2) is not Airways. airspace at Hamilton, MT. New Area a ‘‘significant rule’’ under DOT * * * * *

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Issued in Seattle, Washington, on February DEPARTMENT OF TRANSPORTATION comments were anticipated, and that 20, 2004. unless a written adverse comment, or a Suzanne Alexander, Federal Aviation Administration written notice of intent to submit such Acting Manager, Air Traffic Division, an adverse comment, were received Northwest Mountain Region. 14 CFR Part 71 within the comment period, the [FR Doc. 04–5174 Filed 3–5–04; 8:45 am] regulation would become effective on [Docket No. FAA–2003–16760; Airspace BILLING CODE 4910–13–M Docket No. 03–ACE–97] April 15, 2004. No adverse comments were received, and thus this notice Modification of Class E Airspace; confirms that this direct final rule will DEPARTMENT OF TRANSPORTATION Colby, KS become effective on that date. Issued in Kansas City, MO, on February 26, Federal Aviation Administration AGENCY: Federal Aviation 2004. Administration (FAA), DOT. Paul J. Sheridan, 14 CFR Part 71 ACTION: Direct final rule; correction; and Acting Manager, Air Traffic Division, Central confirmation of effective date. Region. [Docket No. FAA–2003–16746; Airspace [FR Doc. 04–5172 Filed 3–5–04; 8:45 am] Docket No. 03–ACE–90] SUMMARY: This document contains a correction to a direct final rule and BILLING CODE 4910–13–M Modification of Class E Airspace; confirms the effective date of the direct Independence, IA final rule which revises Class E airspace at Colby, KS. DEPARTMENT OF TRANSPORTATION AGENCY: Federal Aviation DATES: 0901 UTC, April 15, 2004. Federal Aviation Administration Administration (FAA), DOT. FOR FURTHER INFORMATION CONTACT: ACTION: Direct final rule; confirmation of Kathy Randolph, Air Traffic Division, 14 CFR Part 71 Airspace Branch, ACE–520C, DOT effective date. [Docket No. FAA–2004–17148; Airspace Regional Headdquarters Building, Docket No. 04–ACE–14] SUMMARY: This document confirms the Federal Aviation Administration, 901 effective date of the direct final rule Locust, Kansas City, MO 64106; Modification of Class E Airspace; which revised Class E airspace at telephone: (816) 329–2525. Festus, MO Independence, IA. SUPPLEMENTARY INFORMATION: AGENCY: Federal Aviation EFFECTIVE DATE: 0901 UTC, April 15, History Administration (FAA), DOT. 2004. Federal Register Document 04–492, ACTION: Direct final rule; request for FOR FURTHER INFORMATION CONTACT: published on Monday, January 12, 2004, comments. Kathy Randolph, Air Traffic Division, (69 FR 1670) modified Class E airspace Airspace Branch, ACE–520C, DOT at Colby, KS. The modification enlarged SUMMARY: This action amends title 14 Regional Headquarters Building, Federal the controlled airspace area around Code of Federal Regulations, part 71 (14 Aviation Administration, 901 Locust, Shalz Field to provide proper protection CFR 71) by revising Class E airspace at Kansas City, MO 64106; telephone: of diverse departures, deleted the Festus, MO. A review of controlled (816) 329–2525. extension of controlled airspace and airspace for Festus Memorial Airport brought the Colby, KS Class E airspace revealed it does not comply with the SUPPLEMENTARY INFORMATION: The FAA area legal description into compliance criteria for 700 feet above ground level published this direct final rule with a with FAA Order 7400.2E, Procedures for (AGL) airspace required for diverse request for comments in the Federal Handling Airspace Matters. However, departures. The review also identified Register on January 12, 2004 (69 FR Shalz Field was incorrectly spelled as discrepancies in the legal description 1668). The FAA uses the direct final Shaltz Field in the Colby, KS Class E for the Festus, MO Class E airspace area. rulemaking procedure for a non- airspace area legal description as The area is modified and enlarged to controversial rule where the FAA published. conform to the criteria in FAA Orders. believes that there will be no adverse ■ Accordingly, pursuant to the authority DATES: This direct final rule is effective public comment. This direct final rule on 0901 UTC, June 10, 2004. Comments advised the public that no adverse delegated to me, the Colby, KS Class E airspace, as published in the Federal for inclusion in the Rules Docket must comments were anticipated, and that be received on or before April 16, 2004. unless a written adverse comment, or a Register on Monday, January 12, 2004, ADDRESSES: Send comments on this written notice of intent to submit such (69 FR 1670) [FR Doc. 04–492] is proposal to the Docket Management an adverse comment, were received corrected as follows: System, U.S. Department of within the comment period, the § 71.1 [Corrected] Transportation, Room Plaza 401, 400 regulation would become effective on On page 1670, Column 2, fourth line Seventh Street, SW., Washington, DC April 15, 2004. No adverse comments from the bottom; Column 3, fourth, 20590–0001. You must identify the were received, and thus this notice ninth and twenty-fifth lines from the docket number FAA–2004–17148/ confirms that this direct final rule will bottom; and on page 1671, Column 2, Airspace Docket No. 04–ACE–14, at the become effective on that date. second line from bottom, change beginning of your comments. You may Issued in Kansas City, MO on February 23, ‘‘Shaltz Field’’ to read ‘‘Shalz Field.’’ also submit comments on the Internet at 2003. The FAA uses the direct final http://dms.dot.gov. You may review the Paul J. Sheridan, rulemaking procedure for a non- public docket containing the proposal, Acting Manager, Air Traffic Division, Central controversial rule where the FAA any comments received, and any final Region. believes that there will be no adverse disposition in person in the Dockets [FR Doc. 04–5173 Filed 3–5–04; 8:45 am] public comment. This direct final rule Office between 9 a.m. and 5 p.m., BILLING CODE 4910–13–M advised the public that no adverse Monday through Friday, except Federal

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holidays. The Docket Office (telephone adverse comments or objections. Unless rule’’ under Department of 1–800–647–5527) is on the plaza level a written adverse or negative comment, Transportation (DOT) Regulatory of the Department of Transportation or a written notice of intent to submit Policies and Procedures (44 FR 11034, NASSIF Building at the above address. an adverse or negative comment is February 26, 1979); and (3) if FOR FURTHER INFORMATION CONTACT: received within the comment period, promulgated, will not have a significant Brenda Mumper, Air Traffic Division, the regulation will become effective on economic impact, positive or negative, Airspace Branch, ACE–520A, DOT the date specified above. After the close on a substantial number of small entities Municipal Headquarters Building, of the comment period, the FAA will under the criteria of the Regulatory Federal Aviation Administration, 901 publish a document in the Federal Flexibility Act. Locust, Kansas City, MO 64016; Register indicating that no adverse or telephone: (816) 329–2524. negative comments were received and List of Subjects in 14 CFR Part 71 confirming the date on which the final SUPPLEMENTARY INFORMATION: This rule will become effective. If the FAA Airspace, Incorporation by reference, amendment to 14 CFR 71 modifies the does receive, within the comment Navigation (air). Class E airspace area extending upward period, an adverse or negative comment, from 700 feet above the surface at Adoption of the Amendment or written notice of intent to submit Festus, MO. An examination of such a comment, a document controlled airspace for Festus Memorial ■ Accordingly, the Federal Aviation withdrawing the direct final rule will be Airport revealed it does not meet the Administration amends 14 CFR part 71 published in the Federal Register, and criteria for 700 feet AGL airspace as follows: a notice of proposed rulemaking may be required for diverse departures as published with a new comment period. specified in FAA Order 7400.2E, PART 71—DESIGNATION OF CLASS A, Procedures for Handling Airspace Comments Invited CLASS B, CLASS C, CLASS D, AND Matters. The criteria in FAA Order Interested parties are invited to CLASS E AIRSPACE AREAS; 7400.2E for an aircraft to reach 1200 feet participate in this rulemaking by AIRWAYS; ROUTES; AND REPORTING AGL is based on a standard climb submitting such written data, views, or POINTS gradient of 200 feet per mile plus the arguments, as they may desire. ■ distance from the airport reference point Comments that provide the factual basis 1. The authority citation for part 71 to the end of the outermost runway. Any supporting the views and suggestions continues to read as follows: fractional part of a mile is converted to presented are particularly helpful in Authority: 49 U.S.C. 106(g), 40103, 40113, the next higher tenth of a mile. The developing reasoned regulatory 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– review also identified that the Festus, decisions on the proposal. Comments 1963 Comp., p. 389. MO Class E airspace area legal are specifically invited on the overall description was not in compliance with regulatory, aeronautical, economic, § 71.1 [Amended] FAA Order 8260.19C, Flight Procedures environmental, and energy-related ■ 2. The incorporation by reference in and Airspace. The Class E airspace area aspects of the proposal. 14 CFR 71.1 of Federal Aviation extension should be defined in relation Communications should identify both to the Festus nondirectional radio docket numbers and be submitted in Administration Order 7400.9L, dated beacon (NDB). This amendment triplicate to the address listed above. September 2, 2003, and effective expands the airspace area from a 6-mile Commenters wishing the FAA to September 16, 2003, is amended as radius to a 6.2-mile radius of Festus acknowledge receipt of their comments follows: Memorial Airport, adds the Festus NDB on this notice must submit with those * * * * * to the legal description, defines the comments a self-addressed, stamped Paragraph 6005 Class E airspace areas Class E airspace area extension as it postcard on which the following relates to the NDB and brings the legal extending upward from 700 feet or more statement is made: ‘‘Comments to above the surface of the earth. description of the Festus, MO Class E Docket No. FAA–2004–17148/Airspace airspace area into compliance with FAA Docket No. 04–ACE–14.’’ The postcard * * * * * Orders 7400.2E and 8260.19C. This area will be date/time stamped and returned ACE MO E5 Festus, MO will be depicted on appropriate to the commenter. aeronautical charts. Class E airspace Festus Memorial Airport, MO (Lat. 38°11’42’’ N., long. 90°23’08’’ W.) areas extending upward from 700 feet or Agency Findings Festus NDB more above the surface of the earth are The regulations adopted herein will (Lat. 38°11’45’’ N., long. 90°23’15’’ W.) published in paragraph 6005 of FAA not have a substantial direct effect on Order 7400.9L, Airspace Designations the States, on the relationship between That airspace extending upward from 700 and Reporting Points, dated September the national Government and the States, feet above the surface within a 6.2-mile or on the distribution of power and radius of Festus Memorial Airport and within 2, 2003, and effective September 16, ° 2003, which is incorporated by responsibilities among the various 2.6 miles each side of the 178 bearing from reference in 14 CFR 71.1. This Class E levels of government. Therefore, it is the Festus NDB extending from the 6.2 mile airspace designation listed in this determined that this final rule does not radius of the airport to 7 miles south of the document will be published have federalism implications under NDB. subsequently in the Order. Executive Order 13132. * * * * * The FAA has determined that this The Direct Final Rule Procedure Issued in Kansas City, MO, on February 26, regulation is noncontroversial and 2004. The FAA anticipates that this unlikely to result in adverse or negative Paul J. Sheridan, regulation will not result in adverse or comments. For the reasons discussed in negative comment and, therefore, is the preamble, I certify that this Acting Manager, Air Traffic Division, Central issuing it as a direct final rule. Previous regulation (1) is not a ‘‘significant Region. actions of this nature have not been regulatory action’’ under Executive [FR Doc. 04–5171 Filed 3–5–04; 8:45 am] controversial and have not resulted in Order 12866; (2) is not a ‘‘significant BILLING CODE 4910–13–M

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DEPARTMENT OF TRANSPORTATION meet the criteria for 700 feet AGL period, an adverse or negative comment, airspace required for diverse departures or written notice of intent to submit Federal Aviation Administration as specified in FAA Order 7400.2E, such a comment, a document Procedures for Handling Airspace withdrawing the direct final rule will be 14 CFR Part 71 Matters. The criteria in FAA Order published in the Federal Register, and [Docket No. FAA–2004–17149; Airspace 7400.2E for an aircraft to reach 1200 feet a notice of proposed rulemaking may be Docket No. 04–ACE–15] AGL is based on a standard climb published with a new comment period. gradient of 200 feet per mile plus the Comments Invited Modification of Class E Airspace; distance from the airport reference point Fulton, MO (ARP) to the end of the outermost Interested parties are invited to runway. Any fractional part of a mile is participate in this rulemaking by AGENCY: Federal Aviation converted to the next higher tenth of a submitting such written data, views, or Administration (FAA), DOT. mile. The examination also revealed arguments, as they may desire. ACTION: Direct final rule; request for discrepancies in the Elton Hensley Comments that provide the factual basis comments. Memorial Airport ARP used in the legal supporting the views and suggestions description for this airspace area. presented are particularly helpful in SUMMARY: This action amends Title 14 Additionally, the review identified that developing reasoned regulatory Code of Federal Regulations, part 71 (14 the Fulton, MO Class E airspace area decisions on the proposal. Comments CFR 71) by revising Class E airspace at extensions are not of appropriate are specifically invited on the overall Fulton, MO. A review of controlled dimensions per criteria set forth in FAA regulatory, aeronautical, economic, airspace for Elton Hensley Memorial Order 8260.19C, Flight Procedures and environmental, and energy-related Airport revealed it does not comply Airspace. This amendment expands the aspects of the proposal. with the criteria for 700 feet above airspace area from a 6-mile radius to a Communications should identify both ground level (AGL) airspace required for 6.3-mile radius of Elton Hensley docket numbers and be submitted in diverse departures. The review also Memorial Airport, incorporates the triplicate to the address listed above. identified discrepancies in the legal revised Elton Hensley Memorial Airport Commenters wishing the FAA to description for the Fulton, MO Class E ARP into the legal description, acknowledge receipt of their comments airspace area. The area is modified and decreases the length of the Class E on this notice must submit with those enlarged to conform to the criteria in airspace area extensions from 7.4 miles comments a self-addressed, stamped FAA Orders. to 7 miles from the Guthrie postcard on which the following DATES: This direct final rule is effective nondirectional radio beacon (NDB) and statement is made: ‘‘Comments to on 0901 UTC, June 10, 2004. Comments brings the legal description of the Docket No. FAA–2004–17149/Airspace for inclusion in the Rules Docket must Fulton, MO Class E airspace area into Docket No. 04–ACE–15.’’ The postcard be received on or before April 19, 2004. compliance with FAA Orders 7400.2E will be date/time stamped and returned ADDRESSES: Send comments on this and 8260.19C. This area will be to the commenter. proposal to the Docket Management depicted on appropriate aeronautical System, U.S. Department of charts. Class E airspace areas extending Agency Findings Transportation, Room Plaza 401, 400 upward from 700 feet or more above the The regulations adopted herein will Seventh Street, SW., Washington, DC surface of the earth are published in not have a substantial direct effect on 20590–0001. You must identify the paragraph 6005 of FAA Order 7400.9L, the States, on the relationship between Airspace Designations and Reporting docket number FAA–2004–17149/ the national Government and the States, Points, dated September 2, 2003, and Airspace Docket No. 04–ACE–15, at the or on the distribution of power and effective September 16, 2003, which is beginning of your comments. You may responsibilities among the various incorporated by reference in 14 CFR also submit comments on the Internet at levels of government. Therefore, it is 71.1. The Class E airspace designation http://dms.dot.gov. You may review the determined that this final rule does not listed in this document will be public docket containing the proposal, have federalism implications under published subsequently in the Order. any comments received, and any final Executive Order 13132. disposition in person in the Dockets The Direct Final Rule Procedure The FAA has determined that this Office between 9 a.m. and 5 p.m., The FAA anticipates that this regulation is noncontroversial and Monday through Friday, except Federal regulation will not result in adverse or unlikely to result in adverse or negative holidays. The Docket Office (telephone negative comment and, therefore, is comments. For the reasons discussed in 1–800–647–5527) is on the plaza level issuing it as a direct final rule. Previous the preamble, I certify that this of the Department of Transportation actions of this nature have not been regulation (1) is not a ‘‘significant NASSIF Building at the above address. controversial and have not resulted in regulatory action’’ under Executive FOR FURTHER INFORMATION CONTACT: adverse comments or objections. Unless Order 12866; (2) is not a ‘‘significant Brenda Mumper, Air Traffic Division, a written adverse or negative comment, rule’’ under Department of Airspace Branch, ACE–520A, DOT or a written notice of intent to submit Transportation (DOT) Regulatory Municipal Headquarters Building, an adverse or negative comment is Policies and Procedures (44 FR 11034, Federal Aviation Administration, 901 received within the comment period, February 26, 1979); and (3) if Locust, Kansas City, MO 64106; the regulation will become effective on promulgated, will not have a significant telephone: (816) 329–2524. the date specified above. After the close economic impact, positive or negative, SUPPLEMENTARY INFORMATION: This of the comment period, the FAA will on a substantial number of small entities amendment to 14 CFR 71 modifies the publish a document in the Federal under the criteria of the Regulatory Class E airspace area extending upward Register indicating that no adverse or Flexibility Act. from 700 feet above the surface at negative comments were received and List of Subjects in 14 CFR Part 71 Fulton, MO. An examination of confirming the date on which the final controlled airspace for Elton Hensley rule will become effective. If the FAA Airspace, Incorporation by reference, Memorial Airport revealed it does not does receive, within the comment Navigation (air).

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Adoption of the Amendment ACTION: Direct final rule; confirmation of FOR FURTHER INFORMATION CONTACT: effective date. Kathy Randolph, Air Traffic Division, ■ Accordingly, the Federal Aviation Airspace Branch, ACE–520C, DOT Administration amends 14 CFR part 71 SUMMARY: This document confirms the Regional Headquarters Building, Federal as follows: effective date of the direct final rule Aviation Administration, 901 Locust, which revises Class E airspace at Kansas City, MO 64106; telephone (816) PART 71—DESIGNATION OF CLASS A, Marysville, KS. CLASS B, CLASS C, CLASS D, AND 329–2525. DATES: 0901 UTC, April 15, 2004. CLASS E AIRSPACE AREAS; SUPPLEMENTARY INFORMATION: The FAA AIRWAYS; ROUTES; AND REPORTING FOR FURTHER INFORMATION CONTACT: published this direct final rule with a POINTS Kathy Randolph, Air Traffic Division, request for comments in the Federal Airspace Branch, ACE–520C, DOT Register on January 12, 2004 (69 FR ■ 1. The authority citation for part 71 Regional Headquarters Building, Federal 1666). The FAA uses the direct final continues to read as follows: Aviation Administration, 901 Locust, rulemaking procedure for a non- Authority: 49 U.S.C. 106(g), 40103, 40113, Kansas City, MO 64106; telephone: controversial rule where the FAA 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– (816) 329–2525. believes that there will be no adverse 1963 Comp., p. 389. SUPPLEMENTARY INFORMATION: The FAA public comment. This direct final rule advised the public that no adverse § 71.1 [Amended] published this direct final rule with a request for comments in the Federal comments were anticipated, and that ■ 2. The incorporation by reference in Register on January 12, 2004 (69 FR unless a written adverse comment, or a 14 CFR 71.1 of Federal Aviation 1663) and subsequently published a written notice of intent to submit such Administration Order 7400.9L, dated correction to the direct final rule on an adverse comment, were received September 2, 2003, and effective February 3, 2004 (69 FR 5011). The FAA within the comment period, the September 16, 2003, is amended as uses the direct final rulemaking regulation would become effective on follows: procedure for a non-controversial rule April 15, 2004. No adverse comments * * * * * where the FAA believes that there will were received, and thus this notice be no adverse public comment. This confirms that this direct final rule will Paragraph 6005 Class E airspace areas direct final rule advised the public that become effective on that date. extending upward from 700 feet or more no adverse comments were anticipated, Issued in Kansas City, MO, on February 26, above the surface of the earth. and that unless a written adverse 2004. * * * * * comment, or a written notice of intent Paul J. Sheridan, ACE MO E5 Fulton, MO to submit such an adverse comment, Acting Manager, Air Traffic Division, Central were received within the comment Fulton, Elton Hensley Memorial Airport, MO Region. (Lat. 38°50’24’’ N., long. 92°00’15’’ W.) period, the regulation would become [FR Doc. 04–5177 Filed 3–5–04; 8:45 am] Guthrie NDB effective on April 15, 2004. No adverse BILLING CODE 4910–13–M (Lat. 38°50’34’’ N., long. 92°00’17’’ W.) comments were received, and thus this That airspace extending upward from 700 notice confirms that this direct final rule feet above the surface within a 6.3-mile will become effective on that date. DEPARTMENT OF TRANSPORTATION radius of Elton Hensley Memorial Airport Issued in Kansas City, MO, on February 26, ° and within 2.6 miles each side of the 069 2004. Federal Aviation Administration bearing from the Guthrie NDB extending Paul J. Sheridan, from the 6.3 mile radius of the airport to 7 14 CFR Part 71 miles northeast of the NDB and within 2.6 Acting Manager, Air Traffic Division, Central miles each side of 229° bearing from the NDB Region. [Docket No. FAA–2003–16759; Airspace extending from the 6.3 mile radius of the [FR Doc. 04–5176 Filed 3–5–04; 8:45 am] Docket No. 03–ACE–96] airport to 7 miles southwest of the NDB. BILLING CODE 4910–13–M * * * * * Modification of Class E Airspace; Clay Center, KS Issued in Kansas City, MO, on February 26, DEPARTMENT OF TRANSPORTATION 2003. AGENCY: Federal Aviation Paul J. Sheridan, Federal Aviation Administration Administration (FAA), DOT. Acting Manager, Air Traffic Division, Central ACTION: Direct final rule; confirmation of Region. 14 CFR Part 71 effective date. [FR Doc. 04–5170 Filed 3–5–04; 8:45 am] [Docket No. FAA–2003–16761; Airspace SUMMARY: This document confirms the BILLING CODE 4910–13–M Docket No. 03–ACE–98] effective date of the direct final rule which revises Class E airspace at Clay Modification of Class E Airspace; Fort Center, KS. DEPARTMENT OF TRANSPORTATION Scott, KS EFFECTIVE DATE: 0901 UTC, April 15, Federal Aviation Administration AGENCY: Federal Aviation 2004. Administration (FAA), DOT. FOR FURTHER INFORMATION CONTACT: 14 CFR Part 71 ACTION: Direct final rule; confirmation of Kathy Randolph, Air Traffic Division, effective date. Airspace Branch, ACE–520C, DOT [Docket No. FAA–2003–16762; Airspace Regional Headquarters Building, Federal Docket No. 03–ACE–99] SUMMARY: This document confirms the Aviation Administration, 901 Locust, effective date of the direct final rule Kansas City, MO 64106; telephone: Modification of Class E Airspace; which revises Class E airspace at Fort (816) 329–2525. Marysville, KS Scott, KS. SUPPLEMENTARY INFORMATION: The FAA AGENCY: Federal Aviation EFFECTIVE DATE: 0901 UTC, April 15, published this direct final rule with a Administration (FAA), DOT. 2004. request for comments in the Federal

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Register on January 12, 2004 (69 FR and that unless a written adverse docket number FAA–2004–17143/ 1671). The FAA uses the direct final comment, or a written notice of intent Airspace Docket No. 04–ACE–9, at the rulemaking procedure for a non- to submit such an adverse comment, beginning of your comments. You may controversial rule where the FAA were received within the comment also submit comments on the Internet at believes that there will be no adverse period, the regulation would become http://dms.dot.gov. You may review the public comment. This direct final rule effective on April 15, 2004. No adverse public docket containing the proposal, advised the public that no adverse comments were received, and thus this any comments received, and any final comments were anticipated, and that notice confirms that this direct final rule disposition in person in the Dockets unless a written adverse comment, or a will become effective on that date. Office between 9 a.m. and 5 p.m., written notice of intent to submit such Issued in Kansas City, MO, on February 23, Monday through Friday, except Federal an adverse comment, were received 2004. holidays. The Docket Office (telephone within the comment period, the Paul J. Sheridan, 1–800–647–5527) is on the plaza level regulation would become effective on Acting Manager, Air Traffic Division, Central of the Department of Transportation April 15, 2004. No adverse comments Region. NASSIF Building at the above address. were received, and thus this notice [FR Doc. 04–5179 Filed 3–5–04; 8:45 am] FOR FURTHER INFORMATION CONTACT: confirms that this direct final rule will BILLING CODE 4910–13–M Kathy Randolph, Air Traffic Division, become effective on that date. Airspace Branch, ACE–520C DOT Issued in Kansas City, MO, on February 26, Regional Headquarters Building, Federal 2004. DEPARTMENT OF TRANSPORTATION Aviation Administration, 901 Locust, Paul J. Sheridan, Kansas City, MO 64106; telephone: Acting Manager, Air Traffic Division, Central Federal Aviation Administration (816) 329–2525. Region. SUPPLEMENTARY INFORMATION: This [FR Doc. 04–5178 Filed 3–5–04; 8:45 am] 14 CFR Part 71 amendment to 14 CFR 17 revises the BILLING CODE 4910–13–M [Docket No. FAA–2004–17143; Airspace Class E airspace at Iowa City, IA. The Docket No. 04–ACE–9] Hawkeye NDB has been decommissioned. NDB Runway (RWY) DEPARTMENT OF TRANSPORTATION Modification of Class E Airspace; Iowa 30 SIAP and NDB or Global Positioning City, IA System (GPS)–A SIAP that serve Iowa Federal Aviation Administration City Municipal Airport are cancelled AGENCY: Federal Aviation effective April 15, 2004. Controlled Administration (FAA), DOT. 14 CFR Part 71 airspace extending upward from 700 ACTION: Direct final rule; request for [Docket No. FAA–2003–16747; Airspace feet AGL that accommodates these Docket No. 03–ACE–91] comments. SIAPs will no longer be needed. The amendment to Class E airspace at Iowa SUMMARY: This action amends title 14 Modification of Class E Airspace; Iowa City, IA provides controlled airspace at Code of Federal Regulations, part 71 (14 Falls, IA and above 700 feet AGL to contain the CFR 71) by revising Class E airspace at remaining SIAPs that serve Iowa City AGENCY: Federal Aviation Iowa City, IA. The nondirectional radio Municipal Airport. The additional Class Administration (FAA), DOT. beacon (NDB) navigation aid associated E airspace necessary for the NDB or with Iowa City Municipal Airport has ACTION: Direct final rule; confirmation of GPS–A SIAP is revoked. The Hawkeye been decommissioned. Standard effective date. NDB and coordinates, and reference to instrument approach procedures these, are deleted from the legal SUMMARY: This document confirms the (SIAPs) utilizing the NDB are cancelled description of Iowa City, IA Class E5 effective date of the direct final rule effective April 15, 2004. Controlled airspace. These actions bring the Iowa which revises Class E airspace at Iowa airspace extending upward from 700 City, IA Class E airspace into Falls, IA. feet Above Ground Level (AGL) that compliance with FAA Order 7400.2E, EFFECTIVE DATE: 0901 UTC, April 15, accommodates these SIAPs will no Procedures for Handling Airspace 2004. longer be needed. Matters. The area will be depicted on The intended effect of this rule is to FOR FURTHER INFORMATION CONTACT: appropriate aeronautical charts. Class E provide appropriate controlled Class E Kathy Randolph, Air Traffic Division, airspace areas extending upward from airspace for aircraft operating under Airspace Branch, ACE–502C, DOT 700 feet or more above the surface of the Instrument Flight Rules (IFR) at Iowa Regional Headquarters Building, Federal earth are published in paragraph 6005 of City, IA, to delete the Hawkeye NDB Aviation Administration, 901 Locust, FAA Order 7400.9L, Airspace and coordinates from the Iowa City, IA Kansas City, MO 64106; telephone: Designations and Reporting Points, Class E airspace area legal description (816) 329–2525. dated September 2, 2003, and effective and to bring the area into compliance SUPPLEMENTARY INFORMATION: The FAA September 16, 2003, which is with FAA Orders. published this direct final rule with a incorporated by reference in 14 CFR request for comments in the Federal DATES: This direct final rule is effective 71.1. The Class E airspace designation Register on January 12, 2004 (69 FR on 0901 UTC, June 10, 2004. listed in this document will be 1662), and subsequently published a Comments for inclusion in the Rules published subsequently in the Order. correction to the direct final rule on Docket must be received on or before January 20, 2004 (69 FR 2816). The FAA April 14, 2004. The Direct Final Rule Procedure uses the direct final rulemaking ADDRESSES: Send comments on this The FAA anticipates that this procedure for a non-controversial rule proposal to the Docket Management regulation will not result in adverse or where the FAA believes that there will System, U.S. Department of negative comment and, therefore, is be no adverse public comment. This Transportation, Room Plaza 401, 400 issuing it as a direct final rule. Previous direct final rule advised the public that Seventh Street, SW., Washington, DC actions of this nature have not been no adverse comments were anticipated, 20590–0001. You must identify the controversial and have not resulted in

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adverse comments or objections. Unless regulation (1) is not a ‘‘significant DEPARTMENT OF TRANSPORTATION a written adverse or negative comment, regulatory action’’ under Executive or a written notice of intent to submit Order 12866; (2) is not a ‘‘significant Federal Aviation Administration an adverse or negative comment is rule’’ under Department of received within the comment period, Transportation (DOT) Regulatory 14 CFR Part 71 the regulation will become effective on Policies and Procedures (44 FR 11034, February 26, 1979); and (3) if the date specified above. After the close [Docket No. FAA–2003–16748; Airspace promulgated, will not have a significant of the comment period, the FAA will Docket No. 03–ACE–92] publish a document in the Federal economic impact, positive or negative, Register indicating that no adverse or on a substantial number of small entities Modification of Class E Airspace; negative comments were received and under the criteria of the Regulatory Anthony, KS confirming the date on which the final Flexibility Act. rule will become effective. If the FAA List of Subjects in 14 CFR Part 71 AGENCY: Federal Aviation does receive, within the comment Administration (FAA), DOT. period, an adverse or negative comment, Airspace, Incorporation by reference, or written notice of intent to submit Navigation (air). ACTION: Direct final rule; confirmation of such a comment, a document Adoption of the Amendment effective date. withdrawing the direct final rule will be ■ published in the Federal Register, and Accordingly, the Federal Aviation SUMMARY: This document confirms the a notice of proposed rulemaking may be Administration amends 14 CFR part 71 effective date of the direct final rule as follows: published with a new comment period. which revises Class E airspace at Comments Invited PART 71—DESIGNATION OF CLASS A, Anthony, KS. Interested parties are invited to CLASS B, CLASS C, CLASS D, AND DATES: 0901 UTC, April 15, 2004. participate in this proposed rulemaking CLASS E AIRSPACE AREAS; FOR FURTHER INFORMATION CONTACT: by submitting such written data, views, AIRWAYS; ROUTES; AND REPORTING Kathy Randolph, Air Traffic Division, or arguments, as they may desire. POINTS Airspace Branch, ACE–520C, DOT Comments that provide the factual basis ■ 1. The authority citation for part 71 Regional Headquarters Building, Federal supporting the views and suggestions continues to read as follows: presented are particularly helpful in Aviation Administration, 901 Locust, Authority: 49 U.S.C. 106(g), 40103, 40113, developing reasoned regulatory Kansas City, MO 64106; telephone: 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– (816) 329–2525. decisions on the proposal. Comments 1963 Comp., p. 389. are specifically invited on the overall SUPPLEMENTARY INFORMATION: The FAA § 71.1 [Amended] regulatory, aeronautical, economic, published this direct final rule with a environmental, and energy-related ■ 2. The incorporation by reference in request for comments in the Federal aspects of the proposal. 14 CFR 71.1 of Federal Aviation Register on January 12, 2004 (69 FR Communications should identify both Administration Order 7400.9L, dated 1664), and subsequently published a docket numbers and be submitted in September 2, 2003, and effective correction to the direct final rule in the triplicate to the address listed above. September 16, 2003, is amended as Federal Register on January 20, 2004 Commenters wishing the FAA to follows: acknowledge receipt of their comments (69 FR 2816). The FAA uses the direct on this notice must submit with those Paragraph 6005 Class E airspace areas final rulemaking procedure for a non- extending upward from 700 feet or more controversial rule where the FAA comments a self-addressed, stamped above the surface of the earth. postcard on which the following believes that there will be no adverse statement is made: ‘‘Comments to * * * * * public comment. This direct final rule Docket No. FAA–2004–17143/Airspace ACE IA E5 Iowa City, IA advised the public that no adverse Docket No. 04–ACE–9.’’ The postcard Iowa City Municipal Airport, IA comments were anticipated, and that will be date/time stamped and returned (Lat. 41 °38[min]21[sec] N., long. unless a written adverse comment, or a to the commenter. 91°32[min]47[sec] W.) written notice of intent to submit such Iowa City VORTAC an adverse comment, were received Agency Findings (Lat. 41°31[min]08[sec] N., long. within the comment period, the ° The regulations adopted herein will 91 36[min]48[sec] W.) regulation would become effective on not have a substantial direct effect on That airspace extending upward from 700 April 15, 2004. No adverse comments the States, on the relationship between feet above the surface within a 6.5-mile were received, and thus this notice radius of Iowa City Municipal Airport and the national Government and the States, confirms that this direct final rule will or on the distribution of power and within 1.8 miles each side of the Iowa City VORTAC 024° radial extending from the 6.5 become effective on that date. responsibilities among the various mile radius of the airport to the VORTAC. levels of government. Therefore, it is Issued in Kansas City, MO, on February 23, determined that this final rule does not * * * * * 2004. have federalism implications under Issued in Kansas City, MO on February 24, Paul J. Sheridan, Executive Order 13132. 2004. Acting Manager, Air Traffic Division, Central The FAA has determined that this Paul J. Sheridan, Region. regulation is noncontroversial and Acting Manager, Air Traffic Division, Central [FR Doc. 04–5181 Filed 3–5–04; 8:45 am] Region. unlikely to result in adverse or negative BILLING CODE 4910–13–M comments. For the reasons discussed in [FR Doc. 04–5180 Filed 3–5–04; 8:45 am] the preamble, I certify that this BILLING CODE 4910–13–M

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DEPARTMENT OF TRANSPORTATION DEPARTMENT OF TRANSPORTATION DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration Federal Aviation Administration Federal Aviation Administration

14 CFR Part 71 14 CFR Part 71 14 CFR Part 95 [Docket No. 30407; Amdt. No. 447] [Docket No. FAA–2003–16749; Airspace [Docket No. FAA–2003–16408; Airspace Docket No. 03–ACE–93] Docket No. 03–ACE–76] IFR Altitudes; Miscellaneous Amendments Modification of Class E Airspace; Modification of Class E Airspace; Beloit, KS Plattsmouth, NE AGENCY: Federal Aviation Administration (FAA), DOT. AGENCY: Federal Aviation AGENCY: Federal Aviation ACTION: Final rule. Administration (FAA), DOT. Administration (FAA), DOT. SUMMARY: This amendment adopts ACTION: Direct final rule; confirmation of ACTION: Direct final rule; confirmation of miscellaneous amendments to the effective date. effective date. required IFR (instrument flight rules) altitudes and changeover points for SUMMARY: This document confirms the SUMMARY: This document confirms the certain Federal airways, jet routes, or effective date of the direct final rule effective date of the direct final rule direct routes for which a minimum or which revises Class E airspace at Beloit, which revises Class E airspace at maximum en route authorized IFR KS. Plattsmouth, NE. altitude is prescribed. This regulatory action is needed because of changes EFFECTIVE DATE: 0901 UTC, April 15, EFFECTIVE DATE: 0901 UTC, April 15, occurring in the National Airspace 2004. 2004. System. These changes are designed to FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: provide for the safe and efficient use of Kathy Randolph, Air Traffic Division, Brenda Mumper, Air Traffic Division, the navigable airspace under instrument Airspace Branch, ACE–520C, DOT Airspace Branch, ACE–520A, DOT conditions in the affected areas. Regional Headquarters Building, Federal Regional Headquarters Building, Federal EFFECTIVE DATE: 0901 UTC, April 15, Aviation Administration, 901 Locust, Aviation Administration, 901 Locust, 2004. Kansas City, MO 64106; telephone: Kansas City, MO 64106; telephone: FOR FURTHER INFORMATION CONTACT: (816) 329–2525. (816) 329–2524. Donald P. Pate, Flight Procedure Standards Branch (AMCAFS–420), SUPPLEMENTARY INFORMATION: The FAA SUPPLEMENTARY INFORMATION: The FAA Flight Technologies and Programs published this direct final rule with a published this direct final rule with a Division, Flight Standards Service, request for comments in the Federal request for comments in the Federal Federal Aviation Administration, Mike Register on January 12, 2004 (69 FR Register on January 6, 2004 (69 FR 495) Monroney Aeronautical Center, 6500 1661), and subsequently published a and subsequently published a correction South MacArthur Blvd., Oklahoma City, correction to the direct final rule in the to the direct final rule in the Federal OK 73169 (Mail Address: P.O. Box Federal Register on February 3, 2004 Register on January 12, 2004 (69 FR 25082, Oklahoma City, OK. 73125) (69 FR 5012). The FAA uses the direct 1783). The FAA uses the direct final telephone: (405) 954–4164. final rulemaking procedure for a non- rule making procedure for a non- SUPPLEMENTARY INFORMATION: This controversial rule where the FAA controversial rule where the FAA amendment to part 95 of the Federal believes that there will be no adverse believes that here will be no adverse Aviation Regulations (14 CFR part 95) public comment. This direct final rule public comment. This direct final rule amends, suspends, or revokes IFR advised the public that no adverse advised the public that no adverse altitudes governing the operation of all comments were anticipated, and that comments were anticipated, and that aircraft in flight over a specified route unless a written adverse comment, or a unless a written adverse comment, or a or any portion of that route, as well as written notice of intent to submit such written notice of intent to submit such the changeover points (COPs) for an adverse comment, were received an adverse comment, were received Federal airways, jet routes, or direct within the comment period, the within the comment period, the routes as prescribed in part 95. regulation would become effective on regulation would become effective on The Rule April 15, 2004. No adverse comments April 15, 2004. No adverse comments were received, and thus this notice were received, and thus this notice The specified IFR altitudes, when used in conjunction with the prescribed confirms that this direct final rule will confirms that this direct final rule will changeover points for those routes, become effective on that date. become effective on that date. ensure navigation aid coverage that is Issued in Kansas City, MO, on February 23, Issued in Kansas City, MO, on February 23, adequate for safe flight operations and 2004. 2004. free of frequency interference. The Paul J. Sheridan, Paul J. Sheridan, reasons and circumstances that create Acting Manager, Air Traffic Division, Central Acting Manager, Air Traffic Division, Central the need for this amendment involve Region. Region. matters of flight safety and operational [FR Doc. 04–5182 Filed 3–5–04; 8:45 am] [FR Doc. 04–5183 Filed 3–5–04; 8:45 am] efficiency in the National Airspace System, are related to published BILLING CODE 4910–13–M BILLING CODE 4910–13–M aeronautical charts that are essential to the user, and provide for the safe and efficient use of the navigable airspace. In addition, those various reasons or

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circumstances require making this necessary to keep them operationally Issued in Washington, DC, on March 2, amendment effective before the next current. It, therefore—(1) is not a 2004. scheduled charting and publication date ‘‘significant regulatory action’’ under James J. Ballough, of the flight information to assure its Executive Order 12866; (2) is not a Director, Flight Standards Service. timely availability to the user. The ‘‘significant rule’’ under DOT Adoption of the Amendment effective date of this amendment reflects Regulatory Policies and Procedures (44 those considerations. In view of the FR 11034; February 26, 1979); and (3) ■ Accordingly, pursuant to the authority close and immediate relationship does not warrant preparation of a delegated to me by the Administrator, between these regulatory changes and regulatory evaluation as the anticipated part 95 of the Federal Aviation safety in air commerce, I find that notice impact is so minimal. For the same Regulations (14 CFR part 95) is and public procedure before adopting reason, the FAA certifies that this amended as follows effective at 0901 this amendment are impracticable and amendment will not have a significant UTC, April 15, 2004. contrary to the public interest and that economic impact on a substantial good cause exists for making the PART 95—[AMENDED] number of small entities under the amendment effective in less than 30 ■ 1. The authority citation for part 95 days. criteria of the Regulatory Flexibility Act. continues to read as follows: List of Subjects in 14 CFR Part 95 Conclusion Authority: 49 U.S.C. 106(g), 40103, 40106, The FAA has determined that this Airspace, Navigation (air). 40113, 40114, 40120, 44502, 44514, 44719, regulation only involves an established 44721. body of technical regulations for which ■ 2. Part 95 is amended to read as frequent and routine amendments are follows:

REVISIONS TO IFR ALTITUDES & CHANGEOVER POINTS [Amendment 447; Effective Date April 15, 2004]

From To MEA

§ 95.6001 Victor Routes-U.S. § 95.6070 VOR Federal Airway 70 Is Amended to Read in Part

Wilmington, NC VORTAC ...... Beula, NC FIX ...... 5,000

§ 95.6195 VOR Federal Airway 195 Is Amended to Read in Part

Tomad, CA FIX ...... *Yager, CA FIX ...... **9,500 *7,700—MCA Yager FIX E BND. **7,900—MOCA.

§ 95.6210 VOR Federal Airway 210 Is Amended to Read in Part

Spery, PA FIX ...... Propp, PA FIX ...... *3,000 *2,200—MOCA.

§ 95.6213 VOR Federal Airway 213 Is Amended to Read in Part

Wilmington, NC VORTAC ...... Wallo, NC FIX ...... *5,000 *3,000—MOCA.

§ 95.6296 VOR Federal Airway 296 Is Amended to Read in Part

Rapvy, NC FIX ...... Wilmington, NC VORTAC ...... *5,000 *3,000—MOCA.

§ 95.6136 VOR Federal Airway 307 Is Amended to Delete

US Canadian Border ...... Ann, AK VORTAC ...... 5000

§ 95.6136 VOR Federal Airway 362 Is Amended to Delete

US Canadian Border ...... Ann, AK VORTAC ...... 5000 4900*MOCA.

Changeover Points From To Distance From

§ 95.8003 VOR Federal Airway Changeover Points Airway Segment V–165 Is Amended to Add Changeover Point

Deschutes, OR VORTAC ...... Newberg, OR VOR/DME ...... 43 Deschutes, OR VORTAC

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[FR Doc. 04–5152 Filed 3–5–04; 8:45 am] 2. The FAA Regional Office of the safety relating directly to published BILLING CODE 4910–13–P region in which the affected airport is aeronautical charts. The circumstances located. which created the need for some SIAP By Subscription—Copies of all SIAPs, amendments may require making them DEPARTMENT OF TRANSPORTATION mailed once every 2 weeks, are for sale effective in less than 30 days. For the by the Superintendent of Documents, remaining SIAPs, an effective date at Federal Aviation Administration U.S. Government Printing Office, least 30 days after publication is Washington, DC 20402. 14 CFR Part 97 provided. FOR FURTHER INFORMATION CONTACT: Further, the SIAPs contained in this Donald P. Pate, Flight Procedure amendment are based on the criteria [Docket No. 30406; Amdt. No. 3091] Standards Branch (AMCAFS–420), contained in the U.S. Standard for Flight Technologies and Programs Standard Instrument Approach Division, Flight Standards Service, Terminal Instrument Procedures Procedures; Miscellaneous Federal Aviation Administration, Mike (TERPS). In developing these SIAPs, the Amendments Monroney Aeronautical Center, 6500 TERPS criteria were applied to the conditions existing or anticipated at the AGENCY: Federal Aviation South MacArthur Blvd., Oklahoma City, affected airports. Because of the close Administration (FAA), DOT. OK 73169 (Mail Address: P.O. Box 25082, Oklahoma City, OK 73125) and immediate relationship between ACTION: Final rule. telephone: (405) 954–4164. these SIAPs and safety in air commerce, I find that notice and public procedure SUMMARY: This amendment establishes, SUPPLEMENTARY INFORMATION: This amends, suspends, or revokes Standard amendment to part 97 of the Federal before adopting these SIAPs are Instrument Approach Procedures Aviation Regulations (14 CFR part 97) impracticable and contrary to the public (SIAPs) for operations at certain establishes, amends, suspends, or interest and, where applicable, that airports. These regulatory actions are revokes Standard Instrument Approach good cause exists for making some needed because of the adoption of new Procedures (SIAPs). The complete SIAPs effective in less than 30 days. or revised criteria, or because of changes regulatory description of each SIAP is Conclusion occurring in the National Airspace contained in official FAA form System, such as the commissioning of documents which are incorporated by The FAA has determined that this new navigational facilities, addition of reference in this amendment under 5 regulation only involves an established new obstacles, or changes in air traffic U.S.C. 552(a), 1 CFR part 51, and § body of technical regulations for which requirements. These changes are 97.20 of the Federal Aviation frequent and routine amendments are designed to provide safe and efficient Regulations (FAR). The applicable FAA necessary to keep them operationally use of the navigable airspace and to Forms are identified as FAA Forms current. It, therefore—(1) is not a promote safe flight operations under 8260–3, 8260–4, and 8260–5. Materials ‘‘significant regulatory action’’ under instrument flight rules at the affected incorporated by reference are available Executive Order 12866; (2) is not a for examination or purchase as stated airports. ‘‘significant rule’’ under DOT above. DATES: This rule is effective March 8, Regulatory Policies and Procedures (44 The large number of SIAPs, their 2004. The compliance date for each FR 11034; February 26, 1979); and (3) SIAP is specified in the amendatory complex nature, and the need for a special format make their verbatim does not warrant preparation of a provisions. regulatory evaluation as the anticipated The incorporation by reference of publication in the Federal Register expensive and impractical. Further, impact is so minimal. For the same certain publications listed in the reason, the FAA certifies that this regulations is approved by the Director airmen do not use the regulatory text of the SIAPs, but refer to their graphic amendment will not have a significant of the Federal Register as of March 8, economic impact on a substantial 2004. depiction on charts printed by publishers of aeronautical materials. number of small entities under the ADDRESSES: Availability of matters Thus, the advantages of incorporation criteria of the Regulatory Flexibility Act. incorporated by reference in the by reference are realized and List of Subjects in 14 CFR Part 97 amendment is as follows: publication of the complete description For Examination— of each SIAP contained in FAA form Air traffic control, Airports, 1. FAA Rules Docket, FAA documents is unnecessary. The Incorporation by reference, and Headquarters Building, 800 provisions of this amendment state the Navigation (air). Independence Avenue, SW., affected CFR (and FAR) sections, with Washington, DC 20591; the types and effective dates of the Issued in Washington, DC, on February 27, 2. The FAA Regional Office of the SIAPs. This amendment also identifies 2004. region in which the affected airport is the airport, its location, the procedure James J. Ballough, located; identification and the amendment Director, Flight Standards Service. 3. The Flight Inspection Area Office number. which originated the SIAP; or, Adoption of the Amendment 4. The Office of Federal Register, 800 The Rule ■ North Capitol Street, NW., Suite 700, This amendment to part 97 is effective Accordingly, pursuant to the authority Washington, DC. upon publication of each separate SIAP delegated to me, part 97 of the Federal For Purchase—Individual SIAP as contained in the transmittal. Some Aviation Regulations (14 CFR part 97) is copies may be obtained from: SIAP amendments may have been amended by establishing, amending, 1. FAA Public Inquiry Center (APA– previously issued by the FAA in a suspending, or revoking Standard 200), FAA Headquarters Building, 800 National Flight Data Center (NFDC) Instrument Approach Procedures, Independence Avenue, SW., Notice to Airmen (NOTAM) as an effective at 0901 UTC on the dates Washington, DC 20591; or emergency action of immediate flight specified, as follows:

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PART 97—STANDARD INSTRUMENT DEPARTMENT OF HEALTH AND DEPARTMENT OF HOMELAND APPROACH PROCEDURES HUMAN SERVICES SECURITY

■ 1. The authority citation for part 97 Food and Drug Administration Coast Guard continues to read as follows: 33 CFR Part 117 Authority: 49 U.S.C. 106(g), 40103, 40106, 21 CFR Part 870 40113, 40114, 40120, 44502, 44514, 44701, [CGD05–04–041] 44719, 44721–44722. [Docket Nos. 1994N–0418 and 1996P–0276] RIN 1625–AA–09 ■ 2. Part 97 is amended to read as Medical Devices: Cardiovascular follows: Drawbridge Operation Regulations; Devices: Reclassification of the Albemarle and Chesapeake Canal, * * * Effective April 15, 2004 Arrhythmia Detector and Alarm; AICW, Virginia Orlando, FL, Executive, RNAV (GPS) RWY 7, Correction Orig-A AGENCY: Coast Guard, DHS. Orlando, FL, Executive, RNAV (GPS) RWY AGENCY: Food and Drug Administration, ACTION: Notice of temporary deviation 25, Orig-A HHS. from regulations. Orlando, FL, Executive, ILS OR LOC RWY 7, Amdt 22A ACTION: Final rule; correction. SUMMARY: The Commander, Fifth Coast Orlando, FL, Executive, VOR/DME RWY 7, Guard District, has approved a Amdt 1A SUMMARY: The Food and Drug temporary deviation from the Orlando, FL, Executive, VOR/DME RWY 25, Administration (FDA) is correcting a regulations governing the operation of Amdt 2A final rule that appeared in the Federal the new S168 (Great Bridge) lift-span Orlando, FL, Executive, LOC BC RWY 25, Register of October 28, 2003 (68 FR bridge across the Albemarle and Amdt 21A Chesapeake Canal, Atlantic Intracoastal Orlando, FL, Executive, NDB RWY 7, Amdt 61342). That document issued a final 16A rule reclassifying arrhythmia detector Waterway (AICW) mile 12.0, at Eunice, LA, Eunice, NDB RWY 16, Amdt 1 and alarm devices from class III to class Chesapeake, Virginia to allow the bridge Albert Lea, MN, Albert Lea Muni, VOR/DME II (special controls). This device is used owner to conduct the demolition of the RWY 34, Orig to monitor an electrocardiogram (ECG) existing S168 (Great Bridge) swing-span Albert Lea, MN, Albert Lea Muni, VOR RWY and to produce a visible or audible bridge. The work will be performed on 16, Orig a three-day closure period to navigation. signal or alarm when an atria or Albert Lea, MN, Albert Lea Muni, RNAV DATES: This deviation is effective from (GPS) RWY 16, Orig ventricular arrhythmia occurs. The document published with an 7 a.m. on March 3, 2004, to 7 a.m. on Albert Lea, MN, Albert Lea Muni, RNAV March 7, 2004. (GPS) RWY 34, Orig inadvertent error. This document Albert Lea, MN, Albert Lea Muni, VOR/DME corrects that error. FOR FURTHER INFORMATION CONTACT: Bill OR GPS RWY 34, Amdt 2B, CANCELLED Brazier, Bridge Management Specialist, Albert Lea, MN, Albert Lea Muni, VOR OR EFFECTIVE DATE: March 8, 2004 Fifth Coast Guard District, at (757) 398– GPS RWY 16, Amdt 9B, CANCELLED FOR FURTHER INFORMATION CONTACT: 6422. Los Alamos, NM, Los Alamos, RNAV (GPS) Elias Mallis, Center for Devices and SUPPLEMENTARY INFORMATION: Tidewater RWY 27, Orig Skanska Corporation (TSC), on behalf of Tahlequah, OK, Tahlequah Muni, NDB RWY Radiological Health (HFZ–450), Food and Drug Administration, 9200 the bridge owner (U.S. Army Corps of 17, Amdt 2 Engineers), has requested a temporary Alice, TX, Alice Intl, RNAV (GPS) RWY 13, Corporate Blvd., Rockville, MD 20850, deviation from the current operating Orig 301–441–8571, ext. 177. Alice, TX, Alice Intl, RNAV (GPS) RWY 31, regulation set out in 33 CFR 117.997(g) Orig SUPPLEMENTARY INFORMATION: In FR Doc. which requires the drawbridge to open Alice, TX, Alice Intl, VOR–A, Amdt 15 03–27115, appearing on page 61342 in on signal, except that, from 6 a.m. to 7 Alice, TX, Alice Intl, VOR RWY 31, Amdt 13 the Federal Register of Tuesday, p.m., the draw need be opened only on Alice, TX, Alice Intl, GPS RWY 13, Orig, October 28, 2003, the following the hour. If any vessel is approaching CANCELLED correction is made: the bridge and cannot reach the draw Alice, TX, Alice Intl, GPS RWY 31, Amdt 1, exactly on the hour, the draw tender CANCELLED § 870.5310 [Corrected] may delay the hourly opening up to 10 * * * Effective May 13, 2004 minutes past the hour for the passage of ■ On page 61344, in the first column, in Wilmington, OH, Clinton Field, VOR–A, the approaching vessel and any other § 870.5310 Automated external vessels that are waiting to pass. Vessels Amdt 1A defibrillator, beginning in the seventh Zanesville, OH, Zanesville Muni, ILS OR in an emergency condition, which LOC/DME RWY 22, Orig-A line, the parenthetical ‘‘(restoring presents danger to life or property, shall Madison, WI, Dane County Regional-Truax normal hearth rhythm)’’ is corrected to be passed at any time. TSC has Field, VOR/DME OR TACAN RWY 18, read ‘‘(restoring normal heart rhythm).’’ requested the temporary deviation to Amdt 1 Dated: February 26, 2004. close the new S168 (Great Bridge) lift- The FAA published an Amendment in Beverly Chernaik Rothstein, span bridge to navigation to demolish Docket No. 30405, Amdt No. 3090 to Part 97 the existing S168 (Great Bridge) swing- Acting Deputy Director for Policy and of the Federal Aviation Regulations (Vol 69, span bridge. Regulations, Center for Devices and FR No. 38, Page 8811; dated February 26, The work involves the removal and Radiological Health. 2004) under § 97.33 effective 15 April 2004, disposal of the existing swing spans and which is hereby rescinded: [FR Doc. 04–5045 Filed 3–5–04; 8:45 am] turntable piers associated with the Minot, ND, Minot Intl, LOC BC RWY 13, BILLING CODE 4160–01–S existing S168 (Great Bridge) swing-span Amdt 7 bridge. To facilitate this work, the new [FR Doc. 04–5027 Filed 3–5–04; 8:45 am] S168 (Great Bridge) lift-span bridge will BILLING CODE 4910–13–P be locked in the closed-to-navigation

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position on a three-day closure period e.s.t. on January 24, 2004; and reinstated surrounding the Three Mile Island from 7 a.m. to 7 a.m., from March 3–7, and extended at 69 FR 6156, February Generating Station. This rule will 2004. During this period, the work 10, 2004, effective January 16, 2004, provide the Captain of the Port requires completely immobilizing the through 11:59 p.m. (e.s.t.) on February Philadelphia with enforcement options operation of the lift span in the closed- 29, 2004, is reinstated and is effective to deal with potential threats to the to-navigation position. At all other through July 31, 2004. security of the plants. times, the new bridge will operate in ADDRESSES: Documents as indicated in The Coast Guard intends to accordance with the current operating this preamble are available as part of implement a permanent security zone regulations outlined in 33 CFR docket COTP PHILADELPHIA 03–007 surrounding the plants. The Coast 117.997(g). Calling the project for inspection or copying at Coast Guard Guard will use the effective period of superintendent at (757) 672–4829 will Marine Safety Office Philadelphia, One this temporary final rule to complete its provide for emergency opening requests. Washington Avenue, Philadelphia, The Coast Guard has informed the rulemaking started with our September Pennsylvania, 19147, between 8 a.m. 16, 2003, publication of a notice of known users of the waterway of the and 4 p.m., Monday through Friday, closure periods for the bridge so that proposed rulemaking (NPRM) in the except Federal holidays. Federal Register (68 FR 54177) to these vessels can arrange their transits FOR FURTHER INFORMATION CONTACT: to minimize any impact caused by the develop a permanent regulation tailored Lieutenant Junior Grade Kevin Sligh or to the present and foreseeable security temporary deviation. Ensign Jill Munsch, Coast Guard Marine The District Commander has granted environment within the Captain of the Safety Office/Group Philadelphia, at temporary deviation from the operating Port, Philadelphia, Pennsylvania zone. (215) 271–4889. requirements listed in 33 CFR 117.35 for Currently, the need for this security the purpose of repair completion of the SUPPLEMENTARY INFORMATION: zone still exists. The extension of the drawbridge. The temporary deviation Regulatory Information security zone through the end of July allows the S168 (Great Bridge) lift-span 2004, will allow the Coast Guard time We did not publish a notice of bridge across the Albemarle and to establish a Memorandum of proposed rulemaking (NPRM) for this Chesapeake Canal, AICW, mile 12.0, at regulation. Under 5 U.S.C. 553(b)(B) and Understanding with civilian authorities Chesapeake, Virginia, to remain closed (d)(3), the Coast Guard finds that good and to publish a NPRM in the Federal to navigation on a three-day closure cause exists for not publishing a NPRM Register without an interruption in the period from March 3–7, 2004, from 7 and for making this regulation effective protection provided by the security a.m. to 7 a.m. less than 30 days after publication in the zone. Dated: March 1, 2004. Federal Register. Based upon the Discussion of Rule Waverly W. Gregory, Jr., warnings from national security and Chief, Bridge Administration Branch, Fifth intelligence personnel, this rule is This temporary rule will extend the Coast Guard District. urgently required to protect the plant effective period of the security zone [FR Doc. 04–5099 Filed 3–5–04; 8:45 am] from subversive activity, sabotage or from 11:59 p.m. (e.s.t.) on February 29, BILLING CODE 4910–15–P possible terrorist attacks initiated from 2004, through July 31, 2004. The size of the waters surrounding the plants. the zone remains unchanged. No person Delaying the effective date of the rule or vessel may enter or remain in the DEPARTMENT OF HOMELAND would be contrary to the public interest, prescribed security zone at any time SECURITY since immediate action is needed to without the permission of the Captain of protect the persons at the facilities, the the Port, Philadelphia, Pennsylvania or Coast Guard public and surrounding communities designated representative. Federal, from the release of nuclear radiation. State, and local agencies may assist the 33 CFR Part 165 This security zone should have minimal Coast Guard in the enforcement of this [COTP PHILADELPHIA 03–007] impact on vessel transits because the rule. security zone does not block the RIN 1625–AA00 channel. Regulatory Evaluation Security Zone; Three Mile Island It took longer to resolve issues related This rule is not a ‘‘significant Generating Station, Susquehanna to our proposed rule to created a regulatory action’’ under section 3(f) of River, Dauphin County, Pennsylvania permanent zone (68 FR 54177, Executive Order 12866, Regulatory September 16, 2003) than was expected Planning and Review, and does not AGENCY: Coast Guard, DHS. at the time the last temporary final rule require an assessment of potential costs ACTION: Temporary final rule. was issued, and new issues have since and benefits under section 6(a)(3) of that been discovered. This new temporary SUMMARY: The Coast Guard is Order. The Office of Management and final rule is necessary because it would Budget has not reviewed it under that continuing the effective period of the be contrary to public interest not to Order. It is not ‘‘significant’’ under the temporary security zone on the waters maintain a temporary safety and regulatory policies and procedures of adjacent to the Three Mile Island security zone until the final rule the Department of Homeland Security Generating Station. This will protect the becomes effective. safety and security of the plants from (DHS). subversive activity, sabotage, or terrorist Background and Purpose The primary impact of this rule will attacks initiated from surrounding Due to the continued warnings from be on vessels wishing to transit the waters. This action will close water national security and intelligence affected waterway. Although this rule areas around the plants. officials that future terrorist attacks are restricts traffic from freely transiting DATES: Effective February 25, 2004, § possible, such as those launched against portions of the Susquehanna River, that 165.T05–093, originally added at 68 FR New York and Washington, DC, on restriction affects only a limited area 33399, June 4, 2003, effective from 5 September 11, 2001, heightened security and will be well publicized to allow p.m. e.d.t. on May 13, 2003, to 5 p.m. measures are necessary for the area mariners to make alternative plans.

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Small Entities Federalism determined that it is not a ‘‘significant energy action’’ under that order because Under the Regulatory Flexibility Act A rule has implications for federalism under Executive Order 13132, it is not a ‘‘significant regulatory action’’ (5 U.S.C. 601–612), we have considered under Executive Order 12866 and is not whether this rule would have a Federalism, if it has a substantial direct effect on State or local governments and likely to have a significant adverse effect significant economic impact on a on the supply, distribution, or use of substantial number of small entities. would either preempt State law or impose a substantial direct cost of energy. It has not been designated by the The term ‘‘small entities’’ comprises Administrator of the Office of small businesses, not-for-profit compliance on them. We have analyzed this rule under that Order and have Information and Regulatory Affairs as a organizations that are independently significant energy action. Therefore, it owned and operated and are not determined that it does not have implications for federalism. does not require a Statement of Energy dominant in their fields, and Effects under Executive Order 13211. governmental jurisdictions with Unfunded Mandates Reform Act Environment populations of less than 50,000. The Unfunded Mandates Reform Act The Coast Guard certifies under 5 of 1995 (2 U.S.C. 1531–1538) requires We have analyzed this rule under U.S.C. 605(b) that this rule will not have Federal agencies to assess the effects of Commandant Instruction M16475.1D, a significant economic impact on a their discretionary regulatory actions. In which guides the Coast Guard in substantial number of small entities. particular, the Act addresses actions complying with the National This rule may affect the following that may result in the expenditure by a Environmental Policy Act of 1969 entities, some of which may be small State, local, or tribal government, in the (NEPA) (42 U.S.C. 4321–4370f), and entities: owners or operators of fishing aggregate, or by the private sector of have concluded that there are no factors vessels and recreational vessels wishing $100,000,000 or more in any one year. in this case that would limit the use of to transit the portions of the Though this rule will not result in such a categorical exclusion under section Susquehanna River. expenditure, we do discuss the effects of 2.B.2 of the Instruction. Therefore, this this rule elsewhere in this preamble. rule is categorically excluded, under The rule will not have a significant figure 2–1, paragraph (34)(f) and (g), of impact on a substantial number of small Taking of Private Property Commandant Instruction M16475.lD, entities for the following reasons: the This rule will not affect a taking of from further environmental restrictions affect only a limited area private property or otherwise have documentation. and traffic will be allowed to transit taking implications under Executive A final ‘‘Environmental Analysis through the zone with permission of the Order 12630, Governmental Actions and Checklist’’ and a final ‘‘Categorical Coast Guard or designated Interference with Constitutionally Exclusion Determination’’ will be representative. The opportunity to Protected Property Rights. available in the docket where indicated engage in recreational and charter under ADDRESSES. fishing outside the geographical limits Civil Justice Reform of the security zone will not be This rule meets applicable standards List of Subjects in 33 CFR Part 165 disrupted. Therefore, this regulation in sections 3(a) and 3(b)(2) of Executive Harbors, Marine safety, Navigation should have a negligible impact on Order 12988, Civil Justice Reform, to (water), Reporting and recordkeeping recreational and charter fishing activity. minimize litigation, eliminate requirements, Security measures, Assistance for Small Entities ambiguity, and reduce burden. Waterways. ■ Protection of Children For the reasons discussed in the Under section 213(a) of the Small preamble, the Coast Guard amends 33 Business Regulatory Enforcement We have analyzed this rule under CFR part 165 as follows: Fairness Act of 1996 (Pub. L. 104–121), Executive Order 13045, Protection of we want to assist small entities in Children from Environmental Health PART 165—REGULATED NAVIGATION understanding the rule so that they Risks and Security Risks. This rule is AREAS AND LIMITED ACCESS AREAS could better evaluate its effects on them not an economically significant rule and ■ 1. The authority citation for part 165 and participate in the rulemaking does not create an environmental risk to continues to read as follows: process. health or risk to security that may disproportionately affect children. Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Small businesses may send comments Chapter 701; 50 U.S.C. 191, 195; 33 CFR on the actions of Federal employees Indian Tribal Governments 1.05–1(g), 6.04–1, 6.04–6, and 160.5; Pub. L. who enforce, or otherwise determine This rule does not have tribal 107–295, 116 Stat. 2064; Department of compliance with, Federal regulations to implications under Executive Order Homeland Security Delegation No. 0170.1. the Small Business and Agriculture 13175, Consultation and Coordination ■ 2. Temporary § 165.T05–093 is Regulatory Enforcement Ombudsman with Indian Tribal Governments, and the Regional Small Business reinstated and revised to read as because it does not have a substantial follows: Regulatory Fairness Boards. The direct effect on one or more Indian Ombudsman evaluates these actions tribes, on the relationship between the § 165.T05–093 Security Zone; Three Mile annually and rates each agency’s Federal Government and Indian tribes, Island Generating Station, Susquehanna responsiveness to small business. If you or on the distribution of power and River, York County, Pennsylvania. wish to comment on actions by responsibilities between the Federal (a) Location. The following area is a employees of the Coast Guard, call 1– Government and Indian tribes. security zone: the waters of the 888–REG–FAIR (1–888–734–3247). Susquehanna River in the vicinity of the Energy Effects Collection of Information Three Mile Island Generating Station We have analyzed this rule under bounded by a line drawn from a point This rule calls for no new collection Executive Order 13211, Actions located at 40°09’14.74’’ N, of information under the Paperwork Concerning Regulations That 076°43’40.77’’ W to 40°09’14.74’’ N, Reduction Act of 1995 (44 U.S.C. 3501– Significantly Affect Energy Supply, 076°43’42.22’’ W, thence to 3520). Distribution, or Use. We have 40°09’16.67’’ N, 076°43’42.22’’

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W, thence to 40°09’16.67’’ N, execute all documents necessary for the Vice President, Assistant Secretary, 076°43’40.77’’ W. All coordinates management and sale of single-family Director, and Senior Manager of the reference Datum: NAD 1983. properties acquired by VA under its entity performing property management (b) Regulations. (1) All persons are housing loan guaranty program. This and sales functions under a contract required to comply with the general amendment will provide notice to with VA the authority to execute all regulations governing security zones in buyers, lenders, and other real estate documents necessary for the § 165.33 of this part. professionals of the contractor’s management and sale of residential real (2) No person or vessel may enter or authority to sign these documents rather property acquired by VA under the navigate within this security zone than requiring VA to prepare and record housing loan program authorized by 38 unless authorized to do so by the Coast powers of attorney, thereby increasing U.S.C. chapter 37. Documents Guard or designated representative. Any the efficiency of the loan guaranty authorized to be executed will include person or vessel authorized to enter the program. sales contracts, deeds, documents security zone must operate in strict DATES: Effective Date: March 8, 2004. relating to removing adverse occupants, conformance with any directions given FOR FURTHER INFORMATION CONTACT: and any documents relating to sales by the Coast Guard or designated William W. Lutes, Assistant Director for closings. The authorization to execute representative and leave the security Property Management and Strategic deeds is limited to deeds other than zone immediately if the Coast Guard or Development (263), Veterans Benefits general warranty deeds. designated representative so orders. Administration, 810 Vermont Ave., The Director of the VA Loan Guaranty (3) The Coast Guard or designated Washington, DC 20420, telephone 202– Service, Washington, DC, will maintain representative enforcing this section can 273–7379. a log listing all corporate officers of the be contacted on VHF Marine Band contractor who have been authorized to SUPPLEMENTARY INFORMATION: The execute documents and the dates during Radio, channels 13 and 16. The Captain provisions of 38 U.S.C. chapter 37 which these persons were authorized to of the Port can be contacted at (215) authorize the Secretary of Veterans act. VA will also maintain copies of 271–4807. Affairs (VA) to guarantee or make loans resolutions of the contractor’s board of (4) The Captain of the Port will notify to veterans. Following the termination directors authorizing these persons to the public of any changes in the status of loans which have been in serious execute these documents. Those files of this security zone by Marine Safety default, the holder of the guaranteed will be available for public inspection Radio Broadcast on VHF–FM marine loan may, pursuant to 38 U.S.C. 3732(c), and copying during normal business band radio, channel 22 (157.1 MHZ). have an election to convey to the hours at the Office of the Director of VA (c) Definitions. For the purposes of Secretary the property which had Loan Guaranty Service, Washington, DC this section, Captain of the Port means secured the loan. Upon receipt of these the Commanding Officer of the Coast 20420. properties, VA sells them to the general The provisions of 38 CFR 36.4342(f) Guard Marine Safety Office/Group public in order to reduce the loss to the Philadelphia or any Coast Guard are published without regard to the Federal Treasury on the guaranteed notice and comment and delayed commissioned, warrant, or petty officer loan. The sale of such properties is not who has been authorized by the Captain effective date provisions of 5 U.S.C. 553 a benefit to veterans. since they relate to agency management of the Port to act as a designated VA has contracted with a private and personnel and are not substantive representative on his behalf. entity to handle the management and rules. (d) Effective period. This section is resale of its inventory of acquired effective from 5 p.m. (e.d.t.) on May 13, properties. In order to increase the Unfunded Mandates 2003, through July 31, 2004. efficiency of this contract, certain The Unfunded Mandates Reform Act Dated: February 25, 2004. officers of the contractor are being requires, at 2 U.S.C. 1532, that agencies Jonathan D. Sarubbi, delegated authority to execute, on behalf prepare an assessment of anticipated Captain, U.S. Coast Guard, Captain of the of VA, routine documents necessary for costs and benefits before developing any Port Philadelphia. the management and sale of these rule that may result in an expenditure [FR Doc. 04–5153 Filed 3–5–04; 8:45 am] properties. by State, local, or tribal governments, in BILLING CODE 4910–15–P Currently, 38 CFR 36.4342 authorizes the aggregate, or by the private sector of certain VA officials, such as field station $100 million or more in any given year. Directors, Loan Guaranty Officers, and This proposed amendment would have DEPARTMENT OF VETERANS Assistant Loan Guaranty Officers, to no such effect on State, local, or tribal AFFAIRS execute these documents. Regional governments, or the private sector. Offices are required to maintain a 38 CFR Part 36 cumulative list of all employees of that Paperwork Reduction Act office who have held the designated This document contains no provisions RIN 2900–AL85 positions since May 1, 1980. In constituting a collection of information Delegation of Authority—Property addition, 38 CFR 36.4342(e) authorizes under the Paperwork Reduction Act (44 Management Contractor certain officers of the private contractor U.S.C. 3501–3520). servicing loans made or acquired by VA AGENCY: Department of Veterans Affairs. to execute on behalf of the Secretary all Regulatory Flexibility Act ACTION: Final rule. documents necessary for the servicing The Secretary of Veterans Affairs and termination of those loans. VA also hereby certifies that this final rule will SUMMARY: The Department of Veterans maintains a log of the corporate officers not have a significant economic impact Affairs (VA) is amending its delegation who have been authorized to execute on a substantial number of small entities of authority regulation with respect to these documents. as they are defined in the Regulatory the loan guaranty program. This This rule adds a new paragraph (f) to Flexibility Act, 5 U.S.C. 601–612. The amendment will permit certain officers 38 CFR 36.4342 which delegates to final rule relates to agency management of the private contractor performing persons holding the office of Senior and personnel and does not contain property management functions to Vice President, Vice President, Assistant substantive provisions affecting small

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entities. Accordingly, pursuant to 5 Authority: 38 U.S.C. 501, 3701–3704, 3707, deeds is limited to deeds other than U.S.C. 605(b), this final rule is exempt 3710–3714, 3719, 3720, 3729, 3762, unless general warranty deeds. otherwise noted. from the initial and final regulatory (2) The designated officers are: Senior ■ 2. Section 36.4342 is amended by: flexibility analysis requirements of Vice President, Vice President, Assistant sections 603 and 604. ■ a. Adding paragraph (f) immediately There is no Catalog of Federal after paragraph (e). Vice President, Assistant Secretary, Domestic Assistance number for this ■ b. Removing the second authority Director, and Senior Manager. program. citation that appears at the end of the (3) The Director, Loan Guaranty section. Service, Washington, DC, shall maintain List of Subjects in 38 CFR Part 36 The addition reads as follows: a log listing all persons authorized to Condominiums, Housing, Indians, § 36.4342 Delegation of authority. execute documents pursuant to Individuals with disabilities, Loan paragraph (f) of this section and the programs-housing and community * * * * * dates such persons held such authority, (f)(1) Authority is hereby delegated to development, Loan programs, Indians, together with certified copies of Loan programs-veterans, Manufactured the officers, designated in paragraph resolutions of the board of directors of homes, Mortgage insurance, Reporting (f)(2) of this section, of the entity the entity authorizing such individuals and recordkeeping requirements, performing property management and Veterans. sales functions under a contract with to perform the functions specified in the Secretary to execute on behalf of the paragraph (f)(1) of this section. These Approved: February 24, 2004. records shall be available for public Anthony J. Principi, Secretary all documents necessary for the management and sales of residential inspection and copying at the Office of Secretary of Veterans Affairs. real property acquired by the Secretary the Director of VA Loan Guaranty ■ For the reasons set out in the pursuant to 38 U.S.C. chapter 37. Service, Washington, DC 20420. preamble, 38 CFR part 36 is amended as Documents executed under this * * * * * set forth below. paragraph include but are not limited to: (Authority: 38 U.S.C. 501, 3720(a)(5)) sales contracts, deeds, documents PART 36—LOAN GUARANTY [FR Doc. 04–5108 Filed 3–5–04; 8:45 am] relating to removing adverse occupants, ■ 1. The authority citation of part 36 and any documents relating to sales BILLING CODE 8320–01–P continues to read as follows: closings. The authorization to execute

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Proposed Rules Federal Register Vol. 69, No. 45

Monday, March 8, 2004

This section of the FEDERAL REGISTER the subject box. Comments are available of certain asylum seekers who are contains notices to the public of the proposed for public inspection at the above traveling from Canada into the United issuance of rules and regulations. The address by calling (202) 514–3048 to States or from the United States into purpose of these notices is to give interested arrange for an appointment. Canada. The Agreement provides for a persons an opportunity to participate in the rule making prior to the adoption of the final FOR FURTHER INFORMATION CONTACT: threshold determination to be made rules. Joanna Ruppel, Deputy Director, concerning which country will consider Asylum Division, U.S. Citizenship and the merits of an alien’s protection claim, Immigration Services, Department of enhancing the two nations’ ability to DEPARTMENT OF HOMELAND Homeland Security, 20 Massachusetts manage, in an orderly fashion, asylum SECURITY Ave., NW., Third Floor, Washington, DC claims brought by persons crossing our 20536, telephone number (202) 305– common border. This Safe Third 8 CFR Parts 208 and 212 2663. Country Agreement between the United [CIS No. 2255–03] SUPPLEMENTARY INFORMATION: States and Canada currently constitutes the only agreement, for purposes of RIN 1615–AA91 What Legal Authority Permits USCIS section 208(a)(2)(A) of the Act, that To Use a Safe Third Country Agreement would bar an individual in or arriving Implementation of the Agreement as a Bar To Applying for Asylum? Between the Government of the United at the United States from applying for States of America and the Government Section 208(a)(1) of the Immigration asylum. and Nationality Act (‘‘Act’’) permits any of Canada Regarding Asylum Claims During the bilateral negotiations that alien who is physically present in or Made in Transit and at Land Border have resulted in the Safe Third Country who arrives at the United States to Ports-of-Entry Agreement, the delegations of both apply for asylum. However, section countries acknowledged certain AGENCY: Department of Homeland 208(a)(2)(A) of the Act specifically states differences in their respective asylum Security. that paragraph (1) shall not apply systems. However, harmonization of ACTION: where, ‘‘pursuant to a bilateral or Proposed rule. asylum laws and procedures is not a multilateral agreement, the alien may be prerequisite to entering into SUMMARY: On March 1, 2003, the removed to a country where the alien’s responsibility-sharing arrangements. Immigration and Naturalization Service life or freedom would not be threatened The salient factor is whether the transferred from the Department of on account of race, religion, nationality, Justice to the Department of Homeland membership in a particular social group, countries sharing responsibility for Security (DHS), pursuant to the or political opinion, and where the alien refugee protection have laws and Homeland Security Act of 2002 (Public would have access to a full and fair mechanisms in place that adhere to Law 107–296). The responsibility for procedure for determining a claim to their international obligations to protect administering the asylum program was asylum or equivalent temporary refugees. The Executive Committee for transferred to U.S. Citizenship and protection, unless the Attorney General the Office of the United Nations High Immigration Services (‘‘USCIS’’) within [now deemed to be the Secretary of Commissioner for Refugees (UNHCR) DHS. The terms of a recently signed Homeland Security under the Homeland has concluded, ‘‘Overall it is UNHCR’s agreement between the United States Security Act] finds that it is in the position that, while in principle each and Canada bar certain categories of public interest for the alien to receive State Party to the 1951 Convention and aliens arriving from Canada at land asylum in the United States.’’ 1967 Protocol has a responsibility to border ports-of-entry and in transit from On December 5th, 2002, the examine refugee claims made to it, Canada from applying for protection in governments of the United States and ‘‘burden-sharing’’ arrangements the United States. This proposed rule Canada signed the Agreement Between allowing for readmission and would establish USCIS asylum officers’ the Government of the United States determination of status elsewhere are authority to make threshold and the Government of Canada For reasonable, provided they always ensure determinations concerning applicability Cooperation in the Examination of protection of refugees and solutions to of the Agreement in the expedited Refugee Status Claims from Nationals of their problems.’’ Background Note on removal context. Third Countries (‘‘Safe Third Country the Safe Country Concept and Refugee DATES: Written comments must be Agreement’’ or ‘‘Agreement’’). The Status (EC/SCP/68), July 26, 1991. submitted on or before May 7, 2004. Agreement will take effect when the While the asylum systems in Canada ADDRESSES: Please submit written United States has promulgated and the U.S. are not identical, both comments to the Director, Regulations implementing regulations and Canada country’s asylum systems meet and and Forms Services Division, has completed its own domestic exceed international standards and Department of Homeland Security, 425 procedures necessary to bring the obligations under the 1951 Convention I Street, NW, Room 4034, Washington, Agreement into force. This Agreement relating to the Status of Refugees (1951 DC 20536. To ensure proper handling will be implemented by USCIS asylum Refugee Convention) and the 1967 please reference CIS No. 2255–03 on officer determinations. Protocol relating to the Status of your correspondence. You may also The Agreement allocates Refugees (1967 Protocol), and the submit comments electronically to responsibility between the United States United Nations Convention Against USCIS at [email protected]. When and Canada whereby one country or the Torture and Other Cruel, Inhuman, or submitting comments electronically, other (but not both) will assume Degrading Treatment or Punishment you must include CIS No. 2255–03 in responsibility for processing the claims (Convention Against Torture).

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What Are the Terms of the Safe Third who is currently vested with legal How Does This Rule Propose To Country Agreement Between the United custody of the asylum seeker or with the Implement the Safe Third Country States and Canada? authority to act on behalf of the asylum Agreement? seeker, provided that the asylum seeker The Agreement permits the United The rule proposes to revise § 208.4 States to remove to Canada certain is both unmarried and less than 18 years of age. USCIS will provide field and add a new § 208.30(e)(6) to permit asylum seekers attempting to enter the asylum officers to conduct a ‘‘threshold guidance to asylum officers to United States from Canada at a land screening interview’’ in order to standardize the approach used in border port-of-entry and aliens who are determine whether an alien is ineligible construing other family member being removed from Canada in transit to apply for asylum under section relationships relevant to the Agreement through the United States. Similarly, it 208(a)(2)(A) of the Act by operation of but not defined in the Act. Finally, these permits Canada to return to the United the Safe Third Country Agreement. New family members may qualify as anchor States certain asylum seekers attempting § 208.30(e)(6)(iii) would codify the relatives even if they themselves do not to enter Canada from the United States exceptions to the Agreement. Under this possess permanent immigration status at a land border port-of-entry and rule, in any case where an asylum certain aliens being removed from the in the U.S. Aliens in valid immigrant or officer determines that the alien United States through Canada. In either nonimmigrant status may qualify as qualifies for an exception to the case, the Agreement provides (with anchor relatives, with the exception of Agreement with Canada, the asylum certain exceptions) that the alien be aliens who maintain only nonimmigrant officer will proceed immediately to a returned to the ‘‘country of last visitor status under section 101(a)(15)(B) determination as to whether or not the presence’’ for consideration of his or her of the Act or based on admission under alien has a credible fear of persecution protection claims, including asylum, the Visa Waiver Program, who are or torture, as provided under existing withholding of removal, and protection precluded from serving as anchor law. under the Convention Against Torture, relatives by the language of the under the laws of that country. Agreement. In § 208.30(e)(6)(i), this proposed rule For aliens arriving at a land border also makes clear that, when an asylum More specifically, an alien who officer determines that an alien is port-of-entry, the Agreement provides arrives at a land border port-of-entry is for a number of exceptions. These ineligible to pursue his or her protection exempt from return under the claims in the United States based on the exceptions are based upon the Agreement if the alien: principles underlying the U.S. position applicability of the Safe Third Country while negotiating the Agreement: (1) To (1) Is a citizen of Canada or, not Agreement, the alien will be removed to the extent practicable, the Agreement having a country of nationality, is a Canada, the country of the alien’s last should not act to separate families; (2) habitual resident of Canada; presence, in order to pursue his or her the Agreement must guarantee that (2) Has in the United States a spouse, claims there. persons subject to it would have their son, daughter, parent, legal guardian, The rule also proposes to incorporate protection claims adjudicated in one of sibling, grandparent, grandchild, aunt, the existing definitions of ‘‘credible fear the two countries; and (3) it would be uncle, niece, or nephew who has been of persecution’’ and ‘‘credible fear of applied only in circumstances where it granted asylum, refugee, or other lawful torture’’ in the new § § 208.30(e)(2) and is indisputable that the alien arrived status in the United States, except (e)(3). The definition of credible fear of directly from the other country. These visitor status; persecution, derived from section 235(b)(1)(B)(v) of the Act and existing principles have been achieved by (3) Has in the United States a spouse, policy that incorporates consideration of including a robust family unity son, daughter, parent, legal guardian, exception that allows asylum seekers to eligibility for withholding of removal, is sibling, grandparent, grandchild, aunt, join certain family members residing in ‘‘a significant possibility, taking into uncle, niece, or nephew who is at least the United States or Canada while they account the credibility of the statements 18 years of age and has an asylum pursue their protection claims; by made by the alien in support of the application pending in the United clearly stipulating that the alien must alien’s claim and such other facts as are States; have his or her claim adjudicated in known to the officer, the alien can either Canada or the United States; and (4) Is unmarried, under 18 years of establish eligibility for asylum under by limiting the application of the age, and does not have a parent or legal section 208 of the Act or for Agreement to situations where it is clear guardian in either Canada or the United withholding of removal under section that the alien arrived directly from the States; 241(b)(3) of the Act.’’ The proposed rule other country; e.g., at land border ports- (5) Is applying for admission at a incorporates the existing definition of of-entry or in-transit while being United States land border port-of-entry credible fear of torture provided in the removed from Canada. with a validly issued visa or other valid supplementary information to the The Agreement’s family unity admission document, other than for interim rule implementing the United exceptions are particularly generous. transit, issued by the United States, or, States’ obligations under the Convention The range of family members who may being required to hold a visa to enter Against Torture published in the qualify as ‘‘anchor’’ relatives due to Canada, was not required to obtain a Federal Register at 64 FR 8484 on their presence in the United States is far visa to enter the United States; or February 19, 1999. Under current broader than those recognized under procedures, as provided in the other provisions of immigration law. (6) Has been permitted, as an supplementary information to the The list of eligible family members unreviewable exercise of discretion by interim rule, an alien is found to have includes spouses, sons, daughters, DHS, to pursue a protection claim in the a credible fear of torture if the alien parents, legal guardians, siblings, United States because it was determined shows that there is a significant grandparents, grandchildren, aunts, that it is in the public interest to do so. possibility that he or she is eligible for uncles, nieces, and nephews. For The specific terms of the Safe Third withholding of removal or deferral of purposes of the Agreement, a ‘‘legal Country Agreement are available on the removal under the Convention Against guardian’’ will be construed as someone USCIS Web site at http://www.uscis.gov. Torture. The rule does not propose to

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alter current procedures related to these ‘‘credible fear interview,’’ the asylum judges for further review of these existing definitions. officer inquires as to the nature and threshold screening determinations. The Finally, this rule proposes to remove basis of the alien’s claims relating to narrow factual issues concerning the the provisions of 8 CFR 208.30(g)(2) past persecution and fear of future Agreement’s applicability and relating to the conduct of credible fear persecution or torture. The asylum exceptions (such as the presence of review by immigration judges. In view officer then determines whether or not family members in the U.S. or the of the transfer of the responsibilities of there is a significant possibility, taking possession of validly issued visas) do the former INS to DHS on March 1, into account the credibility of the not relate to whether an alien has a fear 2003, the Attorney General published a statements made by the alien in support of persecution or torture, and can rule creating a new chapter V in 8 CFR, of the alien’s claims and other facts adequately be resolved by asylum beginning with part 1001 and known to the officer, that the alien officers. Thus, under this proposed rule, containing the regulations pertaining to could establish eligibility for protection when an asylum officer makes and a the functions of the Executive Office for under U.S. law. In the event that the supervisor reviews this threshold Immigration Review (EOIR), which asylum officer determines that the alien determination, there would be no remains under the authority of Attorney has not established a credible fear of further administrative review of that General. The Attorney General’s rule persecution or torture, the alien may decision. Elsewhere in the Federal was published in the Federal Register at request review of that determination by Register, the Department of Justice is 68 FR 9824 on February 28, 2003. an immigration judge. publishing a proposed rule to specify Accordingly, this rule revises § For aliens who are subject to the the authority of the immigration judges 208.30(g)(2) to remove the previous Agreement, however, the threshold with respect to issues arising under the provisions and to substitute a new question is whether the alien should be Agreement. cross-reference to the current EOIR returned to Canada for Canadian This method for implementing the regulations which are now codified at 8 authorities to consider the merits of the Safe Third Country Agreement, which CFR 1208.30(g)(2). alien’s claims, or whether the alien will bars certain aliens from applying for instead be allowed to pursue his or her asylum in the United States, is within Why Is USCIS Proposing To Amend the protection claims in the United States. the authority of the Secretary of DHS, Regulations Governing Credible Fear Accordingly, this rule provides for a under section 208(a)(2)(A) of the Act Determinations? threshold screening interview by an and under section 208(d)(5)(B) of the The Safe Third Country Agreement asylum officer to determine whether an Act, which provides authority to impose between the United States and Canada alien subject to the Agreement will be regulatory conditions or limitations on bars certain aliens from pursuing permitted to remain in the U.S. to the consideration of an application for protection claims in the United States if pursue his or her protection claims, asylum not inconsistent with the Act. they are either arriving from Canada at based on the alien’s qualification for one Section 208(a)(2)(A) of the Act makes an land border ports-of-entry or are being of the Agreement’s exceptions. It is only alien ineligible to apply for asylum in removed from Canada in transit through after this threshold screening interview the United States if, pursuant to a the United States. Instead, those aliens (i.e., only after the asylum officer has bilateral agreement, the Secretary will be returned to Canada to have their decided that the alien is not going to be concludes that the alien ‘‘would have protection claims adjudicated by removed to Canada for an adjudication access to a full and fair procedure for Canada. In general, the Agreement will of the alien’s claims) that the asylum determining a claim to asylum or be applied to such aliens who are officer would proceed to promptly equivalent temporary protection’’ in a subject to expedited removal provisions consider the alien’s claims for safe third country. An alien who is under section 235(b) of the Act, which protection under United States law covered by section 208(a)(2)(A) is thus provides a specific removal mechanism through the credible fear determination not eligible to apply for asylum for aliens who are inadmissible under process. The asylum officer’s notes regardless of the statutory means by sections 212(a)(6)(C) (fraud or willful regarding the threshold issues raised by which he is ordered removed from the misrepresentation) or 212(a)(7) (failure the Agreement would then be included United States. By this rule, the Secretary to have proper documents) of the Act. in the asylum officer’s written record of is proposing, in a manner consistent However, in light of the Safe Third the credible fear determination. In those with the Act, to delegate to asylum Country Agreement’s purpose in instances where an asylum officer officers the authority to make the allowing asylum seekers access to only determines, after review by a threshold determination whether an one of the signatory countries’ supervisory asylum officer, that the alien is ineligible to apply for asylum by protection systems, this rule proposes a alien has not provided reason to believe, operation of the Agreement with modified approach to the expedited by a preponderance of the evidence, that Canada. removal process in the form of a he or she qualifies for any of the USCIS thus proposes to amend the threshold asylum officer screening as to Agreement’s exceptions, then the regulations governing the credible fear which country (Canada or the United asylum officer will advise the alien that determination in order to implement the States) will consider an alien’s he or she is being returned to Canada threshold screening process described protection claims. Only after this based on the terms of the Agreement so above for aliens subject to the Safe threshold issue has been resolved in that the alien will be able to pursue his Third Country Agreement, prior to a favor of allowing the alien to pursue an or her claims for asylum or protection credible fear determination. However, asylum claim in the United States will under Canadian law. this rule preserves unchanged the an asylum officer make a determination Given the narrowness of the factual existing credible fear process itself, as to whether or not the alien has a issues relevant to the threshold including the availability of a credible credible fear of persecution or torture. screening determination that the fear review by an immigration judge, in Under section 235(b), aliens subject to Agreement and/or its exceptions are every case where the asylum officer expedited removal who seek asylum in applicable to an alien, which can determines that an alien subject to the the United States or otherwise express readily be considered and adjudicated Agreement does satisfy any of the a fear of persecution or torture are by asylum officers, this rule does not threshold jurisdictional exceptions, referred to an asylum officer. During a provide for referral to immigration including a discretionary decision by

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DHS to allow the alien to pursue an adult; (2) has been convicted or not have documents establishing family asylum claim as a matter in the public adjudicated delinquent of an aggravated relationships with them at the time they interest. If the asylum officer determines felony in the United States or any other seek to enter the United States. Asylum the alien is not barred by the Agreement country, and a U.S. Customs and Border officers receive extensive training in from pursuing his or her protection Protection (CBP) officer has evaluating credibility of testimony when claims in the U.S., the asylum officer confirmation of that order; or (3) has there is little or no documentation in will then proceed immediately to a been formally removed, excluded, or support of that testimony. Asylum credible fear determination on the deported previously from the United officers will document their findings merits of the alien’s claims, and, if States. Existing guidelines permit that the Agreement or its exceptions are necessary, an immigration judge will granting a waiver, deferring the applicable to an alien, and in the case conduct a review of this determination inspection, permitting a withdrawal of of any alien who qualifies for one of the on the merits, as provided under the application for admission, or using Agreement’s exceptions, will existing law and regulations. other discretionary means to process immediately proceed to make a credible unaccompanied minors who seek fear determination, as described in How Does This Rule or the Safe Third admission to the United States, where sections 235(b)(1)(B)(ii) and (iii) of the Country Agreement Affect appropriate. This rule does not propose Act. Unaccompanied Minors? to change that existing policy. The Safe How Does the Safe Third Country In order to understand how this rule Third Country Agreement will be Agreement Address the Possibility That affects unaccompanied minors, it is applied in the expedited removal Individuals Will Be Removed Without important to understand that the proceedings of unaccompanied minors Having Their Protection Claims Heard? definition of an ‘‘unaccompanied only when such other processing of an minor’’ customarily used in determining unaccompanied minor seeking An individual referred by either appropriate immigration processes is admission at a land border port-of-entry Canada or the United States to the other different than the definition used in the is not appropriate. When an country under the terms of Article 4 Agreement for determining whether an unaccompanied minor arrives from cannot be removed to a third country exception to the Agreement applies. Canada at a land border port-of-entry until an adjudication of the individual’s While ‘‘unaccompanied minor’’ has not and seeks protection, he or she still will protection claims has been made. The been formally defined in the Act or in be processed according to existing Agreement also provides, in Article 3, regulations, for immigration processing guidelines, which often results in that an individual returned to the purposes, an individual who is under placing the minor into removal country of last presence shall not be age 18 and is not accompanied by an proceedings under section 240 of the removed to another country pursuant to adult relative or guardian is considered Act. Where the minor is placed into any other Safe Third Country an ‘‘unaccompanied minor.’’ This removal proceedings under section 240 Agreement or regulation. definition differs from the Agreement’s of the Act, the Agreement, including its How Does the Safe Third Country language. Article 1(f) of the Agreement definition of ‘‘unaccompanied minor,’’ Agreement Affect People Who Are defines ‘‘unaccompanied minor’’ as ‘‘an will be applied by the immigration Being Removed From Canada or the unmarried refugee status claimant who judge, as provided in the Department of United States and Then Seek Protection has not yet reached his or her eighteenth Justice proposed rule published in the While Transiting Through the Other birthday and does not have a parent or Federal Register. Country? legal guardian in either Canada or the United States.’’ This rule does not What Type of Evidence Will Satisfy Pursuant to Article 5(a) of the propose replacing the customary USCIS When Determining Whether an Agreement, if an alien is being removed definition of ‘‘unaccompanied minor’’ Individual Meets One of the Exceptions from Canada through the United States with the Agreement’s definition for in the Agreement? and expresses a fear of persecution or purposes of determining immigration As specified in the proposed rule at torture, the alien will be returned to issues unrelated to the Agreement. § 208.30(e)(6)(ii) and pursuant to a Canada for Canada to adjudicate his or However, in applying the Agreement, Statement of Principles concerning the her protection claims, in accordance this difference in definitions will result implementation of the Agreement, the with Canada’s protection system. in finding that some individuals under alien bears the burden of proof to Generally, individuals being removed age 18 who are not accompanied by an establish by a preponderance of the by Canada through the United States are adult relative or legal guardian when evidence that an exception applies, such pre-inspected in Canada and escorted by they arrive at a land border port-of-entry that the alien falls outside the scope of Canadian immigration officials to their will not qualify for the unaccompanied the Agreement. Asylum officers will use onward destination. Individuals who minor exception in the Agreement, all available evidence, including the make a protection claim during pre- because they have a parent or legal individual’s testimony, affidavits and inspection will not be allowed to transit guardian in the United States or Canada. other documentation, as well as through the United States. Individuals Since August of 1997, the available records and databases, to being removed by Canada in transit Immigration and Naturalization determine whether an exception to the through the United States are Service’s policy, now DHS’s policy, has Agreement applies in each individual’s considered arriving aliens in parole been to place unaccompanied minors case. Credible testimony alone may be status, as described in section 212(d)(5) into expedited removal proceedings sufficient to establish that an exception of the Act. If such an individual asserts only under limited circumstances. applies, if there is a satisfactory a fear of persecution or torture to a U.S. Under existing policy, an explanation of why corroborative immigration officer, while in transit unaccompanied minor would be placed documentation is not reasonably through the United States, the into expedited removal proceedings available. DHS recognizes that computer individual’s parole status will be only if he or she (1) in the presence of systems and DHS records will not be terminated pursuant to § 212.5(e)(2)(i), a DHS immigration officer, engaged in a sufficient to verify family relationships and he or she generally will be placed crime that would qualify as an in all circumstances and that asylum in expedited removal proceedings, aggravated felony if committed by an seekers fleeing persecution often will though there may be some rare instances

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in which the individual will be placed removal or deferral of removal to a entering the United States from Canada. in removal proceedings under section country where it is more likely than not The proposed rule is limited only to 240 of the Act. Transit aliens placed in that the applicant would be subject to those individuals who are placed in expedited removal proceedings under torture. expedited removal or removal this provision will be subject to the Article 3 of the Agreement provides proceedings upon arrival at U.S.-Canada same asylum officer threshold screening that ‘‘the Parties shall not return or land border ports-of-entry and to those process as aliens arriving at U.S.-Canada remove a refugee status claimant who are aliens in transit through the land border ports-of-entry. For those referred by either Party under the terms United States subsequent to removal rare instances in which such a transit of [the Agreement] to another country from Canada. Individuals who alien is placed in removal proceedings until an adjudication of the person’s previously entered the United States, pursuant to section 240 of the Act, the refugee status claim has been made.’’ In having come from Canada, and later Agreement will be applied by the Article 1, the Agreement defines a apply for asylum affirmatively with immigration judge as provided in the refugee status claim to include a request USCIS or defensively in removal Department of Justice proposed rule, for protection under the 1951 Refugee proceedings before an immigration published in the Federal Register. Convention, 1967 Protocol, or judge are not arriving aliens and so will The effect of the Agreement on an Convention Against Torture. Returning not be barred from applying for asylum asylum seeker being removed from the any alien to Canada pursuant to the by operation of the Agreement. United States through Canada depends terms of the Agreement for a on whether the United States already consideration of the alien’s protection Regulatory Flexibility Act has considered any asylum, claims, in the absence of any grounds DHS has reviewed this regulation in withholding, or Torture Convention for believing that the alien would be accordance with the Regulatory claim(s). If the United States has persecuted or tortured in Canada, is Flexibility Act (5 U.S.C. 605(b)) and by considered but denied the alien’s consistent with the United States’ approving it, DHS preliminarily certifies protection claims, the person will be international protection obligations. that this rule will not have a significant permitted onward movement, in Does CBP Plan To Place Aliens economic impact on a substantial accordance with Article 5(c) of the Returned to the United States From number of small entities. This rule Agreement. If the United States has not Canada Under the Safe Third Country affects individual aliens, as it relates to already adjudicated the alien’s Agreement Into Expedited Removal claims of asylum. It does not affect protection claims, the person will be Proceedings? small entities, as that term is defined in returned to the United States for such an 5 U.S.C. 601(6). adjudication. No. For an alien to be subject to the expedited removal provisions, the alien Unfunded Mandates Reform Act of How Does the Agreement Affect must first meet the definition of arriving 1995 Individuals Who Seek Withholding of alien. The Board of Immigration This rule will not result in the Removal or Protection Under the Appeals has held that an alien who goes expenditure by State, local, and tribal Convention Against Torture? abroad but is returned to the United governments, in the aggregate, or by the Article 33 of the 1951 Refugee States after having been formally denied private sector, of $100 million or more Convention, as supplemented by the admission by the foreign country is not in any one-year, and it will not 1967 Refugee Protocol, requires that an applicant for admission, since, in significantly or uniquely affect small signatory states not return persons to contemplation of law, the alien did not governments. Therefore, no actions were any country where their lives or leave the United States. Matter of T, 6 deemed necessary under the provisions freedom would be threatened on I&N Dec. 638 (1955). Those who entered of the Unfunded Mandates Reform Act account of their race, religion, the United States legally or illegally and of 1995. nationality, political opinion, or are later denied admission by Canada membership in a particular social group. are not arriving aliens and therefore not Small Business Regulatory Enforcement The U.S. is a signatory to the 1967 subject to expedited removal. Fairness Act of 1996 Protocol, and Canada is a signatory to Depending on their status, they may or This rule is not a major rule as both the 1951 Refugee Convention and may not be subject to removal defined by section 804 of the Small the 1967 Protocol. The U.S. implements proceedings before an immigration Business Regulatory Enforcement Act of its obligations under the 1967 Protocol judge, pursuant to section 240 of the 1996. This rule will not result in an in section 241(b)(3) of the Act, which, Act, or removal pursuant to sections annual effect on the economy of $100 as implemented, prohibits DHS from 241(a)(5) (reinstatement of a prior order) million or more; a major increase in removing aliens to any country where it or 238(b) (administrative removal based costs or prices; or significant adverse is more likely than not that their lives on aggravated felony conviction) of the effects on competition, employment, or freedom would be threatened on Act. For example, this return to the investment, productivity, innovation, or account of the grounds enumerated United States would not qualify as an on the ability of United States-based above. Nevertheless, DHS is not ‘‘arrival’’ for purposes of determining companies to compete with foreign- prevented from removing aliens to whether an applicant has filed for based companies in domestic and countries where their lives or freedom asylum within one year of the date of export markets. would not be threatened. his or her last arrival in the United Executive Order 12866 Article 3 of the Convention Against States, as required under section Torture prohibits the return of persons 208(a)(2)(B) of the Act. The Department of Homeland to any country where there are Security has determined that this rule is substantial grounds for believing that How Does This Proposed Rule Affect a ‘‘significant regulatory action’’ under they would be subject to torture. Like Individuals Who Enter the United Executive Order 12866, section 3(f), the United States, Canada is a signatory States Through Canada and Who Then Regulatory Planning and Review, and, to the Convention Against Torture. The Apply for Asylum? accordingly, this rule has been United States implements this The proposed rule does not affect any submitted to the Office of Management obligation by granting withholding of individuals who apply for asylum after and Budget for review. In particular, the

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Department has assessed both the costs additional costs may include. The Paperwork Reduction Act of 1995. and benefits of this rule as required by ‘‘intangible’’ costs to asylum seekers Written comments are encouraged and Executive Order 12866, section 1(b)(6) who would be returned to Canada under will be accepted until May 7, 2004. and has made a reasoned determination the proposed rule are the costs of When submitting comments on the that the benefits of this regulation justify potential separation from support information collection, your comments its costs. networks they may be seeking to join in should address one or more of the The proposed rule would implement the United States. However, the following four points. a bilateral agreement that allocates Agreement contains broad exceptions (1) Evaluate whether the collection of responsibility between the United States based on principles of family unity that information is necessary for the proper and Canada for processing claims of would generally allow those with family performance of the functions of the certain asylum seekers. The rule applies connections in the United States to seek agency, including whether the to individuals who are subject to asylum in the United States under information will have practical utility; expedited removal and, under existing existing regulations governing the (2) Evaluate the accuracy of the regulations, would receive a credible credible process. agency’s estimate of the burden of the fear interview by an asylum officer. This The proposed rule benefits the United collection of information, including the rule simply adds a preliminary States because it enhances the ability of validity of the methodology and screening by asylum officers to the U.S. and Canada to manage, in an assumptions used; determine whether the alien is even orderly fashion, asylum claims brought (3) Enhance the quality, utility, and eligible to seek protection in the United by persons crossing our common border. clarity of the information to be States, in which case the asylum officer By implementing the Agreement, the collected; and will then proceed to make the credible proposed rule furthers U.S. and (4) Minimize the burden of the fear determination under existing rules. Canadian goals, as outlined in the 30- collection of the information on those Based on statistical evidence, it is Point Action Plan under the Smart who are to respond, including through anticipated that approximately 200 Border Declaration signed by Secretary the use of any and all appropriate aliens may seek to enter the United Ridge and former Canadian Deputy automated, electronic, mechanical, or States from Canada at a land border Foreign Minister John Manley, to ensure other technological collection port-of-entry and be placed into a secure flow of people between the two techniques or other forms of information expedited removal proceedings. A countries while preserving asylum technology, e.g., permitting electronic significant number of these aliens will seekers’ access to a full and fair asylum submission of responses. be found exempt from the Agreement process in a manner consistent with and eligible to seek protection in the U.S. law and international obligations. Overview of This Information Collection United States after the threshold Further, the Agreement and proposed (1) Type of information collection: screening interview proposed in this rule save the U.S. the time and expense New. rule. It is difficult to predict how many of adjudicating protection claims (2) Title of Form/Collection: Credible aliens will be returned to the U.S.- brought by asylum seekers who have fear threshold screening interview. Canadian border under the Agreement, already had a full and fair opportunity (3) Agency form number, if any, and but the costs incurred in detaining and to present their claims in Canada. the applicable component of the transporting them are not likely to be substantial. Therefore, the ‘‘tangible’’ Executive Order 13132 Department of Homeland Security sponsoring the collection: No form costs of this rulemaking to the U.S. This rule will not have substantial number, U.S. Citizenship and Government are minimal. Applicants direct effects on the States, on the Immigration Services. who are found to be subject to the Safe relationship between the National (4) Affected public who will be asked Third Country Agreement will be Government and the States, or on the or required to respond, as well as a brief returned to Canada to seek protection, distribution of power and abstract: Individuals. The information saving the U.S. Government the cost of responsibilities among the various collection is necessary in order for the adjudicating their asylum claims and, in levels of government. Therefore, in CIS to make a determination whether an some cases, the cost of detention accordance with section 6 of Executive alien is eligible to apply for asylum throughout the asylum process. Order 13132, it is determined that this pursuant to section 208(a)(2)(A) of the The cost to asylum seekers who, rule does not have sufficient federalism Act. under the proposed rule, will be implications to warrant the preparation returned to Canada are the costs of of a federalism summary impact (5) An estimate of the total number of pursuing an asylum claim in Canada, as statement. respondents and the amount of time opposed to the United States. There is estimated for an average respondent to no fee to apply for asylum in Canada Executive Order 12988 Civil Justice respond: 200 respondents at 30 minutes and, under Canadian law, asylum Reform per response. seekers are provided social benefits that This rule meets the applicable (6) An estimate of the total of public they are not eligible for in the United standards set forth in sections 3(a) and burden (in hours) associated with the States, including access to medical 3(b)(2) of Executive Order 12988. collection: Approximately 100 burden coverage, adult public education, and hours. public benefits. Therefore, the tangible Paperwork Reduction Act All comments and suggestions or costs of seeking asylum in Canada are The regulations at 8 CFR 208.30 questions regarding additional no greater than they are in the United require that an asylum officer conduct a information should be directed to the States. However, because there may be threshold screening interview to Department of Homeland Security, U.S. other tangible costs to asylum seekers determine whether an alien is ineligible Citizenship and Immigration Services, attempting to enter the United States to apply for asylum pursuant to section Regulations and Forms Services from Canada at a land border port-of- 208(a)(2)(A) of the Act. The threshold Division, 425 I Street, NW., Room 4034, entry (e.g., transportation costs to the screening interview is considered an Washington, DC 20536; Attention: U.S. border), public comment is invited information collection requirement Richard A. Sloan, Director, 202–514– for further consideration of what such subject to review by OMB under the 3291.

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Family Assessment Statement List of Subjects significant possibility, taking into account the credibility of the statements 8 CFR Part 208 DHS has reviewed this regulation and made by the alien in support of the determined that it may affect family Administrative practice and alien’s claim and such other facts as are well-being as that term is defined in procedure, Aliens, Immigration, known to the officer, the alien can section 654 of the Treasury General Reporting and recordkeeping establish eligibility for asylum under Appropriations Act, 1999, Public Law requirements. section 208 of the Act or for 105–277, Div. A. Accordingly, DHS has 8 CFR Part 212 withholding of removal under section assessed this action in accordance with 241(b)(3) of the Act. the criteria specified by section Administrative practice and (3) An alien will be found to have a 654(c)(1). In this proposed rule, an alien procedure, Aliens, Immigration, credible fear of torture if the alien shows arriving at a land border port-of-entry Passports and visas, Reporting and that there is a significant possibility that with Canada may qualify for an recordkeeping requirements. he or she is eligible for withholding of exception to the Safe Third Country Proposed Amendments to the removal or deferral of removal under the Agreement, which otherwise requires Regulations Convention Against Torture, pursuant to individuals to seek protection in the § § 208.16 or 208.17. country of last presence (Canada), by Accordingly, chapter I of title 8 of the (4) In determining whether the alien establishing a relationship to a family Code of Federal Regulations is proposed has a credible fear of persecution, as member in the United States who has to be amended as follows: defined in section 235(b)(1)(B)(v) of the Act, or a credible fear of torture, the lawful status in the United States, other PART 208—PROCEDURES FOR than a visitor, or is 18 years of age or asylum officer shall consider whether ASYLUM AND WITHHOLDING OF the alien’s case presents novel or unique older and has an asylum application REMOVAL pending. This proposed rule issues that merit consideration in a full incorporates the Agreement’s definition 1. The authority citation for part 208 hearing before an immigration judge. of ‘‘family member,’’ which may be a continues to read as follows: (5) Except as provided in paragraph spouse, son, daughter, parent, legal (e)(6) of this section, if an alien is able Authority: 8 U.S.C. 1103, 1158, 1226, 1252, to establish a credible fear of guardian, sibling, grandparent, 1282; 8 CFR part 2. grandchild, aunt, uncle, niece, or persecution or torture but appears to be 2. Section 208.4 is amended by nephew. The ‘‘family member’’ subject to one or more of the mandatory adding a new paragraph (a)(6) to read as definition was intended to be broad in bars to applying for, or being granted, follows: scope, to promote family unity. This asylum contained in section 208(a)(2) and 208(b)(2) of the Act, or to proposed rule thereby strengthens the § 208.4 Filing the application. stability of the family by providing a withholding of removal contained in * * * * * section 241(b)(3)(B) of the Act, the mechanism to reunite separated family (a) * * * members in the United States. Department of Homeland Security shall (6) Safe Third Country Agreement. nonetheless place the alien in In some cases the proposed rule will Asylum officers have authority to apply proceedings under section 240 of the have a negative effect resulting in the section 208(a)(2)(A) of the Act, relating Act for full consideration of the alien’s separation of family members. The to the determination that the alien may claim, if the alien is not a stowaway. If Agreement’s exceptions, as expressed in be removed to a safe country pursuant the alien is a stowaway, the Department the proposed rule, require the family to a bilateral or multilateral agreement, shall place the alien in proceedings for member to have either lawful status in only as provided in § 208.30(e). For consideration of the alien’s claim the United States, other than visitor, or provisions relating to the authority of pursuant to § 208.2(c)(3). else to be 18 years of age or older and immigration judges with respect to (6) Prior to any determination have a pending asylum application. section 208(a)(2)(A), see 8 CFR concerning whether an alien arriving in Family members who do not meet one 1240.11(g). the United States at a U.S.-Canada land of these conditions, therefore, would be * * * * * border port-of-entry or in transit through separated under the proposed rule. 3. Section 208.30 is amended by: the U.S. during removal by Canada has However, this proposed rule’s definition a. Redesignating paragraph (e)(4) as a credible fear of persecution or torture, of ‘‘family member’’ and the exceptions (e)(7); the asylum officer shall conduct a to the Agreement are more generous b. Redesignating paragraphs (e)(2) and threshold screening interview to than other family-based immigration (e)(3) as (e)(4) and (e)(5) respectively; determine whether such an alien is laws, which require the anchor family c. Revising newly designated ineligible to apply for asylum pursuant member to have more permanent status paragraphs (e)(4) and (e)(5); to section 208(a)(2)(A) of the Act and in the United States (such as citizen, d. Adding new paragraphs (e)(2), subject to removal to Canada under the lawful permanent resident, asylee or (e)(3), and (e)(6); Agreement Between the Government of refugee) and which have a more e. Revising paragraph (g)(2)(i), and by the United States and the Government restricted list of the type of family f. Removing paragraphs (g)(2)(iii) and of Canada For Cooperation in the relationships that can be used to (g)(2)(iv). Examination of Refugee Status Claims The additions and revisions read as sponsor someone for immigration to the from Nationals of Third Countries follows: United States (although, unlike those (‘‘Agreement’’). In conducting this laws, this Agreement provides only an § 208.30 Credible fear determinations threshold screening interview, the opportunity to apply for protection and involving stowaways and applicants for asylum officer shall advise the alien of does not directly confer an affirmative admission found inadmissible pursuant to the Agreement’s exceptions and immigration benefit). Under this rule, section 212(a)(6)(C) or 212(a)(7) of the Act. question the alien as to applicability of family members will be able to reunite * * * * * any of these exceptions to the alien’s even if the anchor relative’s status is (e) * * * case. less than permanent in the United (2) An alien will be found to have a (i) If the asylum officer determines States. credible fear of persecution if there is a that an alien does not qualify for an

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exception under the Agreement during Convention Against Torture, in the DEPARTMENT OF JUSTICE this threshold screening interview, the United States. 8 CFR Parts 1003, 1208, 1212, and 1240 alien is ineligible to apply for asylum in (iv) As used in § 208.30(e)(6)(iii)(B), the United States. After review of this (C) and (D) only, ‘‘legal guardian’’ [EOIR No. 142P; AG Order No. 2709–2004] finding by a supervisory asylum officer, means a person currently vested with the alien shall be advised that he or she RIN 1125–AA46 legal custody of such an alien or vested will be removed to Canada in order to pursue his or her claims relating to a with legal authority to act on the alien’s Asylum Claims Made by Aliens fear of persecution or torture under behalf, provided that such an alien is Arriving from Canada at Land Border Canadian law. Aliens found ineligible to both unmarried and less than 18 years Ports-of-Entry apply for asylum under this paragraph of age, and provided further that any dispute with respect to whether an AGENCY: Executive Office for shall be removed to Canada. Immigration Review, Justice. (ii) If the alien establishes by a individual is a legal guardian will be preponderance of the evidence that he resolved on the basis of U.S. law. ACTION: Proposed rule. or she qualifies for an exception under * * * * * SUMMARY: The recent Safe Third the terms of the Agreement, the asylum (g) * * * Country agreement between the United officer shall make a written notation of States and Canada provides new (2) * * * the basis of the exception, and then procedures for dealing with certain proceed immediately to a determination (i) Immigration judges will review categories of aliens crossing at land concerning whether an alien has a negative credible fear findings as border ports-of-entry between the credible fear of persecution or torture. provided in 8 CFR 1208.30(g)(2). United States and Canada, or in transit (iii) An alien qualifies for an from Canada or the United States, and exception to the Agreement if the alien * * * * * who express a fear of persecution or is not being removed from Canada in PART 212—DOCUMENTARY torture if returned to the country of their transit through the United States and: (A) Is a citizen of Canada or, not REQUIREMENTS; NONIMMIGRANTS; nationality or habitual residence. The having a country of nationality, is a WAIVERS; ADMISSION OF CERTAIN Agreement recognizes that the United habitual resident of Canada; INADMISSIBLE ALIENS; PAROLE States and Canada are safe third (B) Has in the United States a spouse, countries, each of which offers full son, daughter, parent, legal guardian, 4. The authority citation for part 212 procedures for nationals of other sibling, grandparent, grandchild, aunt, continues to read as follows: countries to seek asylum or other protection. Accordingly, subject to uncle, niece, or nephew who has been Authority: 8 U.S.C. 1101 and note, 1102, several specific exceptions, the granted asylum, refugee, or other lawful 1103, 1182 and note, 1184, 1187, 1225, 1226, Agreement provides for the United status in the United States, provided, 1227, 1228; 8 CFR part 2. however, that this exception shall not States to return such arriving aliens to apply to an alien whose relative 5. Section 212.5 is amended by Canada, the country of last presence, to maintains only nonimmigrant visitor adding new paragraph (e)(2)(iii) to read seek protection under Canadian law, status, as defined in section as follows: rather than applying for asylum in the 101(a)(15)(B) of the Act, or whose United States. Subject to the stated relative maintains only visitor status § 212.5 Parole of aliens into the United exceptions, such aliens attempting to States. based on admission to the U.S. pursuant travel from Canada to the United States, to the Visa Waiver Program; * * * * * or vice versa, will be allowed to seek asylum or other protection in one (C) Has in the United States a spouse, (e) * * * son, daughter, parent, legal guardian, country or the other, but not in both. sibling, grandparent, grandchild, aunt, (2) * * * Elsewhere in this issue of the Federal uncle, niece, or nephew who is at least (iii) Any alien granted parole into the Register, the Department of Homeland 18 years of age and has an asylum United States so that he or she may Security (DHS) is publishing a proposed application pending before U.S. of transit through the United States in the rule that would, among other things, Citizenship and Immigration Services, course of removal from Canada shall give asylum officers the authority to the Executive Office for Immigration have his or her parole status terminated apply the Agreement with respect to Review, or on appeal in federal court in upon notice, as specified in § arriving aliens. This proposed rule the United States; 212.5(e)(2)(i), if he or she makes known provides that the immigration judges (D) Is unmarried, under 18 years of to an immigration officer of the United will not review the threshold factual age, and does not have a parent or legal States a fear of persecution or an determinations by asylum officers that an alien does not satisfy any of the guardian in either Canada or the United intention to apply for asylum. Upon exceptions under the Agreement. States; termination of parole, any such alien (E) Arrived in the United States with However, for any alien who the asylum shall be regarded as an applicant for a validly issued visa or other valid officer determines is not barred by the admission, and processed accordingly admission document, other than for Agreement, the existing credible fear transit, issued by the United States, or, by the Department of Homeland process under section 235(b) of the being required to hold a visa to enter Security. Immigration and Nationality Act (Act) Canada, was not required to obtain a * * * * * remains unchanged, including the right visa to enter the United States; or Dated: January 26, 2004. to seek review by an immigration judge. (F) The Department of Homeland Finally, this rule provides authority for Tom Ridge, Security determines, in the exercise of an immigration judge to apply the unreviewable discretion, that it is in the Secretary of Homeland Security. Agreement with respect to aliens whom public interest to allow the alien to [FR Doc. 04–5077 Filed 3–5–04; 8:45 am] DHS has chosen to place in removal pursue a claim for asylum, withholding BILLING CODE 4410–10–P proceedings under section 240 of the of removal, or protection under the Act.

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DATES: Written comments must be Canada to return to the United States and nephews. There is a separate submitted on or before May 7, 2004. certain aliens seeking protection exception for minors who do not have FOR FURTHER INFORMATION CONTACT: attempting to enter Canada from the a parent in either the United States or Chuck Adkins-Blanch, General Counsel, United States at land border ports-of- Canada, though the definition of Executive Office for Immigration entry, and certain aliens being removed ‘‘unaccompanied minor’’ under the Review, 5107 Leesburg Pike, Suite 2600, from the United States in transit through Agreement is also different than that Falls Church, Virginia 22041, telephone Canada. In either case, the Agreement used in other contexts under the (703) 305–0470. ensures that the asylum seekers will immigration laws. ADDRESSES: Please submit written have access to a full and fair procedure The Agreement also has exceptions comments to Chuck Adkins-Blanch, for determining their asylum or other for an arriving alien who is a citizen of General Counsel, Executive Office for protection claims, either by the United Canada (or a habitual resident of Canada Immigration Review, Office of the States or by Canada, before the alien can not having a country of nationality), as General Counsel, 5107 Leesburg Pike, be returned to the country of his or her well as for aliens who presented a valid Suite 2600, Falls Church, Virginia, nationality or habitual residence. visa or other travel document (other The Agreement applies to aliens than for transiting the United States) or 22041. To ensure proper handling, arriving from Canada who are were exempt from the requirement to please reference RIN No. 1125–AA46 on inadmissible under section 212(a)(6)(C) present a passport. your correspondence. The public may (fraud or willful misrepresentation) or Finally, the Agreement recognizes also submit comments electronically to section 212(a)(7) (failure to present that the United States Government may the EOIR at [email protected]. When proper documents) of the Immigration conclude, in its discretion, that it is in submitting comments electronically, and Nationality Act (Act), 8 U.S.C. the public interest to allow an arriving you must include RIN No.1125–AA46 in 1182(a)(6)(C), (7). In general, all arriving alien to remain in the United States to the subject box. aliens who are inadmissible on either of pursue protection even though the alien SUPPLEMENTARY INFORMATION: On those grounds are subject to expedited does not meet any of the specific December 5, 2002, the governments of removal pursuant to section 235(b) of exceptions under the Agreement. This the United States and Canada signed the the Act. Under 8 CFR 235.3(b)(4), aliens latter discretionary determination is Agreement Between the Government of subject to expedited removal who seek reserved to DHS alone and is not within the United States and the Government asylum in the United States or the province of the immigration judges of Canada For Cooperation in the otherwise express a fear of persecution to review or grant. Examination of Refugee Status Claims or torture are referred to an asylum The DHS proposed rule on this from Nationals of Third Countries officer employed by U.S. Citizenship subject provides a more complete (‘‘bilateral Agreement with Canada’’ or and Immigration Services, a component discussion of the Agreement, and the ‘‘Agreement’’). The Agreement will not of DHS, for a credible fear determination exceptions under the Agreement that take effect until the United States has in accordance with 8 CFR 208.30. would be codified at 8 CFR 208.30. The promulgated implementing regulations As stated last year when the specific terms of the bilateral Agreement and Canada has completed its own Agreement was being negotiated, ‘‘Such with Canada can be found on the DHS necessary domestic procedures to bring an arrangement would limit the access Web site at http://www.uscis.gov. the Agreement into force. The of asylum seekers, under appropriate Legal Authority Permitting the Use of a supplementary information in the circumstances, to the system of only one Bilateral Agreement as a Bar to proposed rule of the Department of of the two countries.’’ 67 FR 46213 (July Applying for Asylum Homeland Security published elsewhere 12, 2002). Thus, the Agreement provides in this issue of the Federal Register a threshold basis for returning certain Section 208(a)(1) of the Act permits explains in greater detail the goals of the arriving aliens to Canada to pursue their any alien who is physically present in Agreement and the reasons for protection claims under Canadian law, or who arrives at the United States to including its particular terms and but also provides several specific apply for asylum, and specifically exceptions, and persons commenting on exceptions in which arriving aliens recognizes the right of arriving aliens to this rule should keep in mind the would be permitted to remain in the present claims for asylum through the discussion of these issues in the DHS United States in order to pursue credible fear review process under proposed rule. protection under United States law. section 235(b) of the Act. However, In particular, the Agreement provides section 208(a)(2)(A) of the Act states Terms of the Agreement important exceptions based on concerns that the right to apply for asylum under This Agreement permits the United for family unity, allowing an arriving paragraph (1) shall not apply where, States to return to Canada, the country alien to remain in the United States to ‘‘pursuant to a bilateral or multilateral of last presence, certain aliens seeking pursue protection claims if the alien has agreement, the alien may be removed to protection who attempt to enter the a qualifying family member living in the a country where the alien’s life or United States from Canada at a land United States and that family member freedom would not be threatened on border port-of-entry, or are being either has been granted lawful status in account of race, religion, nationality, removed from Canada in transit through the United States (other than visitor), or membership in a particular social group, the United States. Such aliens are not the family member is over the age of 18 or political opinion, and where the alien eligible to apply for asylum, and has filed a pending application for would have access to a full and fair withholding of removal, or protection asylum. The range of family members procedure for determining a claim to under the Convention Against Torture who may qualify as ‘‘anchor’’ relatives asylum or equivalent temporary in the United States, unless one of the due to their presence in the United protection, unless the Attorney General exceptions stated in the Agreement States is far broader than those [or the Secretary of Homeland Security] applies. Under the Agreement, those recognized under other provisions of finds that it is in the public interest for aliens who are returned to Canada will immigration law. It includes spouses, the alien to receive asylum in the have their protection claims adjudicated sons, daughters, parents, legal United States.’’ by Canadian authorities under Canadian guardians, siblings, grandparents, The bilateral Agreement with Canada law. Similarly, the Agreement permits grandchildren, aunts, uncles, nieces, allocates responsibility between the

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United States and Canada for processing qualifies for an exception under the entire text of the parallel provision in 8 claims of certain asylum-seekers, Agreement that would allow the alien to CFR 1212.5 and merely insert a cross- enhancing the two nations’ ability to pursue an asylum or protection claim in reference to the DHS regulations in 8 manage, in an orderly fashion, asylum the United States. The exceptions are CFR 212.5. claims brought by persons crossing our listed in 8 CFR 208.30(e)(6)(iii) of the Threshold Screening of an Alien’s common border. At present, it is the DHS proposed rule. If the arriving alien Eligibility Under the Agreement only agreement, for purposes of section does not qualify for an exception under 208(a)(2)(A) of the Act, that would bar the Agreement, there would be no need Under section 235(b)(1)(B)(iii)(III) of an arriving alien from applying for for a credible fear determination on the the Act, an arriving alien who has asylum in the United States. merits of the alien’s asylum claims and, received a negative credible fear accordingly, no right to seek review of determination by an asylum officer may Implementation of the Agreement the merits of the asylum claims by an request a prompt review by an The DHS rule published elsewhere in immigration judge, as discussed below. immigration judge. The purpose of this this issue of the Federal Register The alien would be returned to Canada review by an immigration judge is to proposes to revise the DHS rules in 8 to pursue an asylum or protection claim allay concerns that an arriving alien CFR chapter I, parts 208 and 212 to under Canadian law. If the arriving alien might be returned to the country of his implement the provisions of the does qualify for an exception to the or her nationality or habitual residence Agreement. This rule proposes revisions Agreement, the asylum officer would to face persecution or torture, without to the regulations of the Department of proceed promptly to consider the merits having had an adequate opportunity to Justice relating to the role of of the alien’s claims for protection present his or her claims to U.S. immigration judges in implementing the under United States law through the immigration officials. The current Agreement. regular credible fear process. Finally, regulations governing review of credible Until February 28, 2003, the DHS adopts definitions of ‘‘credible fear fear determinations by immigration regulations governing the immigration of persecution’’ and ‘‘credible fear of judges are codified in 8 CFR 1003.42 judges and the Board of Immigration torture’’ in the 8 CFR 208.30(e). and 1208.30(g)(2). In the credible fear Appeals (BIA) were also in 8 CFR This proposed rule is a companion to review process, the alien is able to chapter I because the former the DHS rule. Because the immigration present any information relating to the Immigration and Naturalization Service judges and the BIA have independent likelihood of persecution or torture if (INS) and the Executive Office for authority over asylum and withholding the alien were removed to the country Immigration Review (EOIR) were both claims made by aliens in removal of his or her nationality or habitual part of the Department of Justice under proceedings, the Attorney General residence. the authority of the Attorney General. duplicated all of the provisions of 8 CFR For aliens who are subject to the On March 1, 2003, however, the part 208 as a new part in 8 CFR chapter Agreement, however, the threshold functions of the former INS were V, part 1208. While DHS is making question is whether the alien should be transferred from the Department of changes to its regulations in part 208 returned to Canada for Canadian Justice to DHS pursuant to the governing the asylum officers, the authorities to consider the merits of that Homeland Security Act (HSA), Public Attorney General in this rule is alien’s claims, or whether the alien will Law 107–296, 116 Stat, 2135, 2178 proposing to make changes to parts 1003 be allowed to pursue protection in the (2002). That law also provided that and 1208, relating to review of negative United States. Because the threshold EOIR (including the administrative credible fear determinations by nature of the issues under the adjudications conducted by the immigration judges, and part 1240, Agreement is quite different from the immigration judges and the BIA) relating to the application of the issues relating to the merits of an alien’s remains in the Department of Justice Agreement to aliens in removal claimed fear of persecution or torture if under the authority of the Attorney proceedings. returned to his or her country of General. Accordingly, on February 28, This rule takes account of the nationality, this proposed rule, like the 2003, the Attorney General published a proposed changes being made by DHS DHS rule, does not provide for an technical rule that reorganized title 8 of in 8 CFR part 208, but does not propose immigration judge to review an asylum the Code of Federal Regulations to to duplicate in part 1208 the full text of officer’s threshold determination under reflect the transfer of the functions of all of those changes. Many of the the Agreement that the alien should be the former INS to DHS while creating a changes that DHS is proposing to make returned to Canada for a determination separate set of regulations pertaining to to 8 CFR 208.30 pertain only to the of his or her asylum claims under EOIR. See Aliens and Nationality; actions of the asylum officers, and do Canadian law. Homeland Security; Reorganization of not directly affect the authority of the In the credible fear process, asylum Regulations, 68 FR 9824 (Feb. 28, 2003). immigration judges and the BIA. Thus, officers consider the merits of the This technical rule created a new in many instances, this rule will remove claimed fear of persecution or torture in chapter V in 8 CFR and transferred or existing language from 8 CFR part making a credible fear determination. If duplicated certain parts and sections 1208.30 and simply insert cross- the asylum officer makes a negative from chapter I to the new chapter V and references to the provisions of the DHS credible fear determination, the alien made other amendments. The regulations in part 208.30 rather than has the right to have an immigration regulations governing proceedings reprinting them in full. In addition, judge review the merits of that before EOIR are now contained in 8 CFR because the provisions in 8 CFR 212.5 determination. In contrast, in the case of chapter V, beginning with part 1001. relating to the granting of parole pertain an arriving alien from Canada who is The DHS regulations pertaining to the to actions by the Department of subject to the Agreement and does not Act remain in 8 CFR chapter I. Homeland Security, and do not directly meet any of the exceptions, the merits In its rule, DHS proposes to affect the authority of the immigration of the alien’s claims would not even implement the Agreement by revising 8 judges and the BIA, this rule does not arise in any proceedings before an CFR 208.4 and 208.30 to permit asylum attempt to track the changes that DHS is immigration judge, and there would be officers to conduct a threshold screening proposing to make to 8 CFR 212.5. no occasion for an immigration judge to to determine whether or not an alien Instead, this rule proposes to remove the consider or determine whether or not

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the alien in fact has a credible fear of Agreement is applicable. DHS might As suggested in the supplementary facing persecution or torture if returned decide, in its discretion, to place an information in the DHS proposed rule, to the country of his or her nationality arriving alien into regular removal DHS may exercise its discretion to place or habitual residence. Such issues are proceedings, for example, in order to certain minors into removal proceedings irrelevant to a review of the specific lodge additional charges of under section 240 of the Act, rather than exceptions under the Agreement (since inadmissibility against the alien, or, as in expedited removal, when they arrive the public interest exception under the suggested in the supplementary at a port-of-entry at the United States/ Agreement is for DHS alone to consider, information in the DHS draft rule, Canadian land border. The Agreement not an immigration judge). Unless the because the alien is a minor. However, uses a different definition of the term alien is under the age of 18 and if DHS is seeking removal of the alien ‘‘unaccompanied minor’’ than is used in unaccompanied, the principal issue for upon his or her arrival from Canada at other contexts under the immigration DHS to consider under the Agreement a United States land border, it does not laws. An unmarried arriving alien under as a practical matter in deciding if the make any legal difference under the the age of 18 who does not have a parent alien meets one of the exceptions will Agreement and under section either in the United States or Canada be whether the alien has a qualifying 208(a)(2)(A) of the Act whether DHS has will be exempt from the Agreement as family member living in the United decided to use expedited removal an ‘‘unaccompanied minor,’’ and will be States (i.e., a qualifying family member procedures under section 235 of the Act permitted to pursue claims for asylum, who is either in lawful immigration or regular removal proceedings under withholding of removal, and protection status in the United states, other than as section 240 of the Act. under the Convention Against Torture a visitor, or has a pending asylum Under this rule, an alien in regular before the immigration judge. However, application). removal proceedings who is subject to a minor arriving from Canada who does Given the narrowness of the factual the Agreement would not be able to have a parent either in the United States issues, the Department believes that the pursue an application for asylum, or in Canada will not be eligible for the applicability of the Agreement can withholding of removal, or protection exception as an unaccompanied minor readily be considered and adjudicated under the Convention Against Torture under the terms of the Agreement by asylum officers. None of the before the immigration judge, unless the (whether or not the alien may be threshold factual determinations under alien satisfies the burden of proof to considered an unaccompanied minor for the Agreement has any relationship to establish by a preponderance of the other purposes under the immigration the merits of an arriving alien’s asylum evidence that he or she qualifies for an laws). Unless such an alien is able to claims, and none calls for the kind of exception to the Agreement, other than satisfy one of the other exceptions under expert judgment exercised by the public interest exception. (As the Agreement—such as having a immigration judges in conducting previously noted, the decision to invoke qualifying family member in the United credible fear reviews concerning the the public interest exception is solely States who either has been granted merits of an arriving alien’s asylum within the discretion of DHS. If DHS lawful status or has a pending asylum claims. In addition, because the law determines that it is in the public application—then the minor would not requires that arriving aliens be detained, interest to allow a covered alien to be eligible to apply for asylum, providing for reviews by immigration pursue a claim for asylum or withholding of removal, or protection judges of these threshold issues under withholding of removal in removal under the Convention Against Torture the Agreement through a credible fear before the immigration judge. The review would likely result in prolonging proceedings, then DHS will file a immigration judge would consider the detention of such aliens, since the written notice of its decision before the applications for any other forms of relief law provides that such a credible fear immigration judge, as provided in new for which the alien might be eligible review can occur as late as 7 days after 8 CFR 1240.11(g)(3).) If the alien does and, if the alien is ultimately ordered the asylum officer’s determination. For not establish an exception, he/she will removed, he or she would be returned these reasons, this rule provides that an be returned to Canada (the country of to Canada in order to pursue claims for immigration judge will not have the alien’s last presence) in order to asylum or refugee protection under jurisdiction to review an asylum pursue his or her protection claims Canadian law. officer’s threshold determination under there under Canadian law. As provided the Agreement that an alien is to be in the Agreement, the United States For example, if a 15-year-old asylum- returned to Canada in order to pursue cannot remove an arriving alien who is seeker arrives at a United States/Canada an adjudication of his or her asylum covered by the Agreement to any land-border port-of-entry without other claims under Canadian law. country other than Canada in order to family members, DHS may choose to have recourse to protection under place the alien in removal proceedings Removal Proceedings Canadian law. according to its own policies. In the New § 1240.11(g) provides rules This rule does not affect any other course of the removal proceedings, the pertaining to an arriving alien who is individuals applying for asylum in immigration judge will first determine subject to the Agreement but DHS, in its removal proceedings who are not whether the minor has a parent or legal discretion, decides to place the alien subject to the Agreement. In particular, guardian in the United States or Canada, into removal proceedings under section under the terms of the Agreement, an in order to determine whether the 240 of the Act, rather than in expedited alien who is charged with grounds of ‘‘unaccompanied minor’’ exception to removal. Thus, if the immigration judge deportability after being found in the the Agreement applies. If the minor determines that the alien was placed United States will not be subject to the does have a parent or legal guardian in into removal proceedings in connection limitations of the Agreement, even if the the United States or Canada, the with his or her arrival at a United States alien had previously entered the United immigration judge will determine port-of-entry on the United States/ States from Canada, or any alien who whether any of the other exceptions to Canadian land border, the alien would arrived in the United States by air or the Agreement apply. For example, if not be eligible to apply for asylum water, or who entered the United States the alien’s parent is living in the United pursuant to section 208(a)(2)(A) of the illegally at any point between the States, the minor would not be an Act unless an exception to the established land border port-of-entry. ‘‘unaccompanied minor’’ under the

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Agreement, but the parent may be a the person would face persecution or removed, will be ordered removed to an qualifying relative if the parent either torture. appropriate country of removal. has been granted lawful status in the Individuals Being Removed from Regulatory Flexibility Act United States other than as a visitor or Canada Who Seek Protection While in The Attorney General, in accordance has a pending asylum application, as Transit Through the United States provided in other exceptions to the with the Regulatory Flexibility Act (5 Agreement. Pursuant to the Agreement, if a person U.S.C. 605(b)), has reviewed this is being removed from Canada in transit regulation and, by approving it, certifies An alien who is found to be ineligible through the United States and expresses that this rule will not have a significant to apply for asylum pursuant to section a fear of persecution or torture or an economic impact on a substantial 208(a)(2)(A) of the Act and the bilateral intention to apply for asylum, the number of small entities. This rule Agreement with Canada will be person will be returned to Canada for affects individual aliens, as it relates to removed to Canada to have all of his or Canadian authorities to determine the claims of asylum. It does not affect her claims for protection adjudicated by refugee status claim, in accordance with small entities, as that term is defined in Canadian authorities under Canadian Canadian law. The inspection of an 5 U.S.C. 601(6). law. Accordingly, this rule adds § alien who falls into this category is 1240.11(g)(4) to provide that an alien in explained in the supplementary Unfunded Mandates Reform Act of removal proceedings who is subject to information in the DHS proposed rule. 1995 the Agreement is ineligible to apply for Generally, an individual being removed This rule will not result in the withholding of removal under section from Canada in transit through the expenditure by State, local, and tribal 241(b)(3) of the Act and the Convention United States will be placed in governments, in the aggregate, or by the Against Torture if it is determined that expedited removal proceedings, though private sector, of $100 million or more he or she is ineligible to apply for there may be some rare instances in in any one year, and it will not asylum based on the Agreement. which the individual will be placed in significantly or uniquely affect small Section 241(b)(3)(A) of the Act removal proceedings under section 240 governments. Therefore, no actions were prohibits removal of an alien to a of the Act. The DHS rule provides that deemed necessary under the provisions country where the alien’s life or such individuals will receive the same of the Unfunded Mandates Reform Act freedom would be threatened on threshold screening by an asylum officer of 1995. account of race, religion, nationality, as an alien who seeks entry to the United States at a land border port-of- Small Business Regulatory Enforcement membership in a particular social group, Fairness Act of 1996 or political opinion. Similarly, Article 3 entry between Canada and the United This rule is not a major rule as of the Convention Against Torture States. However, the exceptions for defined by section 251 of the Small prohibits the return of an individual to unaccompanied minors, qualifying Business Regulatory Enforcement Act of another country where there are family members, and valid travel documents do not apply to an alien 1996 (5 U.S.C. 804). This rule will not substantial grounds for believing that he being removed from Canada in transit result in an annual effect on the or she would be subject to torture. These through the United States. Because the economy of $100 million or more; a provisions, however, do not prevent the Agreement provides no exceptions to major increase in costs or prices; or United States from removing an the obligation to return such alien to significant adverse effects on individual to any safe third country in Canada, except for the public interest competition, employment, investment, which the person would not face the exception, and the public interest productivity, innovation, or on the threat of persecution or torture. exception itself would not be within the ability of United States-based Like the United States, Canada is a authority of an immigration judge to companies to compete with foreign- signatory to the 1967 Protocol Relating consider in any event, there is based companies in domestic and to the Status of Refugees (‘‘Protocol’’) 1 essentially nothing for an immigration export markets. and the Convention against Torture. judge to review in this context and no Article 3 of the bilateral Agreement with purpose to be served by providing for Executive Order 12866 Canada provides that ‘‘the Parties shall such review. For those rare instances in The Attorney General has determined not return or remove a refugee status which an alien being removed in transit that this rule is a ‘‘significant regulatory claimant referred by either Party under through the United States is placed in action’’ under Executive Order 12866, the terms of [the Agreement] to another removal proceedings pursuant to section section 3(f), Regulatory Planning and country until an adjudication of the 240 of the Act, the immigration judge Review, and, accordingly, this rule has person’s refugee status claim has been will not consider any claims of asylum, been submitted to the Office of made.’’ In Article 1, the Agreement withholding of removal, or protection Management and Budget for review. In defines a refugee status claim to include under the Convention Against Torture particular, the Department has assessed a request for protection consistent with (unless DHS files a written notice in the both the costs and benefits of this rule the Protocol and the Convention Against proceedings that it has decided it is in as required by Executive Order 12866, Torture. Therefore, returning an the public interest to allow the alien to section 1(b)(6) and has made a reasoned individual to Canada pursuant to the pursue those claims in the United determination that the benefits of this terms of the Agreement is consistent States), and after completion of the regulation justify its costs. with United States’ obligations not to proceedings, if the alien is ordered The proposed rule would implement return an individual to a country where removed, the alien will be returned to a bilateral agreement that allocates Canada. On the other hand, if DHS files responsibility between the United States 1 Section 241(b)(3) of the Act is based on Article a written notice in the proceedings that and Canada for processing claims of 33 of the Protocol. See INS v Stevic, 467 U.S. 407, it is in the public interest to allow the certain asylum-seekers, enhancing the 421 (1984) (‘‘Section 203(e) of the Refugee Act of alien to pursue protection claims in the two nations’ ability to manage, in an 1980 amended the language of § 243(h) [currently § 241(b)(3) of the Act] basically conforming it to the United States, then the alien will pursue orderly fashion, asylum claims brought language of Article 33 of the United Nations his or her claim for protection in the by persons crossing our common border. Protocol.’’) removal proceedings, and, if ordered The rule applies to certain individuals

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in removal proceedings who apply for Family Assessment Statement Accordingly, chapter V of title 8 of the asylum. This rule simply adds another Code of Federal Regulations is proposed factor for immigration judges to The Attorney General has reviewed to be amended as follows: consider in removal proceedings. this regulation and assessed this action Therefore, the ‘‘tangible’’ costs of this in accordance with the criteria specified PART 1003—EXECUTIVE OFFICE FOR rulemaking to the U.S. Government are by section 654(c)(1) of the Treasury IMMIGRATION REVIEW minimal. Applicants who are found to General Appropriations Act, 1999, Public Law 105–277, Div. A. The 1. The authority citation for part 1003 be subject to the bilateral Agreement continues to read as follows: with Canada will be returned to Canada Attorney General has determined that it to seek asylum, saving the U.S. will not affect family well-being as that Authority: 5 U.S.C. 301; 8 U.S.C. 1101 term is defined in section 654. note, 1103, 1252 note, 1252b, 1324b, 1362; 28 Government the cost of adjudicating U.S.C. 509, 510, 1746; sec. 2, Reorg. Plan No. their asylum claims. The separate proposed rule published 2 of 1950, 3 CFR, 1949–1953 Comp., p. 1002; The cost to asylum-seekers who, by the Department of Homeland section 203 of Pub. L. 105–100, 111 Stat. under the proposed rule, will be Security explains that an alien arriving 2196–200; sections 1506 and 1510 of Pub. L. returned to Canada are the costs of at a land border port-of-entry with 106–386; 114 Stat. 1527–29, 1531–32; section Canada may qualify for an exception to 1505 of Pub. L. 106–554, 114 Stat. 2763A– pursuing an asylum claim in Canada, as 326 to –328. opposed to the United States. There is the bilateral Agreement with Canada, no fee to apply for asylum in Canada which otherwise requires individuals to 2. Section 1003.42 is amended by and, under Canadian law, asylum- seek protection in the country of last adding new paragraph (h) to read as seekers are provided social benefits that presence (Canada), by establishing a follows: they are not eligible for in the United relationship to a family member in the United States who has lawful status in § 1003.42 Review of credible fear States. Therefore, the tangible costs of determinations. seeking asylum in Canada are no greater the United States, other than a visitor, or is 18 years of age or older and has an * * * * * than they are in the United States. The (h) Safe third country agreement—(1) ‘‘intangible’’ costs to asylum-seekers asylum application pending. The DHS proposed rule addresses issues relating Arriving alien. An immigration judge who would be returned to Canada under shall have no jurisdiction to review a the proposed rule are the costs of to family well-being in connection with that rule. determination by an asylum officer that potential separation from support an arriving alien is not eligible to apply This proposed rule provides that the networks they may be seeking to join in for asylum pursuant to a bilateral or immigration judges will apply the same the United States. However, the multilateral agreement (the agreement) administrative guidelines of ‘‘family Agreement contains broad exceptions under section 208(a)(2)(A) of the Act member’’ in the DHS proposed rule, in based on principles of family unity that and should be returned to a safe third those cases where DHS has chosen to would generally allow those with family country to pursue his or her asylum place an alien who is subject to the connections in the United States to seek claims under the laws of that country. Agreement into removal proceedings asylum in the United States under See 8 CFR 208.30(e)(6). existing regulations. under section 240 of the Act. However, (2) Aliens in transit. An immigration that is expected to occur only very Executive Order 13132 judge has no jurisdiction to review any rarely. In any other case, where DHS determination by DHS that an alien does not choose to place an arriving This rule will not have substantial being removed from Canada in transit alien into removal proceedings under direct effects on the States, on the through the United States should be section 240 of the Act, this rule has no relationship between the National returned to Canada to pursue asylum effect on family well-being, because the Government and the States, or on the claims under Canadian law, under the immigration judges will not be distribution of power and terms of a safe third country agreement involved. responsibilities among the various with Canada. levels of government. Therefore, in List of Subjects * * * * * accordance with section 6 of Executive 8 CFR Part 1003 Order 13132, it is determined that this PART 1208—PROCEDURES FOR rule does not have sufficient federalism Administrative practice and ASYLUM AND WITHHOLDING OF implications to warrant the preparation procedure, Aliens, Immigration, Legal REMOVAL of a federalism summary impact services, Organization and function 3. The authority citation for part 1208 statement. (Government agencies). is revised to read as follows: Executive Order 12988 Civil Justice 8 CFR Part 1208 Authority: 8 U.S.C. 1103, 1158, 1226, 1252, Reform 1282. Administrative practice and This rule meets the applicable procedure, Aliens, Immigration, and 4. Section 1208.4 is amended by standards set forth in sections 3(a) and Reporting and recordkeeping adding new paragraph (a)(6) to read as 3(b)(2) of Executive Order 12988. requirements. follows: Paperwork Reduction Act 8 CFR Part 1212 § 1208.4 Filing the application. * * * * * The provisions of the Paperwork Administrative practice and (a) * * * Reduction Act of 1995, Public Law 104– procedure, Aliens, Immigration, (6) Safe third country agreement. 13, 44 U.S.C. chapter 35, and its Passports and visas and Reporting and Immigration judges have authority to implementing regulations, 5 CFR part recordkeeping requirements. consider issues under section 1320, do not apply to this proposed rule 8 CFR Part 1240 208(a)(2)(A) of the Act, relating to the because there are no new or revised determination of whether an alien is recordkeeping or reporting Administrative practice and ineligible to apply for asylum and requirements. procedure and Aliens. should be removed to a safe third

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country pursuant to a bilateral or 1252a, 1252b, 1362; secs. 202 and 203, Pub. withholding of removal in the United multilateral agreement, only with L. 105–100, 111 Stat. 2160, 2193; sec. 902, States. respect to aliens whom DHS has chosen Pub. L. 105–277, 112 Stat. 2681; sec. 1101, (4) An alien who is found to be to place in removal proceedings under Pub. L. 107–269, 116 Stat. 2135. ineligible to apply for asylum under section 240 of the Act, as provided in 9. Section 1240.11 is amended by section 208(a)(2)(A) of the Act is 8 CFR 1240.11(g). For DHS regulations adding a new paragraph (g), to read as ineligible to apply for withholding of relating to determinations by asylum follows: removal pursuant to section 241(b)(3) of officers on this subject, see 8 CFR the Act and the Convention against 208.30(e)(6). § 1240.11 Ancillary matters, applications. Torture. However, the alien may apply * * * * * * * * * * for any other relief from removal for 5. Section 1208.30 is amended by: (g) Safe third country agreement. (1) which the alien may be eligible. If an a. Revising paragraphs (a) and (e); and The immigration judge has authority to alien who is subject to section by apply section 208(a)(2)(A) of the Act, 208(a)(2)(A) of the Act is ordered b. Removing and reserving paragraphs relating to a determination that an alien removed, the alien shall be ordered (c), (d), (f) and (g)(1). may be removed to a safe third country removed to the safe third country in The revisions read as follows: pursuant to a bilateral or multilateral which the alien will be able to pursue agreement, in the case of an alien who his or her claims for asylum or § 1208.30 Credible fear determinations is subject to the terms of the agreement protection under the laws of that involving stowaways and applicants for and is placed in proceedings pursuant country. admission found inadmissible pursuant to section 212(a)(6)(C) or 212(a)(7) of the Act. to section 240 of the Act without being Dated: March 1, 2004. processed under section 235 of the Act. John Ashcroft, (a) Jurisdiction. The provisions of this In an appropriate case, the immigration subpart apply to aliens subject to judge shall determine whether under Attorney General. sections 235(a)(2) and 235(b)(1) of the the Agreement the alien should be [FR Doc. 04–5065 Filed 3–5–04; 8:45 am] Act. Pursuant to section 235(b)(1)(B), returned to the safe third country, or BILLING CODE 4410–30–P asylum officers have exclusive whether the alien should be permitted jurisdiction to make credible fear to pursue asylum or other protection determinations, and the immigration claims in the United States. DEPARTMENT OF AGRICULTURE judges have exclusive jurisdiction to (2) An alien described in paragraph review such determinations. (g)(1) of this section is ineligible to Animal and Plant Health Inspection * * * * * apply for asylum, pursuant to section Service (e) Determination. For the standards 208(a)(2)(A) of the Act, unless the and procedures for asylum officers in immigration judge determines, by 9 CFR Parts 93, 94, and 95 conducting credible fear interviews and preponderance of the evidence, that: in making positive and negative credible (i) The agreement does not apply to [Docket No. 03–080–2] fear determinations, see 8 CFR the alien or does not preclude the alien RIN 0579–AB73 208.30(b), (c), (d), (e), (f), and (g)(1). The from applying for asylum in the United immigration judges will review such States; or Bovine Spongiform Encephalopathy; determinations as provided in (ii) The alien qualifies for an Minimal Risk Regions and Importation paragraph (g)(2) of this section and 8 exception to the agreement as set forth of Commodities CFR 1003.42. in paragraph (g)(3) of this section. * * * * * (3) The immigration judge shall apply AGENCY: Animal and Plant Health the applicable regulations in deciding Inspection Service, USDA. PART 1212—DOCUMENTARY whether the alien qualifies for any ACTION: Proposed rule; reopening of REQUIREMENTS; NONIMMIGRANTS; exception under the agreement that comment period. WAIVERS; ADMISSION OF CERTAIN would permit the United States to INADMISSIBLE ALIENS; PAROLE exercise authority over the alien’s SUMMARY: We are reopening the comment period for our proposed rule 6. The authority citation for part 1212 asylum claim. The exceptions under the that would amend the regulations is revised to read as follows: agreement are codified at 8 CFR regarding the importation of animals Authority: 8 U.S.C. 1101 and note, 1103. 208.30(e)(6)(iii). The immigration judge shall not review, consider, or decide any and animal products to recognize, and 7. Section 1212.5 is revised to read as issues pertaining to any discretionary add Canada to, a category of regions that follows: determination on whether the alien present a minimal risk of introducing should be permitted to pursue an bovine spongiform encephalopathy into § 1212.5 Parole of aliens into the United the United States via live ruminants and States. asylum claim in the United States notwithstanding the general terms of the ruminant products. The proposed rule Procedures and standards for the also set out conditions under which we granting of parole by the Department of agreement, as such discretionary public interest determinations are reserved to would allow the importation of certain Homeland Security can be found at 8 live ruminants and ruminant products CFR 212.5. the Department of Homeland Security. However, an alien in removal and byproducts from such regions. This action will allow interested persons PART 1240—PROCEEDINGS TO proceedings who is otherwise ineligible to apply for asylum under the agreement additional time to prepare and submit DETERMINE REMOVABILITY OF comments. ALIENS IN THE UNITED STATES may apply for asylum if the Department of Homeland Security files a written DATES: We will consider all comments 8. The authority citation for part 1240 notice in the proceedings before the that we receive on or before April 7, is revised to read as follows: immigration judge that it has decided in 2004. Authority: 8 U.S.C. 1103, 1182, 1186a, the public interest to allow the alien to ADDRESSES: You may submit comments 1224, 1225, 1226, 1227, 1251, 1252 note, pursue claims for asylum or by any of the following methods:

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• Postal Mail/Commercial Delivery: We also proposed to allow the effect of the detection of the imported Please send four copies of your importation of certain live ruminants cow on the analysis of risk that we comment (an original and three copies) and ruminant products and byproducts conducted for the November 2003 to Docket No. 03–0801, Regulatory from such regions under certain proposed rule. conditions. Comments on the proposed Analysis and Development, PPD, Effect of the Detection of BSE on rule were required to be received on or APHIS, Station 3C71, 4700 River Road APHIS’s Analysis of Risk Unit 118, Riverdale, MD 20737–1238. before January 5, 2004. In addition to Please state that your comment refers to inviting comments on the proposed rule The epidemiological investigation Docket No. 03–080–1. itself, APHIS invited comments on an that was conducted following detection • E-mail: Address your comment to analysis the Agency had conducted of of BSE in an imported cow in [email protected]. Your the risk of importing the animals and Washington State 2 revealed several comment must be contained in the body animal products in question from points that are relevant to whether and of your message; do not send attached Canada under the conditions of the how that detection affects our analysis files. Please include your name and proposed rule. At the time the proposed of the risk of importing ruminants and address in your message and ‘‘Docket rule was published, BSE had never been ruminant products from Canada under No. 03–080–1’’ on the subject line. detected in the United States and only the conditions of the November 2003 • a single case had been reported in proposed rule. Agency Web Site: Go to http:// • www.aphis.usda.gov/ppd/rad/ Canada (in Alberta in May 2003). The infected heifer was cominst.html for a form you can use to On December 23, 2003, the U.S. approximately 6 years and 8 months old submit an e-mail comment through the Department of Agriculture (USDA) at the time the disease was diagnosed. APHIS Web site. announced a presumptive positive case Its age indicated that it was born before • Federal eRulemaking Portal: Go to of BSE in a Holstein cow in Washington implementation of a ban in Canada on http://www.regulations.gov and follow State. The diagnosis was verified on feeding mammalian protein to the instructions for locating this docket December 25, 2003, by an international ruminants and was most likely to have and submitting comments. reference laboratory. The investigation become infected before that feed ban that was conducted following detection was implemented. Reading Room: You may read any • comments that we receive on this of the disease revealed the animal was The animal was imported into the docket in our reading room. The reading born in Canada and had most likely United States in 2001 at approximately room is located in room 1141 of the been exposed to the BSE agent in that 4 years of age. Among the conditions for importing USDA South Building, 14th Street and country. cattle from Canada under the proposed Independence Avenue SW., Since the date of detection of BSE in rule was the requirement that the Washington, DC. Normal reading room the cow in Washington State, the USDA animals be no more than 30 months old. hours are 8 a.m. to 4:30 p.m., Monday and other Federal and State agencies This restriction was based on research through Friday, except holidays. To be have worked together closely to perform indicating the most likely cattle to have sure someone is there to help you, an epidemiological investigation, trace infectious levels of the BSE agent are please call (202) 690–2817 before any potentially infected cattle, trace those older than 30 months. coming. potentially contaminated rendered Additionally, the proposed rule Other Information: You may view product, increase BSE surveillance, and required that the animals not have been APHIS documents published in the take additional measures to address fed ruminant protein. Federal Register and related human and animal health. Additionally, an international panel of scientific Although the BSE-infected cow information, including the names of identified in Washington State was groups and individuals who have experts appointed by the Secretary of Agriculture has provided a review of more than 30 months of age when it was commented on APHIS dockets, on the diagnosed, it was obviously not Internet at http://www.aphis.usda.gov/ U.S. BSE response actions and has made recommendations for enhancements of imported under the conditions of the ppd/rad/webrepor.html. yet-to-be-implemented proposed rule, FOR FURTHER INFORMATION CONTACT: Dr. the national BSE response program in 1 and would not have been allowed to be Karen James-Preston, Director, the United States. Detection of BSE in the imported cow imported under the proposed rule. Technical Trade Services, National in Washington State occurred after Further, as discussed in the risk Center for Import and Export, VS, APHIS conducted its analysis of the risk analysis, a ban on feeding mammalian APHIS, 4700 River Road Unit 38, of importing ruminants and ruminant protein to ruminants was implemented Riverdale, MD 20737–1231; (301) 734– products and byproducts from Canada in Canada in 1997 and compliance with 4356. under the conditions of the proposed that feed ban appears to have been, and SUPPLEMENTARY INFORMATION: rule. Therefore, it is important for us to to continue to be, good. The cow identified with BSE in the United States Background explain the extent to which we believe that detection may affect the was born in Canada before the feed ban On November 4, 2003, the Animal conclusions of the risk analysis, and, was implemented. Therefore, we and Plant Health Inspection Service consequently, the validity of the continue to believe that the import (APHIS) published in the Federal proposed rule. Therefore, we have controls of the proposed rule would be Register (68 FR 62386–62405, Docket prepared an explanatory document, effective. No. 03–080–1) a proposal to amend the discussed below, that addresses the The analysis of risk we conducted regulations regarding the importation of addressed the issue of the prevalence of animals and animal products to 1 You may view the international panel’s report BSE in Canada. The risk analysis recognize a category of regions that on the Internet by accessing the APHIS Web site at present a minimal risk of introducing http://www.aphis.usda.gov/lpa/issues/bse/bse.html. 2 A summary of the epidemiological investigation bovine spongiform encephalopathy At the BSE page, click on the listing for ‘‘The is included in our explanatory note document. Secretary’s Foreign Animal and Poultry Disease Instructions for accessing the explanatory note (BSE) into the United States via live Advisory Committee’s Report on Measures Relating document are included in this notice under the ruminants and ruminant products, and to Bovine Spongiform Encephalopathy (BSE) in the heading ‘‘How to View APHIS Risk Documents proposed to add Canada to this category. United States.’’ Related to this Notice.’’

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presented evidence that the prevalence analysis, it did raise consciousness of Requirements of the November 2003 was very low and that Canada had BSE challenges that might exist for the Proposed Rule in Light of Recent U.S. strong BSE controls in place. Although United States. As noted above, the Measures the detection of an imported BSE- United States is redirecting resources As noted above, the USDA has infected cow in Washington State means toward planning, implementation, and responded to the detection of the case an additional animal of Canadian origin enforcement of measures to enhance of BSE in an imported BSE-infected cow has been diagnosed with BSE since BSE surveillance and to protect human with significant BSE risk mitigation completion of the risk analysis and and animal health. measures in this country. Perhaps most publication of the proposed rule, the Both the USDA and the U.S. importantly, parts of slaughtered total number of diagnosed cases Department of Health and Human animals that are considered at particular attributed to that country remains low. Services’ Food and Drug Administration risk of containing the BSE agent in an Further, Canada has implemented (FDA) have either put in place or have infected animal (referred to as strong measures to prevent the ‘‘specified risk materials’’ or ‘‘SRM’s’’) establishment, propagation, and spread announced additional safety measures have been banned from the human food of BSE among cattle in that country, to in response to the detection of the case 4 supply. The USDA’s Food Safety and detect infected animals through of BSE. USDA requested a review of Inspection Service (FSIS) has surveillance, and to protect the the U.S. BSE program by an established as SRM’s the skull, brain, Canadian animal and human food international scientific panel and has trigeminal ganglia, eyes, vertebral supplies. received its recommendations. Although Given the conditions APHIS is the U.S. Government has already taken column, spinal cord, and dorsal root proposing for the importation of significant actions that directly address ganglia of cattle over 30 months of age, ruminants and ruminant products from many of the expert panel’s as well as the tonsils and small intestine Canada, we believe it is highly unlikely recommendations, and is considering of cattle of all ages, and prohibits such that BSE would be introduced from policy options to further address the SRM’s from the human food supply. In Canada under the proposed rule. Based recommendations, we believe the recent addition, FSIS has, among other on the factors discussed in the original detection and investigation of the BSE measures, required that nonambulatory, risk analysis, along with risk mitigation case in a cow of Canadian origin disabled cattle be excluded from the measures currently in place and those demonstrate the effective nature of the food supply. The Canadian Government that would be added by the proposed surveillance and response measures has established similar safeguards in rule, we have concluded that a BSE case currently in place. Canada. The measures taken by FSIS do not in a second cow of Canadian origin does The risk analysis we conducted for not alter our risk estimate. restrict the slaughter of cattle in the our November 2003 proposal was United States based on the age of the Canadian Investigation Following developed after, and took into animals—i.e., meat from cattle 30 Detection of a BSE-Infected Cow in consideration, the diagnosis of BSE in a months of age or older will continue to Washington State cow in Canada in May 2003. In that be allowed into the human food supply. analysis, we considered the sum total of The Canadian Food Inspection However, measures are in place to the control mechanisms (e.g., ensure that SRM’s from such cattle do Agency (CFIA) initiated an effectiveness of surveillance, import epidemiological investigation not enter the food supply. We now controls, and feed ban) in place in specifically in response to the believe it would not be necessary to Canada at the time of the diagnosis and confirmation of a BSE-infected cow of require that beef imported from BSE the actions taken by Canada following Canadian origin in Washington State. minimal-risk regions be derived only that diagnosis. The conclusion of our This investigation was conducted from cattle less than 30 months of age, analysis was that those control concurrently and cooperatively with the provided equivalent measures are in mechanisms and actions were adequate U.S. investigation of animals from the place to ensure that SRM’s are removed to mitigate the risk of BSE being brought same Canadian herd of origin. CFIA is when the animals are slaughtered, and into the United States from Canada continuing its epidemiological that such other measures as are through the importation of ruminants investigation. necessary are in place. We believe such The Government of Canada has also and ruminant products, provided the measures are already being taken in announced plans to enhance existing conditions of the proposed rule were Canada. We invite comment from the measures being taken in that country met. Enhancements the United States public regarding this change to the regarding BSE surveillance and animal has made to its own BSE control provisions we proposed in November tracking by increasing the number of program since the December 2003 2003 regarding the importation of beef. animals tested for BSE annually and by detection—such as elimination of With regard to the importation of live strengthening Canada’s animal nonambulatory disabled cattle from the animals from BSE minimal-risk regions, identification program.3 food chain, the removal of ‘‘specified APHIS is currently evaluating the risk materials’’ from human food, and appropriate approach regarding such Actions Taken in the United States increased surveillance—and the animals and intends to address that After Detection of the Imported BSE- adoption of equivalent measures by issue in a supplemental rulemaking Infected Cow Canada, continue to support our basic proposal in the Federal Register. Although the detection of an imported conclusions that ruminants and BSE-infected cow does not, in our view, ruminant products can be safely Extension of Comment Period alter the conclusions of our original risk imported. In order to give interested persons an opportunity to comment on our 3 These measures are discussed in greater detail 4 A listing of each of the measures taken or November 2003 proposed rule in light of in our explanatory note to the risk analysis we announced is included in our explanatory note recent developments described above, conducted for our November 2003 proposed rule, document. Instructions for accessing the and may also be viewed on the Internet by explanatory note document are included in this we are reopening the comment period accessing the CFIA Web site at notice under the heading ‘‘How to View APHIS Risk on Docket No. 03–080–1 for an http:www.inspection.gc.ca. Documents Related to this Notice.’’ additional 30 days. We will also

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consider all comments received between ACTION: Notice of proposed rulemaking 90712–4137; telephone (562) 627–5344; January 6, 2004 (the day after the close (NPRM). fax (562) 627–5210. of the original comment period), and the SUPPLEMENTARY INFORMATION: date of this notice. SUMMARY: This document proposes the adoption of a new airworthiness Comments Invited How To View APHIS Risk Documents directive (AD) that is applicable to Interested persons are invited to Related to This Notice certain McDonnell Douglas Model DC– participate in the making of the You may view the original analysis 9–10, –20, –30, –40, and –50 series proposed rule by submitting such we conducted for our November 2003 airplanes; Model DC–9–81 (MD–81), –82 written data, views, or arguments as proposed rule and the explanatory note (MD–82), –83 (MD–83), and –87 (MD– they may desire. Communications shall to that analysis in our reading room 87) airplanes; and Model MD–88 identify the Rules Docket number and (information on the location and hours airplanes. This proposal would require be submitted in triplicate to the address of the reading room is provided under repetitive inspections and functional specified above. All communications the heading ADDRESSES at the beginning tests of the static port heater assemblies, received on or before the closing date of this proposed rule). You may also an inspection of the static port heaters for comments, specified above, will be request a copy of each document by and insulators, and corrective actions if considered before taking action on the calling or writing to the person listed necessary. This action is necessary to proposed rule. The proposals contained under FOR FURTHER INFORMATION prevent an electrical short of the static in this action may be changed in light CONTACT. Please refer to the title of the port heater from sparking and igniting of the comments received. analysis and the explanatory note when the insulation blanket adjacent to the Submit comments using the following requesting copies. You may also view static port heater, which could result in format: the analysis and the explanatory note 5 smoke and/or fire in the cabin area. This • Organize comments issue-by-issue. on the Internet by accessing the APHIS action is intended to address the For example, discuss a request to Web site at http://www.aphis.usda.gov. identified unsafe condition. change the compliance time and a At the APHIS website, click on the ‘‘Hot DATES: Comments must be received by request to change the service bulletin Issues’’ button. On the next screen, click April 22, 2004. reference as two separate issues. • on the listing for ‘‘Bovine Spongiform ADDRESSES: Submit comments in For each issue, state what specific Encephalopathy (BSE).’’ On the next triplicate to the Federal Aviation change to the proposed AD is being screen, click on the listing for ‘‘BSE requested. Administration (FAA), Transport • Canada.’’ On the next screen, click on Airplane Directorate, ANM–114, Include justification (e.g., reasons or the listing for either ‘‘Risk Analysis’’ or Attention: Rules Docket No. 2003–NM– data) for each request. ‘‘Explanatory Note: Risk Analysis.’’ 198–AD, 1601 Lind Avenue, SW., Comments are specifically invited on the overall regulatory, economic, Authority: 7 U.S.C. 450, 1622, and 8301– Renton, Washington 98055–4056. 8317; 21 U.S.C. 136 and 136a; 31 U.S.C. Comments may be inspected at this environmental, and energy aspects of 9701; 7 CFR 2.22, 2.80, and 371.4. location between 9 a.m. and 3 p.m., the proposed rule. All comments Monday through Friday, except Federal submitted will be available, both before Done in Washington, DC, this 4th day of and after the closing date for comments, March, 2004. holidays. Comments may be submitted in the Rules Docket for examination by Bobby R. Acord, via fax to (425) 227–1232. Comments may also be sent via the Internet using interested persons. A report Administrator, Animal and Plant Health summarizing each FAA-public contact Inspection Service. the following address: 9-anm- [email protected]. Comments sent concerned with the substance of this [FR Doc. 04–5265 Filed 3–5–04; 8:45 am] proposal will be filed in the Rules BILLING CODE 3410–34–P via fax or the Internet must contain ‘‘Docket No. 2003–NM–198–AD’’ in the Docket. Commenters wishing the FAA to subject line and need not be submitted acknowledge receipt of their comments in triplicate. Comments sent via the DEPARTMENT OF TRANSPORTATION submitted in response to this action Internet as attached electronic files must must submit a self-addressed, stamped be formatted in Microsoft Word 97 or Federal Aviation Administration postcard on which the following 2000 or ASCII text. statement is made: ‘‘Comments to The service information referenced in 14 CFR Part 39 Docket Number 2003–NM–198–AD.’’ the proposed rule may be obtained from The postcard will be date stamped and [Docket No. 2003–NM–198–AD] Boeing Commercial Airplanes, Long returned to the commenter. RIN 2120–AA64 Beach Division, 3855 Lakewood Boulevard, Long Beach, California Availability of NPRMs Airworthiness Directives; McDonnell 90846, Attention: Data and Service Any person may obtain a copy of this Douglas Model DC–9–10, –20, –30, –40, Management, Dept. C1–L5A (D800– NPRM by submitting a request to the and –50 Series Airplanes; Model DC– 0024). This information may be FAA, Transport Airplane Directorate, 9–81 (MD–81), –82 (MD–82), –83 (MD– examined at the FAA, Transport ANM–114, Attention: Rules Docket No. 83), and –87 (MD–87) Airplanes; and Airplane Directorate, 1601 Lind 2003–NM–198–AD, 1601 Lind Avenue, Model MD–88 Airplanes Avenue, SW., Renton, Washington; or at SW., Renton, Washington 98055–4056. the FAA, Los Angeles Aircraft AGENCY: Federal Aviation Discussion Administration, DOT. Certification Office, 3960 Paramount Boulevard, Lakewood, California. As part of its practice of re-examining 5 The analysis is titled ‘‘Risk Analysis: BSE Risk FOR FURTHER INFORMATION CONTACT: all aspects of the service experience of from Importation of Designated Ruminants and Elvin Wheeler, Aerospace Engineer, a particular aircraft whenever an Ruminant Products from Canada into the United Systems and Equipment Branch, ANM– accident occurs, the FAA has received States.’’ The explanatory note is titled ‘‘Explanatory Note-Risk Analysis: BSE Risk from Importation of 130L, FAA, Los Angeles Aircraft the results of studies, done by Boeing, Designated Ruminants and Ruminant Products from Certification Office, 3960 Paramount on the wiring of the static port heaters Canada into the United States.’’ Boulevard, Lakewood, California found on McDonnell Douglas Model

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DC–9–10, –20, –30, –40, and –50 series Explanation of Relevant Service stacked. An incorrectly stacked heater airplanes; Model DC–9–81 (MD–81), –82 Information will cause higher than normal operating (MD–82), –83 (MD–83), and –87 (MD– The FAA has reviewed and approved temperature locally in the blanket, 87) airplanes; and Model MD–88 Boeing Service Bulletin Boeing Service which would lead to quicker airplanes. The results revealed that the Bulletin DC9–30–097, Revision 01, deterioration and aging of the rubber, causing it to crack and lead to electrical wiring of the static port heater assembly dated January 24, 2003, which describes shorting or arcing. To detect and correct may be damaged. This condition, if not procedures for a general visual this condition on Model DC–9–10, –20, corrected, could result in an electrical inspection of the left and right primary –30, –40, and –50 series airplanes; short of the static port heater and and alternate static port heater Model DC–9–81 (MD–81), –82 (MD–82), consequent sparking and ignition of the assemblies for wire damage; a functional –83 (MD–83), and –87 (MD–87) insulation blanket adjacent to the static test of the left and right primary and airplanes; and Model MD–88 airplanes, port heater, which could result in smoke alternate static port heater assemblies; we added the inspection for proper and replacement of the static port heater and/or fire in the cabin area. installation, per the MD–80 AMM 30– assembly with a new or serviceable The static port heater on McDonnell 32–00, to the proposed AD. Douglas Model MD–90–30 airplanes are static port heater assembly. The additional actions have been Accomplishment of the actions identical to those on the affected Model coordinated and concurred with by the specified in the service bulletin is DC–9–10, –20, –30, –40, and –50 series manufacturer. intended to adequately address the airplanes; Model DC–9–81, –82, –83, identified unsafe condition. Cost Impact and –87 airplanes; and Model MD–88 airplanes. Therefore, all of these models Explanation of Requirements of There are approximately 1,836 are subject to the same unsafe condition. Proposed Rule airplanes of the affected design in the worldwide fleet. The FAA estimates that Other Related Rulemaking Since an unsafe condition has been 1,125 airplanes of U.S. registry would be identified that is likely to exist or affected by this proposed AD. The FAA is planning to address the develop on other products of this same It would take approximately 1 work identified unsafe condition of type design, the proposed AD would hour per airplane to accomplish the McDonnell Douglas Model MD–90–30 require accomplishment of the actions proposed general visual inspection for airplanes in a separate rulemaking specified in the service bulletin wire damage and functional test, at an action. described previously. average labor rate of $65 per work hour. The FAA, in conjunction with Boeing Differences Between Service Bulletin Based on these figures, the cost impact and operators of Model DC–9 series and Proposed AD of the proposed inspection for wire airplanes, has reviewed all aspects of damage and functional test on U.S. Operators should note that while the operators is estimated to be $73,125, or the service history of those airplanes to service bulletin specifies a one-time identify potential unsafe conditions and $65 per airplane, per inspection cycle. general visual inspection and functional It would also take approximately 1 to take appropriate corrective actions. test of the left and right primary and work hour per airplane to accomplish This proposed airworthiness directive alternate static port heater assemblies, the proposed general visual inspection (AD) is one of a series of corrective this proposed AD would also require for proper installation, at an average actions identified during that process. repeating the general visual inspection labor rate of $65 per work hour. Based We have previously issued several other and functional test of the left and right on these figures, the cost impact of the ADs and may consider further primary and alternate static port heater proposed inspection for proper rulemaking actions to address the assemblies every 48 months. In installation on U.S. operators is remaining identified unsafe conditions. developing an appropriate inspection/ estimated to be $73,125, or $65 per On May 16, 2001, the FAA issued AD test times for this AD, we considered the airplane. 2001–10–10, amendment 39–12236 (66 degree of urgency associated with the The cost impact figures discussed FR 28643, May 24, 2001), applicable to subject unsafe condition, the average above are based on assumptions that no certain McDonnell Douglas Model DC– utilization of the affected fleet, and the operator has yet accomplished any of 9–81, –82, –83, and –87 series airplanes, time necessary to perform the the proposed requirements of this AD inspection (1 hour). In light of all of and Model MD–88 airplanes to require action, and that no operator would these factors, we find that a repetitive an inspection of the wiring of the accomplish those actions in the future if interval of 48 months represents an primary and alternate static port heaters this proposed AD were not adopted. The appropriate interval of time for affected cost impact figures discussed in AD for chafing, loose connections, and airplanes to continue to operate without evidence of arcing, and to determine rulemaking actions represent only the compromising safety. time necessary to perform the specific what type of insulation blanket is In addition to the actions specified in installed in the area of the static port actions actually required by the AD. the service bulletin, this proposed AD These figures typically do not include heaters; and corrective actions, if would require a general visual incidental costs, such as the time necessary. That action was prompted by inspection of the left and right primary required to gain access and close up, an in-flight incident of smoke in the and alternate static port heater and planning time, or time necessitated by cabin on a McDonnell Douglas Model insulator for proper installation. The other administrative actions. MD–88 airplane. The requirements of MD–80 Airplane Maintenance Manual that AD are intended to ensure that (AMM) 34–11–00 previously contained Regulatory Impact insulation blankets constructed of incorrect information for stacking of the The regulations proposed herein metallized MylarTM are removed or heater and insulator. Boeing has since would not have a substantial direct protected from the area of the static port revised the AMM to correct the error effect on the States, on the relationship heater. This proposed AD does not and has informed operators of the error. between the national Government and affect the requirements of AD 2001–10– One operator investigated and found the States, or on the distribution of 10. several heaters that were incorrectly power and responsibilities among the

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various levels of government. Therefore, Instructions of Boeing Service Bulletin DC9– DEPARTMENT OF TRANSPORTATION it is determined that this proposal 30–097, Revision 01, dated January 24, 2003. would not have federalism implications Inspection and Functional Test Federal Aviation Administration under Executive Order 13132. (b) Within 18 months after the effective 14 CFR Part 39 For the reasons discussed above, I date of this AD, do the actions in paragraphs certify that this proposed regulation (1) (b)(1) and (b)(2) of this AD. Repeat the [Docket No. 2003–NM–194–AD] is not a ‘‘significant regulatory action’’ actions in paragraph (b)(1) of this AD under Executive Order 12866; (2) is not thereafter at intervals not to exceed 48 RIN 2120–AA64 a ‘‘significant rule’’ under the DOT months. Airworthiness Directives; McDonnell Regulatory Policies and Procedures (44 (1) Perform a general visual inspection of FR 11034, February 26, 1979); and (3) if the left and right primary and alternate static Douglas Model MD–90–30 Airplanes promulgated, will not have a significant port heater assemblies for wire damage; and AGENCY: Federal Aviation economic impact, positive or negative, a functional test of the left and right primary Administration, DOT. on a substantial number of small entities and alternate static port heater assemblies; in accordance with the service bulletin. ACTION: Notice of proposed rulemaking under the criteria of the Regulatory (NPRM). Flexibility Act. A copy of the draft Note 1: For the purposes of this AD, a regulatory evaluation prepared for this general visual inspection is defined as: ‘‘A SUMMARY: This document proposes the action is contained in the Rules Docket. visual examination of an interior or exterior adoption of a new airworthiness area, installation, or assembly to detect directive (AD) that is applicable to A copy of it may be obtained by obvious damage, failure, or irregularity. This contacting the Rules Docket at the level of inspection is made from within certain McDonnell Douglas Model MD– location provided under the caption touching distance unless otherwise specified. 90–30 airplanes. This proposal would ADDRESSES. A mirror may be necessary to enhance visual require repetitive inspections and functional tests of the static port heater List of Subjects in 14 CFR Part 39 access to all exposed surfaces in the inspection area. This level of inspection is assemblies, an inspection of the static Air transportation, Aircraft, Aviation made under normally available lighting port heaters and insulators, and safety, Safety. conditions such as daylight, hangar lighting, corrective actions if necessary. This flashlight, or droplight and may require The Proposed Amendment action is necessary to prevent an removal or opening of access panels or doors. electrical short of the static port heater Accordingly, pursuant to the Stands, ladders, or platforms may be required from sparking and igniting the authority delegated to me by the to gain proximity to the area being checked.’’ insulation blanket adjacent to the static Administrator, the Federal Aviation (2) Perform a general visual inspection of port heater, which could result in smoke Administration proposes to amend part the left and right primary and alternate static and/or fire in the cabin area. This action port heater and insulator for proper 39 of the Federal Aviation Regulations is intended to address the identified (14 CFR part 39) as follows: installation per Airplane Maintenance Manual (AMM) 30–32–00. Before further unsafe condition. PART 39—AIRWORTHINESS flight, correct any improper installation per DATES: Comments must be received by DIRECTIVES AMM 30–32–00. April 22, 2004. Wire Damage or Heater Failures ADDRESSES: Submit comments in 1. The authority citation for part 39 triplicate to the Federal Aviation continues to read as follows: (c) If wire damage is found and/or the Administration (FAA), Transport heater assembly fails the functional test, Authority: 49 U.S.C. 106(g), 40113, 44701. during the general visual inspection and Airplane Directorate, ANM–114, functional test required by paragraph (b)(1) of Attention: Rules Docket No. 2003–NM– § 39.13 [Amended] this AD: Before further flight, replace the 194–AD, 1601 Lind Avenue, SW., 2. Section 39.13 is amended by damaged or inoperative static port heater Renton, Washington 98055–4056. adding the following new airworthiness assembly with a new or serviceable static Comments may be inspected at this directive: port heater assembly. location between 9 a.m. and 3 p.m., McDonnell Douglas: Docket 2003–NM–198– Actions Accomplished per Previous Issue of Monday through Friday, except Federal AD. Service Bulletin holidays. Comments may be submitted via fax to (425) 227–1232. Comments Applicability: McDonnell Douglas Model (d) Inspections, functional tests, and may also be sent via the Internet using DC–9–11, DC–9–12, DC–9–13, DC–9–14, DC– corrective actions accomplished before the 9–15, DC–9–15F, DC–9–21, DC–9–31, DC–9– effective date of this AD per Boeing Service the following address: 9-anm- 32, DC–9–32 (VC–9C), DC–9–32F, DC–9–33F, Bulletin DC9–30–097, original issue, dated [email protected]. Comments sent DC–9–34, DC–9–34F, DC–9–32F (C–9A, C– February 15, 2002, are considered acceptable via fax or the Internet must contain 9B), DC–9–41, DC–9–51, DC–9–81 (MD–81), for compliance with the corresponding ‘‘Docket No. 2003–NM–194–AD’’ in the DC–9–82 (MD–82), DC–9–83 (MD–83), and actions specified in this AD. subject line and need not be submitted DC–9–87 (MD–87) airplanes, and Model MD– in triplicate. Comments sent via the 88 airplanes; as listed in Boeing Service Alternative Methods of Compliance Bulletin DC9–30–097, Revision 01, dated Internet as attached electronic files must (e) In accordance with 14 CFR 39.19, the be formatted in Microsoft Word 97 or January 24, 2003; certificated in any category. Manager, Los Angeles Aircraft Certification Compliance: Required as indicated, unless 2000 or ASCII text. Office, FAA, is authorized to approve The service information referenced in accomplished previously. alternative methods of compliance for this To prevent an electrical short of the static AD. the proposed rule may be obtained from port heater from sparking and igniting the Boeing Commercial Airplanes, Long insulation blanket adjacent to the static port Issued in Renton, Washington, on March 1, Beach Division, 3855 Lakewood heater, which could result in smoke and/or 2004. Boulevard, Long Beach, California fire in the cabin area, accomplish the Ali Bahrami, 90846, Attention: Data and Service following: Acting Manager, Transport Airplane Management, Dept. C1–L5A (D800– Service Bulletin References Directorate, Aircraft Certification Service. 0024). This information may be (a) The term ‘‘service bulletin,’’ as used in [FR Doc. 04–5072 Filed 3–5–04; 8:45 am] examined at the FAA, Transport this AD, means the Accomplishment BILLING CODE 4910–13–P Airplane Directorate, 1601 Lind

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Avenue, SW., Renton, Washington; or at 2003–NM–194–AD, 1601 Lind Avenue, cabin on a McDonnell Douglas Model the FAA, Los Angeles Aircraft SW., Renton, Washington 98055–4056. MD–88 airplane. The requirements of Certification Office, 3960 Paramount that AD are intended to ensure that Discussion Boulevard, Lakewood, California. insulation blankets constructed of TM FOR FURTHER INFORMATION CONTACT: As part of its practice of re-examining metallized Mylar are removed or Elvin Wheeler, Aerospace Engineer, all aspects of the service experience of protected from the area of the static port Systems and Equipment Branch, ANM– a particular aircraft whenever an heater. This proposed AD does not 130L, FAA, Los Angeles Aircraft accident occurs, the FAA has received affect the requirements of AD 2001–10– the results of studies, done by Boeing, Certification Office, 3960 Paramount 11. on the wiring of the static port heaters Boulevard, Lakewood, California found on McDonnell Douglas Model Explanation of Relevant Service 90712–4137; telephone (562) 627–5344; MD–90–30 airplanes, as well as on Information fax (562) 627–5210. Model DC–9–10, –20, –30, –40, and –50 The FAA has reviewed and approved SUPPLEMENTARY INFORMATION: series airplanes; Model DC–9–81, –82, Boeing Service Bulletin MD90–30–026, Comments Invited –83, and –87 airplanes; and Model MD– dated February 15, 2002, which 88 airplanes. The results revealed that describes procedures for a general visual Interested persons are invited to the wiring of the static port heater inspection of the left and right primary participate in the making of the assembly may be damaged. This and alternate static port heater proposed rule by submitting such condition, if not corrected, could result assemblies for wire damage; a functional written data, views, or arguments as in an electrical short of the static port test of the left and right primary and they may desire. Communications shall heater and consequent sparking and alternate static port heater assemblies; identify the Rules Docket number and ignition of the insulation blanket and replacement of the static port heater be submitted in triplicate to the address adjacent to the static port heater, which assembly with a new or serviceable specified above. All communications could result in smoke and/or fire in the static port heater assembly. received on or before the closing date cabin area. Accomplishment of the actions for comments, specified above, will be The static port heater on McDonnell specified in the service bulletin is considered before taking action on the Douglas Model DC–9–10, –20, –30, –40, intended to adequately address the proposed rule. The proposals contained and –50 series airplanes; Model DC–9– identified unsafe condition. in this action may be changed in light 81, –82, –83, and –87 airplanes; and of the comments received. Model MD–88 airplanes are identical to Explanation of Requirements of Submit comments using the following those on the affected Model MD–90–30 Proposed Rule format: airplanes. Therefore, all of these models Since an unsafe condition has been • Organize comments issue-by-issue. are subject to the same unsafe condition. identified that is likely to exist or For example, discuss a request to develop on other products of this same change the compliance time and a Other Related Rulemaking type design, the proposed AD would request to change the service bulletin The FAA is planning to address the require accomplishment of the actions reference as two separate issues. identified unsafe condition of specified in the service bulletin • For each issue, state what specific McDonnell Douglas Model DC–9–10, described previously, except as change to the proposed AD is being –20, –30, –40, and –50 series airplanes; described below. requested. Model DC–9–81, –82, –83, and –87 • Include justification (e.g., reasons or airplanes; and Model MD–88 airplanes Differences Between Service Bulletin data) for each request. in a separate rulemaking action. and Proposed AD Comments are specifically invited on The FAA, in conjunction with Boeing Operators should note that while the the overall regulatory, economic, and operators of Model MD–90–30 service bulletin specifies a one-time environmental, and energy aspects of airplanes, has reviewed all aspects of general visual inspection and functional the proposed rule. All comments the service history of those airplanes to test of the left and right primary and submitted will be available, both before identify potential unsafe conditions and alternate static port heater assemblies, and after the closing date for comments, to take appropriate corrective actions. this proposed AD would also require in the Rules Docket for examination by This proposed airworthiness directive repeating the general visual inspection interested persons. A report (AD) is one of a series of corrective and functional test of the left and right summarizing each FAA-public contact actions identified during that process. primary and alternate static port heater concerned with the substance of this We have previously issued several other assemblies every 48 months. In proposal will be filed in the Rules ADs and may consider further developing an appropriate inspection/ Docket. rulemaking actions to address the test times for this AD, we considered the Commenters wishing the FAA to remaining identified unsafe conditions. degree of urgency associated with the acknowledge receipt of their comments On May 16, 2001, the FAA issued AD subject unsafe condition, the average submitted in response to this action 2001–10–11, amendment 39–12237 (66 utilization of the affected fleet, and the must submit a self-addressed, stamped FR 28651, May 24, 2001), applicable to time necessary to perform the postcard on which the following certain McDonnell Douglas Model MD– inspection (1 hour). In light of all of statement is made: ‘‘Comments to 90–30 series airplanes, to require an these factors, we find that a repetitive Docket Number 2003–NM–194–AD.’’ inspection of the wiring of the primary interval of 48 months represents an The postcard will be date stamped and and alternate static port heaters for appropriate interval of time for affected returned to the commenter. chafing, loose connections, and airplanes to continue to operate without evidence of arcing, and to determine compromising safety. Availability of NPRMs what type of insulation blanket is In addition to the actions specified in Any person may obtain a copy of this installed in the area of the static port the service bulletin, this proposed AD NPRM by submitting a request to the heaters; and corrective actions, if would require a general visual FAA, Transport Airplane Directorate, necessary. That action was prompted by inspection of the left and right primary ANM–114, Attention: Rules Docket No. an in-flight incident of smoke in the and alternate static port heater and

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insulator for proper installation. The Regulatory Impact Service Bulletin References MD–80 Airplane Maintenance Manual The regulations proposed herein (a) The term ‘‘service bulletin,’’ as used in (AMM) 34–11–00 previously contained this AD, means the Accomplishment would not have a substantial direct incorrect information for stacking of the Instructions of Boeing Service Bulletin effect on the States, on the relationship heater and insulator. Boeing has since MD90–30–026, dated February 15, 2002. revised the AMM to correct the error between the national Government and and has informed operators of the error. the States, or on the distribution of Inspection and Functional Test One operator investigated and found power and responsibilities among the (b) Within 18 months after the effective several heaters that were incorrectly various levels of government. Therefore, date of this AD, do the actions in paragraphs stacked. An incorrectly stacked heater it is determined that this proposal (b)(1) and (b)(2) of this AD. Repeat the will cause higher than normal operating would not have federalism implications actions in paragraph (b)(1) of this AD temperature locally in the blanket, under Executive Order 13132. thereafter at intervals not to exceed 48 which would lead to quicker For the reasons discussed above, I months. deterioration and aging of the rubber, certify that this proposed regulation (1) (1) Perform a general visual inspection of causing it to crack and lead to electrical is not a ‘‘significant regulatory action’’ the left and right primary and alternate static shorting or arcing. To detect and correct under Executive Order 12866; (2) is not port heater assemblies for wire damage; and this condition on the Model MD–90–30 a ‘‘significant rule’’ under the DOT perform a functional test of the left and right airplanes, we added the inspection for Regulatory Policies and Procedures (44 primary and alternate static port heater proper installation, per the MD–90 FR 11034, February 26, 1979); and (3) if assemblies; in accordance with the service AMM 30–32–00, to the proposed AD. promulgated, will not have a significant bulletin. Note 1: For the purposes of this AD, a The additional actions have been economic impact, positive or negative, general visual inspection is defined as: ‘‘A coordinated and concurred with by the on a substantial number of small entities visual examination of an interior or exterior manufacturer. under the criteria of the Regulatory Flexibility Act. A copy of the draft area, installation, or assembly to detect Cost Impact regulatory evaluation prepared for this obvious damage, failure, or irregularity. This action is contained in the Rules Docket. level of inspection is made from within There are approximately 116 A copy of it may be obtained by touching distance unless otherwise specified. airplanes of the affected design in the contacting the Rules Docket at the A mirror may be necessary to enhance visual worldwide fleet. The FAA estimates that location provided under the caption access to all exposed surfaces in the 22 airplanes of U.S. registry would be ADDRESSES. inspection area. This level of inspection is affected by this proposed AD. made under normally available lighting List of Subjects in 14 CFR Part 39 It would take approximately 1 work conditions such as daylight, hangar lighting, hour per airplane to accomplish the Air transportation, Aircraft, Aviation flashlight, or droplight and may require removal or opening of access panels or doors. proposed general visual inspection for safety, Safety. wire damage and functional test, at an Stands, ladders, or platforms may be required average labor rate of $65 per work hour. The Proposed Amendment to gain proximity to the area being checked.’’ (2) Perform a general visual inspection of Based on these figures, the cost impact Accordingly, pursuant to the the left and right primary and alternate static of the proposed inspection for wire authority delegated to me by the port heater and insulator for proper damage and functional test on U.S. Administrator, the Federal Aviation installation per Airplane Maintenance operators is estimated to be $1,430, or Administration proposes to amend part $65 per airplane, per inspection cycle. Manual (AMM) 30–32–00. Before further 39 of the Federal Aviation Regulations flight, correct any improper installation per It would also take approximately 1 (14 CFR part 39) as follows: AMM 30–32–00. work hour per airplane to accomplish the proposed general visual inspection PART 39—AIRWORTHINESS Wire Damage or Heater Failures for proper installation, at an average DIRECTIVES (c) If wire damage is found and/or the labor rate of $65 per work hour. Based heater assembly fails the functional test, 1. The authority citation for part 39 on these figures, the cost impact of the during the general visual inspection and proposed inspection for proper continues to read as follows: functional test required by paragraph (b)(1) of installation on U.S. operators is Authority: 49 U.S.C. 106(g), 40113, 44701. this AD: Before further flight, replace the estimated to be $1,430, or $65 per damaged or inoperative static port heater § 39.13 [Amended] airplane. assembly with a new or serviceable static The cost impact figures discussed 2. Section 39.13 is amended by port heater assembly in accordance with the above are based on assumptions that no adding the following new airworthiness service bulletin. operator has yet accomplished any of directive: Alternative Methods of Compliance the proposed requirements of this AD McDonnell Douglas: Docket 2003–NM–194– (d) In accordance with 14 CFR 39.19, the action, and that no operator would AD. Manager, Los Angeles Aircraft Certification accomplish those actions in the future if Applicability: Model MD–90–30 airplanes, Office, FAA, is authorized to approve this proposed AD were not adopted. The as listed in Boeing Service Bulletin MD90– alternative methods of compliance for this cost impact figures discussed in AD 30–026, dated February 15, 2002; certificated AD. rulemaking actions represent only the in any category. time necessary to perform the specific Compliance: Required as indicated, unless Issued in Renton, Washington, on March 1, 2004. actions actually required by the AD. accomplished previously. To prevent an electrical short of the static Ali Bahrami, These figures typically do not include port heater from sparking and igniting the Acting Manager, Transport Airplane incidental costs, such as the time insulation blanket adjacent to the static port Directorate, Aircraft Certification Service. required to gain access and close up, heater, which could result in smoke and/or planning time, or time necessitated by fire in the cabin area, accomplish the [FR Doc. 04–5073 Filed 3–5–04; 8:45 am] other administrative actions. following: BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION formatted in Microsoft Word 97 for bellcrank, part number (P/N) 2622311– Windows or ASCII. 7, with a life limit of 40,000 landings Federal Aviation Administration You may get the service information (instead of 7,000 landings). The new identified in this proposed AD from flap bellcrank (P/N 2622311–7) may be 14 CFR Part 39 Cessna Aircraft Company, Product substituted for the older flap bellcranks, Support, P.O. Box 7706, Wichita, P/N 2622281–2, 2622281–12, or [Docket No. 2002–CE–23–AD] Kansas 67277; telephone: (316) 517– 2692001–2. Installation of this new flap 5800; facsimile: (316) 942–9006. bellcrank will eliminate the need for RIN 2120–AA64 You may view the AD docket at FAA, repetitive inspections. Central Region, Office of the Regional Airworthiness Directives; Cessna Counsel, Attention: Rules Docket No. Has FAA Taken Any Action to This Aircraft Company Models 208 and 2002–CE–23–AD, 901 Locust, Room Point? 208B Airplanes 506, Kansas City, Missouri 64106. Office We issued a proposal to amend part AGENCY: Federal Aviation hours are 8 a.m. to 4 p.m., Monday 39 of the Federal Aviation Regulations Administration (FAA), DOT. through Friday, except Federal holidays. (14 CFR part 39) to include an AD that ACTION: Supplemental notice of FOR FURTHER INFORMATION CONTACT: Paul would apply to all Cessna Models 208 proposed rulemaking (NPRM); Nguyen, Aerospace Engineer, FAA, and 208B airplanes. This proposal was reopening of the comment period. Wichita Aircraft Certification Office published in the Federal Register as a ACO, 1801 Airport Road, Room 100, notice of proposed rulemaking (NPRM) SUMMARY: The FAA proposes to revise Wichita, Kansas 67209; telephone: 316– on July 28, 2003 (68 FR 44252). The an earlier NPRM airworthiness directive 946–4125; facsimile: 816–946–4107. NPRM proposed to revise AD 2002–22– (AD) action that applies to certain SUPPLEMENTARY INFORMATION: 17 by proposing a new AD that would: Cessna Aircraft Company (Cessna) Comments Invited —Retain the requirements of AD 2002– Models 208 and 208B airplanes. That 22–17; and proposed AD would have revised AD How Do I Comment on This Proposed —Provide the option of installing the 2002–22–17, which currently requires AD? 40,000 landings life limit bellcranks. you to repetitively inspect the inboard We invite you to submit any written Was the Public Invited To Comment? forward flap bellcranks for cracks and relevant data, views, or arguments eventually replace these bellcranks on regarding this proposal. Send your The FAA encouraged interested all Cessna Models 208 and 208B comments to an address listed under persons to participate in developing this airplanes. The proposed AD would have ADDRESSES. Include ‘‘AD Docket No. amendment. We did not receive any provided the option of installing a 2002–CE–23–AD’’ in the subject line of comments on the proposed rule or on newly designed bellcrank to increase your comments. If you want us to our determination of the cost to the the life limits and terminate the acknowledge receipt of your mailed public. repetitive inspections. AD 2003–21–04 comments, send us a self-addressed, also requires inspections of the inboard What Events Have Caused FAA To Issue stamped postcard with the docket a Supplemental NPRM? forward flap bellcranks on these number written on it. We will date- airplanes. The FAA has determined that stamp your postcard and mail it back to The FAA recently issued AD 2003– additional inspections of the bellcranks you. 21–04, Amendment 39–13339 (68 FR are necessary on Cessna Models 208 and 59707, October 17, 2003) to require you 208B airplanes. We believe that it would Are There Any Specific Portions of This to immediately inspect certain inboard be less confusing if all of these actions Proposed AD I Should Pay Attention forward flap bellcranks for cracks, were in one AD. Therefore, FAA To? deformation, and missing/incomplete proposes to supersede AD 2002–22–17 We specifically invite comments on welds. If cracks, deformation, or and AD 2003–21–04. Since the added the overall regulatory, economic, missing/incomplete welds are found, actions from AD 2003–21–04 and other environmental, and energy aspects of the AD would require you to proposed inspections impose an this proposed AD. If you contact us immediately replace the flap bellcrank additional burden over that proposed in through a nonwritten communication or temporarily incorporate certain flap the NPRM, we are reopening the and that contact relates to a substantive limitations. comment period to allow the public the part of this proposed AD, we will In addition, FAA has identified other chance to comment on these additional summarize the contact and place the bellcranks within the flap system that actions. summary in the docket. We will require inspection. The FAA has DATES: We must receive any comments consider all comments received by the determined that all of the inspections on this proposed AD by May 17, 2004. closing date and may amend this and replacements of the bellcranks ADDRESSES: Use one of the following to proposed AD in light of those comments should be included in one AD. These submit comments on this proposed AD: and contacts. inspections are referenced in Cessna • Caravan Service Bulletin CAB03–11, By mail: FAA, Central Region, Discussion Office of the Regional Counsel, Revision 1, dated September 24, 2003. Attention: Rules Docket No. 2002–CE– What Events Have Caused This FAA’s Determination and Requirements 23–AD, 901 Locust, Room 506, Kansas Proposed AD? of This Proposed AD City, Missouri 64106. The need to reduce the life limit and What Has FAA Decided? • By fax: (816) 329–3771. repetitively inspect the inboard forward • By e-mail: [email protected]. flap bellcrank on Cessna Models 208 After examining the circumstances Comments sent electronically must and 208A airplanes caused us to issue and reviewing all available information contain ‘‘Docket No. 2002–CE–23–AD’’ AD 2002–22–17, Amendment 29–12944 related to the incidents described above, in the subject line. If you send (67 FR 68508, November 12, 2002). we have determined that: comments electronically as attached Since FAA issued AD 2002–22–17, —The unsafe condition referenced in electronic files, the files must be Cessna has designed a new flap this document exists or could develop

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on other Cessna Models 208 and 208B What Are the Provisions of the material that relates to altered products, airplanes of the same type design that Supplemental NPRM? special flight permits, and alternative are on the U.S. registry; The proposed AD would supersede methods of compliance. This material —We should combine the actions of AD AD 2002–22–17 and AD 2003–21–04 by previously was included in each 2002–22–17, AD 2003–21–04, and requiring you to: individual AD. Since this material is those referenced in Cessna Caravan —Do all current requirements of AD included in 14 CFR part 39, we will not Service Bulletin CAB03–11, Revision 2002–22–17; include it in future AD actions. 1, dated September 24, 2003; and —Provide the option of installing the —We should take AD action to correct Costs of Compliance 40,000 landings life limit bellcranks; this unsafe condition. —Inspect all bellcranks for cracks, How Many Airplanes Would This The Supplemental NPRM deformation, and missing/incomplete Proposed AD Impact? welds; and How Will the Changes to the NPRM —If cracks, deformation, or missing/ We estimate that this proposed AD Impact the Public? incomplete welds are found, the AD affects 1,300 airplanes in the U.S. Adding the inspection and would require you to immediately registry. replacement requirements from both AD replace the bellcrank or temporarily What Would Be the Cost Impact of This 2003–21–04 and Cessna Caravan Service incorporate certain flap limitations. Proposed AD on Owners/Operators of Bulletin CAB03–11, Revision 1, dated the Affected Airplanes? September 24, 2003, goes beyond the How Does the Revision to 14 CFR Part scope of what was originally proposed 39 Affect This Proposed AD? For the proposed actions retained in the NPRM. Therefore, we are On July 10, 2002, we published a new from AD 2003–21–04, and the addition reopening the comment period and version of 14 CFR part 39 (67 FR 47997, of all bellcranks to the applicability, we allowing the public the chance to July 22, 2002), which governs FAA’s AD estimate the following costs to do this comment on these additional actions. system. This regulation now includes proposed inspection:

Total cost Total cost on Labor cost Parts cost per airplane U.S. operators

2 workhours x $65 per hour = $130 ...... No cost for parts...... $130 $130 x 1,300 for = $169,000.

We estimate the following costs to do 2622311–7, alternate P/N 2622311–16) have no way of determining the number any necessary replacements of the right that would be required based on the of airplanes that may need this inboard forward flap bellcrank (P/N results of this proposed inspection. We replacement:

Total cost Labor cost Parts cost per airplane

3 workhours x $65 per hour = $195 ...... $1,845 $195 + $1,845 = $2,040.

We estimate the following costs to do 2622281–1) that would be required determining the number of airplanes any necessary replacements of the left based on the results of this proposed that may need this replacement: inboard forward flap bellcrank (P/N inspection. We have no way of

Total cost Labor cost Parts cost per airplane

1 workhour x $65 per hour = $65 ...... $1,201 $65 + $1,201 = $1,266.

We estimate the following costs to do 2622267–8) that would be required determining the number of airplanes any necessary replacements of the right based on the results of this proposed that may need this replacement: inboard aft flap bellcrank (P/N inspection. We have no way of

Total cost Labor cost Parts cost per airplane

1 workhour x $65 per hour = $65...... $1,273 $65 + $1,273 = $1,338.

We estimate the following costs to do inboard aft flap bellcrank (P/N based on the results of this proposed any necessary replacements of the left 2622267–7) that would be required inspection. We have no way of determining the number of airplanes that may need this replacement:

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Total cost Labor cost Parts cost per airplane

1 workhour x $65 per hour = $65...... $2,098 $65 + $2,098 = $2,163.

We estimate the following costs to do 17) that would be required based on the of airplanes that may need this any necessary replacements of the left results of this proposed inspection. We replacement: outboard flap bellcrank (P/N 2622091– have no way of determining the number

Total cost Labor cost Parts cost per airplane

1 workhour x $65 per hour = $65...... $627 $65 + $627 = $692.

We estimate the following costs to do 18) that would be required based on the of airplanes that may need this any necessary replacements of the right results of this proposed inspection. We replacement: outboard flap bellcrank (P/N 2622091– have no way of determining the number

Total cost Labor cost Parts cost per airplane

1 workhour x $65 per hour = $65...... $661 $65 + $661 = $726.

For the proposed requirements from these bellcranks, and provides the estimate the following costs to do the AD 2002–22–17 that you repetitively option of installing the new design flap proposed inspection: inspect the inboard forward flap bellcrank to increase the life limits and bellcranks for cracks, eventually replace terminate the repetitive inspections, we

Total cost Total cost on Labor cost Parts cost per airplane U.S. operators

1 workhour x $65 per hour = $65...... No cost for parts...... $65 $65 x 1,300 = $84,500.

We estimate the following costs to do 2622281–12, 2692001–2, or FAA- required based on the proposed any proposed replacements using the approved equivalent P/N) that will be inspection or the reduced life limits: same flap bellcrank (P/N 2622281–2,

Total cost Total cost on Labor cost Parts cost per airplane U.S. operators

3 workhours x $65 per hour = $195...... $1,793 ...... $195 + $1,793 = $1,988 $1,988 x 1,300 = $2,584,400.

We estimate the following costs to do be required based on the proposed proposed replacement with the new flap any proposed replacements using the inspection or the reduced life limits. We bellcrank: new flap bellcrank (P/N 2622311–7 or have no way of determining the number FAA-approved equivalent P/N) that will of airplanes that may need this

Total cost Labor cost Parts cost per airplane

3 workhours x $65 per hour = $195...... $1,845 $195 + $1,845 = $2,040.

What Is the Difference Between the Cost public of this proposed AD and AD impact upon the public of this AD and Impact of This Proposed AD and the 2003–21–04 is the additional cost for AD 2002–22–17 is the additional $52 Cost Impacts of AD 2003–21–04 and AD the inspection of all other bellcranks, cost difference for the new flap 2002–22–17? and, if necessary, replacement. bellcrank. AD 2003–21–04 already established AD 2002–22–17 already established Regulatory Findings the life limit for the flap bellcrank (P/ the inspection and replacement of the Would This Proposed AD Impact N 2622281–2, 2622281–12, 2692001–2, right inboard forward flap bellcrank Various Entities? assembly on the affected airplanes. or FAA-approved equivalent P/N) on Therefore, the replacement is already the affected airplanes. Therefore, the We have determined that this required through that AD. The only replacement is already required through proposed AD would not have federalism difference in the cost impact on the that AD. The only difference in the cost implications under Executive Order

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13132. This proposed AD would not the Federal Aviation Administration Model Serial Numbers have a substantial direct effect on the proposes to amend 14 CFR part 39 as States, on the relationship between the follows: 208 ...... 20800001 through 20800369. national government and the States, or 208B ..... 208B0001 through 208B1014, on the distribution of power and PART 39—AIRWORTHINESS 208B1017, 208B1018, responsibilities among the various DIRECTIVES 208B1020 through 208B1024, levels of government. 208B1026, and 208B1029 1. The authority citation for part 39 through 208B1033. Would This Proposed AD Involve a continues to read as follows: Significant Rule or Regulatory Action? Authority: 49 U.S.C. 106(g), 40113, 44701. (2) Group 2 (retains the requirement of AD For the reasons discussed above, I 2002–22–17 that you repetitively inspect the § 39.13 [Amended] certify that this proposed AD: inboard forward flap bellcranks for cracks, 1. Is not a ‘‘significant regulatory 2. The FAA amends § 39.13 by eventually replace these bellcranks, and action’’ under Executive Order 12866; removing both Airworthiness Directive provides the option of installing the new 2. Is not a ‘‘significant rule’’ under the (AD) 2002–22–17, Amendment 39– design flap bellcrank to increase the life DOT Regulatory Policies and Procedures 12944, and AD 2003–21–04, limits and terminate the repetitive (44 FR 11034, February 26, 1979); and Amendment 39–13339; and by adding inspections): Models 208 and 208B airplanes, 3. Will not have a significant the following new AD: all serial numbers. economic impact, positive or negative, Cessna Aircraft Company: Docket No. 2002– CE–23–AD What Is the Unsafe Condition Presented in on a substantial number of small entities This AD? under the criteria of the Regulatory When Is the Last Date I Can Submit Flexibility Act. Comments on This Proposed AD? (d) The actions specified in this AD are intended to prevent failure of any bellcrank We prepared a summary of the costs (a) We must receive comments on this due to cracks, deformation, or missing/ to comply with this proposed AD and proposed airworthiness directive (AD) by incomplete welds. This failure could lead to placed it in the AD Docket. You may get May 17, 2004. a copy of this summary by sending a damage to the flap system and surrounding What Other ADs Are Affected By This structure and result in reduced or loss of request to us at the address listed under Action? ADDRESSES. Include ‘‘AD Docket No. control of the airplane. 2002–CE–23–AD’’ in your request. (b) This AD supersedes AD 2002–22–17 and AD 2003–21–04. What Must I Do To Address This Problem for Group 1 Airplanes? List of Subjects in 14 CFR Part 39 What Airplanes Are Affected by This AD? (e) To address this problem for Group 1 Air transportation, Aircraft, Aviation (c) This AD affects the following airplane airplanes, you must do the following: safety, Safety. models and serial numbers that are The Proposed Amendment certificated in any category: (1) Group 1 (retains the actions from AD Accordingly, under the authority 2003–21–04, and adds all flap bellcranks to delegated to me by the Administrator, the applicability):

Actions Compliance Procedures

(1) Inspect the right inboard forward flap Within the next 25 landings after October 21, Use a flashlight and a mirror as necessary to bellcrank assembly for cracks, deformation, 2003 (the effective date of AD 2003–21– see if welds (1), (4), (5), and (6) exist and and missing/incomplete welds. The affected 04). If landings are unknown, then you may are at least 0.06-inch thick around the full flap bellcrank incorporates one of the fol- multiply hours time-in-service (TIS) by 1.25. circumference of the shaft. These welds lowing part numbers (P/N): For the purposes of this AD, you may sub- and the inspection procedures are ref- (i) P/N 2622083–18; stitute 20 hours TIS for 25 landings. erenced in Figure 1, details A, B, and C; (ii) P/N 2622281–2; and Views A–A and B–B of Cessna Cara- (iii) P/N 2692001–2; or van Service Bulletin CAB03–11, Revision 1, (iv) P/N 2622281–12. dated September 24, 2003.

(2) Inspect the left inboard forward bellcrank for Within the next 25 landings after the effective Use a flashlight and a mirror as necessary to cracks, deformation, and missing/incomplete date of this AD. If landings are unknown, see if welds (1) through (4) exist and are at welds. The affected flap bellcrank incor- then you may multiply hours TIS by 1.25. least 0.06-inch thick around the full circum- porates one of the following part P/Ns: For the purposes of this AD, you may sub- ference of the shaft. These welds and the (i) P/N 2622083–15; or stitute 20 hours TIS for 25 landings. inspection procedures are referenced in (ii) P/N 2622281–1. Figure 2, details A, B, and C; and Views A– A and B–B of Cessna Caravan Service Bul- letin CAB03–11, Revision 1, dated Sep- tember 24, 2003.

(3) Inspect the inboard aft bellcrank for cracks, Within the next 25 landings after the effective Use a flashlight and a mirror as necessary to deformation, and missing/incomplete welds. date of this AD. If landings are unknown, see if welds (1), (2), (4), and (5) exist and The affected flap bellcrank incorporates one then you may multiply hours TIS by 1.25. are at least 0.05-inch thick around the full of the following P/Ns: For the purposes of this AD, you may sub- circumference of the shaft. These welds (i) P/N 2622267–1; or stitute 20 hours TIS for 25 landings. and the inspection procedures are ref- (ii) P/N 2622267–2; erenced in Figure 3, details A, B, and C; (iii) P/N 2622267–7; and Views A–A and B–B of Cessna Cara- (iv) P/N 2622267–8; van Service Bulletin CAB03–11, Revision 1, (v) P/N 2622083–1; or dated September 24, 2003. (vi) P/N 2622083–2.

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Actions Compliance Procedures

(4) Inspect the outboard bellcrank for cracks, Within the next 25 landings after the effective Use a flashlight and a mirror as necessary to deformation, and missing/incomplete welds. date of this AD. If landings are unknown, see if welds (1) through (4) exist and are at The affected flap bellcrank incorporates one then you may multiply hours TIS by 1.25. least 0.05-inch thick around the full circum- of the following P/Ns: For the purposes of this AD, you may sub- ference of the shaft. These welds and the (i) P/N 2622091–1; or stitute 20 hours TIS for 25 landings. inspection procedures are referenced in (ii) P/N 2622091–2; Figure 4, details A, B, and C; and Views A– (iii) P/N 2622091–9; A and B–B of Cessna Caravan Service Bul- (iv) P/N 2622091–10; letin CAB03–11, Revision 1, dated Sep- (v) P/N 2622091–17; or tember 24, 2003. (iv) P/N 2622091–18.

(5) If you find cracks, deformation, or missing/ Replace or do the flap prohibition actions be- Replacement: Use the Accomplishment In- incomplete welds during the inspection re- fore further flight after the inspection re- structions of Cessna Caravan Service Bul- quired by paragraphs (e)(1) through (e)(4) of quired in paragraphs (e)(1) through (e)(4) of letin No.: CAB02–12, Revision 1, dated this AD, then do one of the following: this AD. If you choose the flap prohibition, January 27, 2003, and the Accomplishment (i) Replace the bellcrank with a new bellcrank; you must have the replacement done within Instructions of Cessna Caravan Service Kit or 200 hours TIS after the inspection required No.: SK208–148A, dated January 27, 2003, (ii) Prohibit the use of flaps through the actions by paragraphs (e)(1) through (e)(4) of this or refer to the Maintenance Manual, Chap- of paragraph (g) of this AD. AD. After the new flap bellcrank is installed, ter 27, Flap System—Maintenance Prac- the Temporary Revision 208PHTR02, dated tices, for bellcrank removal and installation September 23, 2003, should be removed. procedures Flap Prohibition: Use the information in the Temporary Revision 208PHTR02, dated September 23, 2003. The action is ref- erenced in Cessna Caravan Service Bul- letin CAB03–11, Revision 1, dated Sep- tember 24, 2003.

What Must I Do To Address This Problem for Group 2 Airplanes? (f) To address this problem for Group 2 airplanes, you must do the following:

Actions Compliance Procedures

(1) Repetitive Inspections: Inspect, using eddy Initially inspect upon the accumulation of Follow the Inspection Instructions of Cessna current methods, any inboard forward flap 4,000 landings on the bellcrank or within Caravan Service Bulletin No.: CAB02–1, bellcrank P/N 2622281–2, 2622281–12, the next 250 landings after December 31, dated February 11, 2002, and the applica- 2692001–2, or FAA-approved equivalent P/N) 2002 (the effective date of AD 2002–22– ble maintenance manual. for cracks. 17), whichever occurs later. Repetitively in- spect thereafter at every 500 landings until 7,000 landings are accumulated at which time you must replace as required in para- graphs (f)(2) and (f)(3) of this AD. No repet- itive inspections are required when a P/N 2622311–7 (or FAA-approved equivalent P/ N) inboard forward flap bellcrank is installed.

(2) Initial Replacement: Replace any inboard If cracks are found, replace or do the flap pro- Replacement: For flap bellcrank (P/N forward flap bellcrank (P/N 2622281–2, hibition actions before further flight after the 2622281–2, 2622281–12, 2692001–2, or 2622281–12, 2692001–2, or FAA-approved inspection required in paragraphs (f)(1) of FAA-approved equivalent P/N): Follow the equivalent P/N) with either: this AD. If you choose the flap prohibition, Instructions of Cessna Caravan Service (i) the same flap bellcrank (P/N 2622281–2, you must have the replacement done within Bulletin No.: CAB02–1, dated February 11, 2622281–12, 2692001–2, or FAA-approved 200 hours TIS after the inspection required 2002, and the applicable maintenance man- equivalent P/N); or by paragraphs (f)(1) of this AD. After the ual. For new flap bellcrank (P/N 2622311–7 (ii) a new flap bellcrank (P/N 2622311–7 or new flap bellcrank is installed, the Tem- or FAA-approved equivalent P/N): Follow FAA-approved equivalent P/N). porary Revision 208PHTR02, dated Sep- the Accomplishment Instructions of Cessna tember 23, 2003, should be removed. If Caravan Service Bulletin No.: CAB02–12, cracks are not found, initially replace at Revision 1, dated January 27, 2003, and whichever occurs later: Upon the accumula- the Accomplishment Instructions of Cessna tion of 7,000 landings on the bellcrank or Caravan Service Kit No. SK203–148A, within the next 75 landings after December dated January 27, 2003. 31, 2002 (the effective date of AD 2002– Flap Prohibition: Use the information in the 22–17). Temporary Revision 208PHTR02, dated September 23, 2003.

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Actions Compliance Procedures

(3) Life Limits (Repetitive Replacements): Replace at the applicable referenced life limits Use the service information referenced in (i) The life limit for the inboard forward flap paragraph (f)(2) of this AD. bellcranks (P/N 2622281–2, 2622281–12, 2692001–2, or FAA-approved equivalent P/N) is 7,000 landings. Repetitive inspections every 500 landings begin at 4,000 landings (see paragraph (f)(1) of this AD). (ii) The life limit for the inboard forward flap bellcranks (P/N 26222311–7 or FAA-ap- proved equivalent P/N) is 40,000 landings. No repetitive inspections are required on these bellcranks.

Note 1: Inboard forward flap bellcranks (P/ May I Get Copies of the Documents and environmental risks associated with N 2622281–2, 2622281–12, or 2692001–2) Referenced in This AD? the site and to determine what CERCLA- with 7,000 landings or more do not have to (j) You may get copies of the documents financed remedial action(s), if any, may be replaced until 75 landings after December referenced in this AD from Cessna Aircraft be appropriate. This proposed rule 31, 2002 (the effective date of AD 2002–22– Company, Product Support, P.O. Box 7706, proposes to add 11 new sites to the NPL; 17), unless found cracked. Wichita, Kansas 67277; telephone: (316) 517– all to the General Superfund Section of Note 2: The compliance times of this AD 5800; facsimile: (316) 942–9006. You may the NPL. view these documents at FAA, Central are presented in landings instead of hours DATES: Comments regarding any of these TIS. If the number of landings is unknown, Region, Office of the Regional Counsel, 901 Locust, Room 506, Kansas City, Missouri proposed listings must be submitted hours TIS may be used by multiplying the 64106. (postmarked) on or before May 7, 2004. number of hours TIS by 1.25. Issued in Kansas City, Missouri, on March ADDRESSES: By electronic access: Go What Are the Actions I Must Do if I Choose 2, 2004. directly to EPA Dockets at http:// the Flap Prohibition Option? Sandra J. Campbell, www.epa.gov/edocket and follow the (g) Insert Temporary Revision, 208PHTR02, Acting Manager, Small Airplane Directorate, online instructions for submitting dated September 23, 2003, into the Aircraft Certification Service. comments. Once in the system, select applicable pilot’s operating handbook and [FR Doc. 04–5130 Filed 3–5–04; 8:45 am] ‘‘search’’, and then key Docket ID No. FAA-approved airplane flight manual. The BILLING CODE 4910–13–P SFUND–2004–0004. The system is an owner/operator holding at least a private ‘‘anonymous access’’ system, which pilot certificate as authorized by § 43.7 of the means EPA will not know your identity, Federal Aviation Regulations (14 CFR 43.7) e-mail address, or other contact may incorporate this information into the ENVIRONMENTAL PROTECTION AGENCY information unless you provide it in the AFM. Make an entry into the aircraft records body of your comment. showing compliance with this portion of the By Postal Mail: Mail original and AD in accordance with section 43.9 of the 40 CFR Part 300 three copies of comments (no facsimiles Federal Aviation Regulations (14 CFR 43.9). [FRL–7632–9] (1) This procedure applies to Cessna or tapes) to Docket Coordinator, Headquarters; U.S. Environmental Models 208 and 208B landplanes. For other National Priorities List for Uncontrolled Protection Agency; CERCLA Docket FAA-approved aircraft configurations (for Hazardous Waste Sites, Proposed Rule Office; (Mail Code 5305T); 1200 example, amphibian, floatplanes, and so No. 40 forth), you must operate with flaps up per the Pennsylvania Avenue, NW.; appropriate airplane flight manual AGENCY: Environmental Protection Washington, DC 20460, Attention supplement. Agency. Docket ID No. SFUND–2004–0004. (2) This procedure allows for applicable ACTION: Proposed rule. By Express Mail or Courier: Send deviation from the Master Minimum original and three copies of comments Equipment List (MMEL) for these airplanes SUMMARY: The Comprehensive (no facsimiles or tapes) to Docket until the flap bell crank is replaced. The Environmental Response, Coordinator, Headquarters; U.S. applicable MMEL requirements go back into Compensation, and Liability Act Environmental Protection Agency; effect at the time of flap bell crank (‘‘CERCLA’’ or ‘‘the Act’’), requires that CERCLA Docket Office; 1301 replacement. the National Oil and Hazardous Constitution Avenue; EPA West, Room May I Request an Alternative Method of Substances Pollution Contingency Plan B102, Washington, DC 20004, Attention Compliance? (‘‘NCP’’) include a list of national Docket ID No. SFUND–2004–0004. Such (h) You may request a different method of priorities among the known releases or deliveries are only accepted during the compliance or a different compliance time threatened releases of hazardous Docket’s normal hours of operation for this AD by following the procedures in 14 substances, pollutants, or contaminants (8:30 a.m. to 4:30 p.m., Monday through CFR 39.13. Send your request to the Manager, throughout the United States. The Friday excluding Federal holidays). Wichita Aircraft Certification Office (ACO), National Priorities List (‘‘NPL’’) By E-Mail: Comments in ASCII format FAA. For information on any already constitutes this list. The NPL is only may be mailed directly to approved alternative methods of compliance, intended primarily to guide the [email protected]. Cite the contact Paul Nguyen, Aerospace Engineer, FAA, Wichita ACO, 1801 Airport Road, Environmental Protection Agency Docket ID No. SFUND–2004–0004 in Room 100, Wichita, Kansas 67209; telephone: (‘‘EPA’’ or ‘‘the Agency’’) in determining your electronic file. Please note that 316–946–4125; facsimile: 816–946–4107. which sites warrant further EPA’s e-mail system automatically (i) Alternative methods of compliance investigation. These further captures your e-mail address and is approved under AD 2002–22–17 and AD investigations will allow EPA to assess included as part of the comment that is 2003–21–04 are not approved for this AD. the nature and extent of public health placed in the public dockets, and made

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available in EPA’s electronic public B. Does the National Technology Transfer of taking removal action.’’ ‘‘Removal’’ docket. and Advancement Act Apply to This actions are defined broadly and include For additional Docket addresses and Proposed Rule? a wide range of actions taken to study, further details on their contents, see VIII. Executive Order 12898 clean up, prevent or otherwise address section II, ‘‘Public Review/Public A. What is Executive Order 12898? releases and threatened releases (42 B. Does Executive Order 12898 Apply to Comment,’’ of the SUPPLEMENTARY This Proposed Rule? U.S.C. 9601(23)). INFORMATION portion of this preamble. IX. Executive Order 13045 C. What Is the National Priorities List FOR FURTHER INFORMATION CONTACT: A. What is Executive Order 13045? (NPL)? Yolanda Singer, phone (703) 603–8835, B. Does Executive Order 13045 Apply to State, Tribal and Site Identification This Proposed Rule? The NPL is a list of national priorities Center, Office of Superfund X. Paperwork Reduction Act among the known or threatened releases Remediation and Technology A. What is the Paperwork Reduction Act? of hazardous substances, pollutants, or Innovation (Mail Code 5204G); U.S. B. Does the Paperwork Reduction Act contaminants throughout the United Apply to This Proposed Rule? Environmental Protection Agency, 1200 States. The list, which is appendix B of XI. Executive Orders on Federalism the NCP (40 CFR part 300), was required Pennsylvania Avenue, NW., What Are The Executive Orders on Washington, DC 20460; or the under section 105(a)(8)(B) of CERCLA, Federalism and Are They Applicable to as amended by SARA. Section Superfund Hotline, Phone (800) 424– This Proposed Rule? 9346 or (703) 412–9810 in the XII. Executive Order 13084 105(a)(8)(B) defines the NPL as a list of Washington, DC, metropolitan area. What is Executive Order 13084 and Is It ‘‘releases’’ and the highest priority ‘‘facilities’’ and requires that the NPL be SUPPLEMENTARY INFORMATION: Applicable to This Proposed Rule? XIII. Executive Order 13175 revised at least annually. The NPL is Table of Contents A. What is Executive Order 13175? intended primarily to guide EPA in B. Does Executive Order 13175 Apply to I. Background determining which sites warrant further This Proposed Rule? investigation to assess the nature and A. What are CERCLA and SARA? XIV. Executive Order 13211 B. What is the NCP? extent of public health and A. What is Executive Order 13211? C. What is the National Priorities List environmental risks associated with a B. Is This Rule Subject to Executive Order (NPL)? release of hazardous substances. The 13211? D. How are Sites Listed on the NPL? NPL is only of limited significance, E. What Happens to Sites on the NPL? I. Background however, as it does not assign liability F. How Are Site Boundaries Defined? to any party or to the owner of any A. What Are CERCLA and SARA? G. How Are Sites Removed From the NPL? specific property. Neither does placing H. Can Portions of Sites Be Deleted From In 1980, Congress enacted the the NPL as They Are Cleaned Up? a site on the NPL mean that any I. What is the Construction Completion List Comprehensive Environmental remedial or removal action necessarily (CCL)? Response, Compensation, and Liability need be taken. See Report of the Senate II. Public Review/Public Comment Act, 42 U.S.C. 9601–9675 (‘‘CERCLA’’ or Committee on Environment and Public A. Can I Review the Documents Relevant ‘‘the Act’’), in response to the dangers of Works, Senate Rep. No. 96–848, 96th to This Proposed Rule? uncontrolled releases of hazardous Cong., 2d Sess. 60 (1980), 48 FR 40659 B. How Do I Access the Documents? substances. CERCLA was amended on (September 8, 1983). C. What Documents Are Available for October 17, 1986, by the Superfund For purposes of listing, the NPL Public Review at the Headquarters Docket? Amendments and Reauthorization Act includes two sections, one of sites that D. What Documents Are Available for (‘‘SARA’’), Public Law 99–499, 100 Stat. are generally evaluated and cleaned up Public Review at the Regional Dockets? 1613 et seq. by EPA (the ‘‘General Superfund E. How Do I Submit My Comments? Section’’), and one of sites that are B. What Is the NCP? F. What Happens to My Comments? owned or operated by other Federal G. What Should I Consider When To implement CERCLA, EPA agencies (the ‘‘Federal Facilities Preparing My Comments? promulgated the revised National Oil Section’’). With respect to sites in the H. Can I Submit Comments After the and Hazardous Substances Pollution Federal Facilities section, these sites are Public Comment Period Is Over? Contingency Plan (‘‘NCP’’), 40 CFR part I. Can I View Public Comments Submitted generally being addressed by other by Others? 300, on July 16, 1982 (47 FR 31180), Federal agencies. Under Executive J. Can I Submit Comments Regarding Sites pursuant to CERCLA section 105 and Order 12580 (52 FR 2923, January 29, Not Currently Proposed to the NPL? Executive Order 12316 (46 FR 42237, 1987) and CERCLA section 120, each III. Contents of This Proposed Rule August 20, 1981). The NCP sets Federal agency is responsible for A. Proposed Additions to the NPL guidelines and procedures for carrying out most response actions at B. Status of NPL responding to releases and threatened facilities under its own jurisdiction, IV. Executive Order 12866 releases of hazardous substances, custody, or control, although EPA is A. What is Executive Order 12866? pollutants, or contaminants under B. Is This Proposed Rule Subject to responsible for preparing an HRS score Executive Order 12866 Review? CERCLA. EPA has revised the NCP on and determining whether the facility is V. Unfunded Mandates several occasions. The most recent placed on the NPL. EPA generally is not A. What is the Unfunded Mandates Reform comprehensive revision was on March the lead agency at Federal Facilities Act (UMRA)? 8, 1990 (55 FR 8666). Section sites, and its role at such sites B. Does UMRA Apply to This Proposed As required under section is accordingly less extensive than at Rule? 105(a)(8)(A) of CERCLA, the NCP also other sites. VI. Effect on Small Businesses includes ‘‘criteria for determining A. What is the Regulatory Flexibility Act? priorities among releases or threatened D. How Are Sites Listed on the NPL? B. How Has EPA Complied with the releases throughout the United States There are three mechanisms for Regulatory Flexibility Act (RFA)? VII. National Technology Transfer and for the purpose of taking remedial placing sites on the NPL for possible Advancement Act action and, to the extent practicable, remedial action (see 40 CFR 300.425(c) A. What is the National Technology taking into account the potential of the NCP): (1) A site may be included Transfer and Advancement Act? urgency of such action for the purpose on the NPL if it scores sufficiently high

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on the Hazard Ranking System (‘‘HRS’’), releases, including enforcement action EPA regulations provide that the which EPA promulgated as appendix A under CERCLA and other laws. ‘‘nature and extent of the problem of the NCP (40 CFR part 300). The HRS presented by the release’’ will be F. How Are Site Boundaries Defined? serves as a screening device to evaluate determined by a Remedial Investigation/ the relative potential of uncontrolled The NPL does not describe releases in Feasibility Study (‘‘RI/FS’’) as more hazardous substances to pose a threat to precise geographical terms; it would be information is developed on site human health or the environment. On neither feasible nor consistent with the contamination (40 CFR 300.5). During December 14, 1990 (55 FR 51532), EPA limited purpose of the NPL (to identify the RI/FS process, the release may be promulgated revisions to the HRS partly releases that are priorities for further found to be larger or smaller than was in response to CERCLA section 105(c), evaluation), for it to do so. originally thought, as more is learned added by SARA. The revised HRS Although a CERCLA ‘‘facility’’ is about the source(s) and the migration of evaluates four pathways: Ground water, broadly defined to include any area the contamination. However, this surface water, soil exposure, and air. As where a hazardous substance release has inquiry focuses on an evaluation of the a matter of Agency policy, those sites ‘‘come to be located’’ (CERCLA section threat posed; the boundaries of the that score 28.50 or greater on the HRS 101(9)), the listing process itself is not release need not be exactly defined. are eligible for the NPL; (2) Each State intended to define or reflect the Moreover, it generally is impossible to may designate a single site as its top boundaries of such facilities or releases. discover the full extent of where the priority to be listed on the NPL, Of course, HRS data (if the HRS is used contamination ‘‘has come to be located’’ regardless of the HRS score. This to list a site) upon which the NPL before all necessary studies and mechanism, provided by the NCP at 40 placement was based will, to some remedial work are completed at a site. CFR 300.425(c)(2) requires that, to the extent, describe the release(s) at issue. Indeed, the boundaries of the That is, the NPL site would include all extent practicable, the NPL include contamination can be expected to releases evaluated as part of that HRS within the 100 highest priorities, one change over time. Thus, in most cases, analysis. facility designated by each State it may be impossible to describe the When a site is listed, the approach boundaries of a release with absolute representing the greatest danger to generally used to describe the relevant public health, welfare, or the certainty. release(s) is to delineate a geographical Further, as noted above, NPL listing environment among known facilities in area (usually the area within an the State (see 42 U.S.C. 9605(a)(8)(B)); does not assign liability to any party or installation or plant boundaries) and to the owner of any specific property. (3) The third mechanism for listing, identify the site by reference to that included in the NCP at 40 CFR Thus, if a party does not believe it is area. As a legal matter, the site is not liable for releases on discrete parcels of 300.425(c)(3), allows certain sites to be coextensive with that area, and the listed regardless of their HRS score, if property, supporting information can be boundaries of the installation or plant submitted to the Agency at any time all of the following conditions are met: are not the ‘‘boundaries’’ of the site. • The Agency for Toxic Substances after a party receives notice it is a Rather, the site consists of all potentially responsible party. and Disease Registry (ATSDR) of the contaminated areas within the area used U.S. Public Health Service has issued a For these reasons, the NPL need not to identify the site, as well as any other be amended as further research reveals health advisory that recommends location to which contamination from dissociation of individuals from the more information about the location of that area has come to be located, or from the contamination or release. release. which that contamination came. • EPA determines that the release In other words, while geographic G. How Are Sites Removed From the poses a significant threat to public terms are often used to designate the site NPL? health. (e.g., the ‘‘Jones Co. plant site’’) in terms • EPA may delete sites from the NPL EPA anticipates that it will be more of the property owned by a particular where no further response is cost-effective to use its remedial party, the site properly understood is appropriate under Superfund, as authority than to use its removal not limited to that property (e.g., it may explained in the NCP at 40 CFR authority to respond to the release. extend beyond the property due to 300.425(e). This section also provides EPA promulgated an original NPL of contaminant migration), and conversely that EPA shall consult with states on 406 sites on September 8, 1983 (48 FR may not occupy the full extent of the proposed deletions and shall consider 40658). The NPL has been expanded property (e.g., where there are whether any of the following criteria since then, most recently on September uncontaminated parts of the identified have been met: (i) Responsible parties or 29, 2003 (68 FR 55875). property, they may not be, strictly other persons have implemented all speaking, part of the ‘‘site’’). The ‘‘site’’ E. What Happens to Sites on the NPL? appropriate response actions required; is thus neither equal to nor confined by (ii) All appropriate Superfund-financed A site may undergo remedial action the boundaries of any specific property response has been implemented and no financed by the Trust Fund established that may give the site its name, and the further response action is required; or under CERCLA (commonly referred to name itself should not be read to imply (iii) The remedial investigation has as the ‘‘Superfund’’) only after it is that this site is coextensive with the shown the release poses no significant placed on the NPL, as provided in the entire area within the property threat to public health or the NCP at 40 CFR 300.425(b)(1). boundary of the installation or plant. environment, and taking of remedial (‘‘Remedial actions’’ are those The precise nature and extent of the site measures is not appropriate. As of ‘‘consistent with permanent remedy, are typically not known at the time of February 25, 2004, the Agency has taken instead of or in addition to listing. Also, the site name is merely deleted 278 sites from the NPL. removal actions. * * *’’ 42 U.S.C. used to help identify the geographic 9601(24).) However, under 40 CFR location of the contamination. For H. Can Portions of Sites Be Deleted 300.425(b)(2) placing a site on the NPL example, the ‘‘Jones Co. plant site,’’ From the NPL as They Are Cleaned Up? ‘‘does not imply that monies will be does not imply that the Jones company In November 1995, EPA initiated a expended.’’ EPA may pursue other is responsible for the contamination new policy to delete portions of NPL appropriate authorities to remedy the located on the plant site. sites where cleanup is complete (60 FR

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55465, November 1, 1995). Total site Records and Information Center, C. What Documents Are Available for cleanup may take many years, while Mailcode HSC, One Congress Street, Public Review at the Headquarters portions of the site may have been Suite 1100, Boston, MA 02114–2023; Docket? cleaned up and available for productive 617/918–1225. use. As of February 25, 2004, EPA has The Headquarters docket for this rule Dennis Munhall, Region 2 (NJ, NY, contains: HRS score sheets for the deleted 43 portions of 37 sites. PR, VI), U.S. EPA, 290 Broadway, New proposed sites; a Documentation Record York, NY 10007–1866; 212/637–4343. I. What Is the Construction Completion for the sites describing the information List (CCL)? Dawn Shellenberger (ASRC), Region 3 used to compute the score; information EPA also has developed an NPL (DE, DC, MD, PA, VA, WV), U.S. EPA, for any sites affected by particular construction completion list (‘‘CCL’’) to Library, 1650 Arch Street, Mailcode statutory requirements or EPA listing simplify its system of categorizing sites 3PM52, Philadelphia, PA 19103; 215/ policies; and a list of documents and to better communicate the 814–5364. referenced in the Documentation successful completion of cleanup John Wright, Region 4 (AL, FL, GA, Record. activities (58 FR 12142, March 2, 1993). KY, MS, NC, SC, TN), U.S. EPA, 61 D. What Documents Are Available for Inclusion of a site on the CCL has no Forsyth Street, SW, 9th floor, Atlanta, Public Review at the Regional Dockets? legal significance. GA 30303; 404/562–8123. Sites qualify for the CCL when: (1) Any necessary physical construction is Janet Pfundheller, Region 5 (IL, IN, The Regional dockets for this rule complete, whether or not final cleanup MI, MN, OH, WI), U.S. EPA, Records contain all of the information in the levels or other requirements have been Center, Superfund Division SMR–7J, Headquarters docket, plus, the actual achieved; (2) EPA has determined that Metcalfe Federal Building, 77 West reference documents containing the data the response action should be limited to Jackson Boulevard, Chicago, IL 60604; principally relied upon and cited by measures that do not involve 312/353–5821. EPA in calculating or evaluating the construction (e.g., institutional Brenda Cook, Region 6 (AR, LA, NM, HRS score for the sites. These reference controls); or (3) The site qualifies for OK, TX), U.S. EPA, 1445 Ross Avenue, documents are available only in the deletion from the NPL. Mailcode 6SF–RA, Dallas, TX 75202– Regional dockets. As of February 25, 2004, there are a 2733; 214/665–7436. E. How Do I Submit My Comments? total of 892 sites on the CCL. For the Michelle Quick, Region 7 (IA, KS, most up-to-date information on the CCL, MO, NE), U.S. EPA, 901 North 5th Comments must be submitted to EPA see EPA’s Internet site at http:// Street, Kansas City, KS 66101; 913/551– Headquarters as detailed at the www.epa.gov/superfund. 7335. beginning of this preamble in the ADDRESSES section. Please note that the II. Public Review/Public Comment Debra Ehlert, Region 8 (CO, MT, ND, addresses differ according to method of SD, UT, WY), U.S. EPA, 999 18th Street, A. Can I Review the Documents delivery. There are two different Suite 500, Mailcode 8EPR-SA, Denver, Relevant to This Proposed Rule? addresses that depend on whether CO 80202–2466; 303/312–6108. Yes, documents that form the basis for comments are sent by express mail or by EPA’s evaluation and scoring of the sites Jere Johnson, Region 9 (AZ, CA, HI, postal mail. in this rule are contained in public NV, AS, GU), U.S. EPA, 75 Hawthorne F. What Happens to My Comments? dockets located both at EPA Street, San Francisco, CA 94105; 415/ 972–3094. Headquarters in Washington, DC and in EPA considers all comments received the Regional offices. Tara Martich, Region 10 (AK, ID, OR, during the comment period. Significant WA), U.S. EPA, 1200 6th Avenue, Mail B. How Do I Access the Documents? comments will be addressed in a Stop ECL–110, Seattle, WA 98101; 206/ support document that EPA will publish You may view the documents, by 553–0039. concurrently with the Federal Register appointment only, in the Headquarters You may also request copies from document if, and when, the site is listed or the Regional dockets after the EPA Headquarters or the Regional on the NPL. appearance of this proposed rule. The dockets. An informal request, rather hours of operation for the Headquarters than a formal written request under the G. What Should I Consider When docket are from 8:30 a.m. to 4:30 p.m., Freedom of Information Act, should be Preparing My Comments? Monday through Friday excluding the ordinary procedure for obtaining Federal holidays. Please contact the Comments that include complex or copies of any of these documents. Regional dockets for hours. voluminous reports, or materials The following is the contact You may also access this Federal prepared for purposes other than HRS information for the EPA Headquarters Register document electronically scoring, should point out the specific docket: Docket Coordinator, through the EPA Internet under the information that EPA should consider Headquarters; U.S. Environmental ‘‘Federal Register’’ listings at http:// and how it affects individual HRS factor Protection Agency; CERCLA Docket www.epa.gov/fedrgstr. You may use values or other listing criteria Office; 1301 Constitution Avenue; EPA EPA Dockets at http://www.epa.gov/ (Northside Sanitary Landfill v. Thomas, West, Room B102, Washington, DC edocket to access the index listing of the 849 F.2d 1516 (D.C. Cir. 1988)). EPA 20004, 202/566–0276. (Please note this contents of the Headquarters docket, will not address voluminous comments is a visiting address only. Mail and to access those documents in the that are not specifically cited by page comments to EPA Headquarters as Headquarters docket. Once in the number and referenced to the HRS or detailed at the beginning of this system, select ‘‘search’’, then key in the other listing criteria. EPA will not preamble.) Docket ID No. SFUND–2004–0004. address comments unless they indicate The contact information for the Please note that there are differences which component of the HRS Regional dockets is as follows: between the Headquarters Docket and documentation record or what Ellen Culhane, Region 1 (CT, ME, MA, the Regional Dockets and those particular point in EPA’s stated NH, RI, VT), U.S. EPA, Superfund differences are outlined below. eligibility criteria is at issue.

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H. Can I Submit Comments After the awaiting final agency action, 59 in the EPA generally must prepare a written Public Comment Period Is Over? General Superfund Section and 6 in the statement, including a cost-benefit Generally, EPA will not respond to Federal Facilities Section. There are analysis, for proposed and final rules late comments. EPA can only guarantee currently 1,240 final sites, 1,082 in the with ‘‘Federal mandates’’ that may that it will consider those comments General Superfund Section and 158 in result in expenditures by State, local, postmarked by the close of the formal the Federal Facilities Section. Final and and tribal governments, in the aggregate, comment period. EPA has a policy of proposed sites now total 1,305. (These or by the private sector, of $100 million not delaying a final listing decision numbers reflect the status of sites as of or more in any one year. Before EPA solely to accommodate consideration of February 25, 2004. Site deletions promulgates a rule for which a written late comments. occurring after this date may affect these statement is needed, section 205 of the numbers at time of publication in the UMRA generally requires EPA to I. Can I View Public Comments Federal Register.) identify and consider a reasonable Submitted by Others? number of regulatory alternatives and IV. Executive Order 12866 During the comment period, adopt the least costly, most cost- comments are placed in the A. What Is Executive Order 12866? effective, or least burdensome Headquarters docket and are available to Under Executive Order 12866, (58 FR alternative that achieves the objectives the public on an ‘‘as received’’ basis. A 51735 (October 4, 1993)) the Agency of the rule. The provisions of section complete set of comments will be must determine whether a regulatory 205 do not apply when they are available for viewing in the Regional action is ‘‘significant’’ and therefore inconsistent with applicable law. dockets approximately one week after subject to OMB review and the Moreover, section 205 allows EPA to the formal comment period closes. requirements of the Executive Order. adopt an alternative other than the least All public comments, whether The Order defines ‘‘significant costly, most cost-effective, or least submitted electronically or in paper, regulatory action’’ as one that is likely burdensome alternative if the will be made available for public to result in a rule that may: (1) Have an Administrator publishes with the final viewing in EPA’s electronic public annual effect on the economy of $100 rule an explanation why that alternative docket as EPA receives them and million or more or adversely affect in a was not adopted. Before EPA establishes without change, unless the comment material way the economy, a sector of any regulatory requirements that may contains copyrighted material, the economy, productivity, competition, significantly or uniquely affect small Confidential Business Information (CBI), jobs, the environment, public health or governments, including tribal or other information whose disclosure is safety, or State, local, or tribal governments, it must have developed under section 203 of the UMRA a small restricted by statute. For additional governments or communities; (2) create government agency plan. The plan must information about EPA’s electronic a serious inconsistency or otherwise provide for notifying potentially public docket, visit EPA Dockets online interfere with an action taken or affected small governments, enabling at http://www.epa.gov/edocket or see planned by another agency; (3) officials of affected small governments the May 31, 2002 Federal Register (67 materially alter the budgetary impact of to have meaningful and timely input in FR 38102). entitlements, grants, user fees, or loan the development of EPA regulatory programs or the rights and obligations of J. Can I Submit Comments Regarding proposals with significant Federal recipients thereof; or (4) raise novel Sites Not Currently Proposed to the intergovernmental mandates, and legal or policy issues arising out of legal NPL? informing, educating, and advising mandates, the President’s priorities, or small governments on compliance with In certain instances, interested parties the principles set forth in the Executive the regulatory requirements. have written to EPA concerning sites Order. which were not at that time proposed to B. Does UMRA Apply to This Proposed B. Is This Proposed Rule Subject to the NPL. If those sites are later proposed Rule? Executive Order 12866 Review? to the NPL, parties should review their No, EPA has determined that this rule earlier concerns and, if still appropriate, No. The listing of sites on the NPL does not contain a Federal mandate that resubmit those concerns for does not impose any obligations on any may result in expenditures of $100 consideration during the formal entities. The listing does not set million or more for State, local, and comment period. Site-specific standards or a regulatory regime and tribal governments in the aggregate, or correspondence received prior to the imposes no liability or costs. Any by the private sector in any one year. period of formal proposal and comment liability under CERCLA exists This rule will not impose any federal will not generally be included in the irrespective of whether a site is listed. intergovernmental mandate because it docket. It has been determined that this action imposes no enforceable duty upon State, is not a ‘‘significant regulatory action’’ III. Contents of This Proposed Rule tribal or local governments. Listing a under the terms of Executive Order site on the NPL does not itself impose A. Proposed Additions to the NPL 12866 and is therefore not subject to any costs. Listing does not mean that With today’s proposed rule, EPA is OMB review. EPA necessarily will undertake proposing to add 11 new sites to the V. Unfunded Mandates remedial action. Nor does listing require NPL; all to the General Superfund any action by a private party or A. What Is the Unfunded Mandates Section of the NPL. All of the sites in determine liability for response costs. Reform Act (UMRA)? this proposed rulemaking are being Costs that arise out of site responses proposed based on HRS scores of 28.50 Title II of the Unfunded Mandates result from site-specific decisions or above. The sites are presented in Reform Act of 1995 (UMRA), Public regarding what actions to take, not Table 1 which follows this preamble. Law 104–4, establishes requirements for directly from the act of listing a site on Federal Agencies to assess the effects of the NPL. B. Status of NPL their regulatory actions on State, local, For the same reasons, EPA also has With this proposal of 11 new sites, and tribal governments and the private determined that this rule contains no there are now 65 sites proposed and sector. Under section 202 of the UMRA, regulatory requirements that might

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significantly or uniquely affect small 113, section 12(d) (15 U.S.C. 272 note), April 23, 1997) applies to any rule that: governments. In addition, as discussed directs EPA to use voluntary consensus (1) Is determined to be ‘‘economically above, the private sector is not expected standards in its regulatory activities significant’’ as defined under Executive to incur costs exceeding $100 million. unless to do so would be inconsistent Order 12866, and (2) concerns an EPA has fulfilled the requirement for with applicable law or otherwise environmental health or safety risk that analysis under the Unfunded Mandates impractical. Voluntary consensus EPA has reason to believe may have a Reform Act. standards are technical standards (e.g., disproportionate effect on children. If VI. Effect on Small Businesses materials specifications, test methods, the regulatory action meets both criteria, sampling procedures, and business the Agency must evaluate the A. What Is the Regulatory Flexibility practices) that are developed or adopted environmental health or safety effects of Act? by voluntary consensus standards the planned rule on children, and Pursuant to the Regulatory Flexibility bodies. The NTTAA directs EPA to explain why the planned regulation is Act (5 U.S.C. 601 et seq., as amended by provide Congress, through OMB, preferable to other potentially effective the Small Business Regulatory explanations when the Agency decides and reasonably feasible alternatives Enforcement Fairness Act (SBREFA) of not to use available and applicable considered by the Agency. voluntary consensus standards. 1996) whenever an agency is required to B. Does Executive Order 13045 Apply to publish a notice of rulemaking for any B. Does the National Technology This Proposed Rule? proposed or final rule, it must prepare Transfer and Advancement Act Apply This proposed rule is not subject to and make available for public comment to This Proposed Rule? a regulatory flexibility analysis that Executive Order 13045 because it is not describes the effect of the rule on small No. This proposed rulemaking does an economically significant rule as entities (i.e., small businesses, small not involve technical standards. defined by Executive Order 12866, and organizations, and small governmental Therefore, EPA did not consider the use because the Agency does not have jurisdictions). However, no regulatory of any voluntary consensus standards. reason to believe the environmental health or safety risks addressed by this flexibility analysis is required if the VIII. Executive Order 12898 head of an agency certifies the rule will proposed rule present a not have a significant economic impact A. What Is Executive Order 12898? disproportionate risk to children. on a substantial number of small Under Executive Order 12898, X. Paperwork Reduction Act entities. SBREFA amended the ‘‘Federal Actions to Address Regulatory Flexibility Act to require Environmental Justice in Minority A. What Is the Paperwork Reduction Federal agencies to provide a statement Populations and Low-Income Act? of the factual basis for certifying that a Populations,’’ as well as through EPA’s According to the Paperwork rule will not have a significant April 1995, ‘‘Environmental Justice Reduction Act (PRA), 44 U.S.C. 3501 et economic impact on a substantial Strategy, OSWER Environmental Justice seq., an agency may not conduct or number of small entities. Task Force Action Agenda Report,’’ and sponsor, and a person is not required to National Environmental Justice respond to a collection of information B. How Has EPA Complied With the Advisory Council, EPA has undertaken that requires OMB approval under the Regulatory Flexibility Act (RFA)? to incorporate environmental justice PRA, unless it has been approved by This proposed rule listing sites on the into its policies and programs. EPA is OMB and displays a currently valid NPL, if promulgated, would not impose committed to addressing environmental OMB control number. The OMB control any obligations on any group, including justice concerns, and is assuming a numbers for EPA’s regulations, after small entities. This proposed rule, if leadership role in environmental justice initial display in the preamble of the promulgated, also would establish no initiatives to enhance environmental final rules, are listed in 40 CFR part 9. standards or requirements that any quality for all residents of the United The information collection requirements small entity must meet, and would States. The Agency’s goals are to ensure related to this action have already been impose no direct costs on any small that no segment of the population, approved by OMB pursuant to the PRA entity. Whether an entity, small or regardless of race, color, national origin, under OMB control number 2070–0012 otherwise, is liable for response costs for or income, bears disproportionately (EPA ICR No. 574). a release of hazardous substances high and adverse human health and B. Does the Paperwork Reduction Act depends on whether that entity is liable environmental effects as a result of Apply to This Proposed Rule? under CERCLA 107(a). Any such EPA’s policies, programs, and activities, liability exists regardless of whether the and all people live in clean and No. EPA has determined that the PRA site is listed on the NPL through this sustainable communities. does not apply because this rule does rulemaking. Thus, this proposed rule, if not contain any information collection promulgated, would not impose any B. Does Executive Order 12898 Apply to requirements that require approval of requirements on any small entities. For This Proposed Rule? the OMB. the foregoing reasons, I certify that this No. While this rule proposes to revise XI. Executive Orders on Federalism proposed rule, if promulgated, will not the NPL, no action will result from this have a significant economic impact on proposal that will have What Are The Executive Orders on a substantial number of small entities. disproportionately high and adverse Federalism and Are They Applicable to human health and environmental effects This Proposed Rule? VII. National Technology Transfer and on any segment of the population. Advancement Act Executive Order 13132, entitled IX. Executive Order 13045 ‘‘Federalism’’ (64 FR 43255, August 10, A. What Is the National Technology 1999), requires EPA to develop an Transfer and Advancement Act? A. What Is Executive Order 13045? accountable process to ensure Section 12(d) of the National Executive Order 13045: ‘‘Protection of ‘‘meaningful and timely input by State Technology Transfer and Advancement Children from Environmental Health and local officials in the development of Act of 1995 (NTTAA), Public Law 104– Risks and Safety Risks’’ (62 FR 19885, regulatory policies that have federalism

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implications.’’ ‘‘Policies that have Management and Budget, in a separately substantial direct effects on tribal federalism implications’’ is defined in identified section of the preamble to the governments, on the relationship the Executive Order to include rule, a description of the extent of EPA’s between the Federal government and regulations that have ‘‘substantial direct prior consultation with representatives Indian tribes, or on the distribution of effects on the States, on the relationship of affected tribal governments, a power and responsibilities between the between the national government and summary of the nature of their concerns, Federal government and Indian tribes, the States, or on the distribution of and a statement supporting the need to as specified in Executive Order 13175. power and responsibilities among the issue the regulation. In addition, Thus, Executive Order 13175 does not various levels of government.’’ Executive Order 13084 requires EPA to apply to this proposed rule. Under section 6 of Executive Order develop an effective process permitting 13132, EPA may not issue a regulation elected officials and other XIV. Executive Order 13211 representatives of Indian tribal that has federalism implications, that A. What Is Executive Order 13211? imposes substantial direct compliance governments ‘‘to provide meaningful costs, and that is not required by statute, and timely input in the development of Executive Order 13211, ‘‘Actions unless the Federal government provides regulatory policies on matters that Concerning Regulations That the funds necessary to pay the direct significantly or uniquely affect their Significantly Affect Energy Supply, communities.’’ compliance costs incurred by State and Distribution, or Use’’ (66 FR 28355 (May local governments, or EPA consults with This proposed rule does not significantly or uniquely affect the 22, 2001)), requires EPA to prepare and State and local officials early in the submit a Statement of Energy Effects to process of developing the proposed communities of Indian tribal governments because it does not the Administrator of the Office of regulation. EPA also may not issue a Information and Regulatory Affairs, regulation that has federalism significantly or uniquely affect their Office of Management and Budget, for implications and that preempts State communities. The addition of sites to certain actions identified as ‘‘significant law, unless the Agency consults with the NPL will not impose any substantial State and local officials early in the direct compliance costs on Tribes. energy actions.’’ Section 4(b) of process of developing the proposed While Tribes may incur costs from Executive Order 13211 defines regulation. participating in the investigations and ‘‘significant energy actions’’ as ‘‘any This proposed rule does not have cleanup decisions, those costs are not action by an agency (normally federalism implications. It will not have compliance costs. Accordingly, the published in the Federal Register) that requirements of section 3(b) of substantial direct effects on the States, promulgates or is expected to lead to the Executive Order 13084 do not apply to on the relationship between the national promulgation of a final rule or this proposed rule. government and the States, or on the regulation, including notices of inquiry, distribution of power and XIII. Executive Order 13175 advance notices of proposed responsibilities among the various rulemaking, and notices of proposed A. What Is Executive Order 13175? levels of government, as specified in rulemaking: (1)(i) That is a significant Executive Order 13132. Thus, the Executive Order 13175, entitled regulatory action under Executive Order requirements of section 6 of the ‘‘Consultation and Coordination with 12866 or any successor order, and (ii) is Executive Order do not apply to this Indian Tribal Governments’’ (65 FR likely to have a significant adverse effect rule. 67249, November 6, 2000), requires EPA on the supply, distribution, or use of to develop an accountable process to XII. Executive Order 13084 energy; or (2) that is designated by the ensure ‘‘meaningful and timely input by Administrator of the Office of What Is Executive Order 13084 and Is It tribal officials in the development of Information and Regulatory Affairs as a regulatory policies that have tribal Applicable to This Proposed Rule? significant energy action.’’ implications.’’ ‘‘Policies that have tribal Under Executive Order 13084, EPA implications’’ is defined in the B. Is This Rule Subject to Executive may not issue a regulation that is not Executive Order to include regulations Order 13211? required by statute, that significantly or that have ‘‘substantial direct effects on uniquely affects the communities of one or more Indian tribes, on the This proposed rule is not subject to Indian tribal governments, and that relationship between the Federal Executive Order 13211, ‘‘Actions imposes substantial direct compliance government and the Indian tribes, or on Concerning Regulations That costs on those communities, unless the the distribution of power and Significantly Affect Energy Supply, Federal government provides the funds responsibilities between the Federal Distribution, or Use’’ (66 FR 28355 (May necessary to pay the direct compliance government and Indian tribes.’’ 22, 2001)) because it is not a significant costs incurred by the tribal B. Does Executive Order 13175 Apply to regulatory action under Executive Order governments, or EPA consults with 12866. (See discussion of Executive those governments. If EPA complies by This Proposed Rule? Order 12866 above.) consulting, Executive Order 13084 This proposed rule does not have requires EPA to provide to the Office of tribal implications. It will not have

TABLE 1.—NATIONAL PRIORITIES LIST PROPOSED RULE NO. 40, GENERAL SUPERFUND SECTION

State Site name City/county

IN ...... Jacobsville Neighborhood Soil Contamination ...... Evansville. LA ...... Devil’s Swamp—Ewell Property ...... Scotlandville. MO ...... Annapolis Lead Mine ...... Annapolis. MS ...... Picayune Wood Treating ...... Picayune. NM ...... Grants Chlorinated Solvents Plume ...... Grants. NY ...... Diaz Chemical Corporation ...... Holley.

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TABLE 1.—NATIONAL PRIORITIES LIST PROPOSED RULE NO. 40, GENERAL SUPERFUND SECTION—Continued

State Site name City/county

NY ...... Peninsula Boulevard Ground Water Plume ...... Hewlett. PA ...... Ryeland Road Arsenic ...... Heidelberg Township. PR ...... Cidra Ground Water Contamination ...... Cidra. VT ...... Pike Hill Copper Mine ...... Corinth. WV ...... Ravenswood PCE Ground Water Plume ...... Ravenswood. Number of Sites Proposed to General Superfund Section: 11.

List of Subjects in 40 CFR Part 300 Reporting and recordkeeping Dated: March 1, 2004. requirements, Superfund, Water Marianne Lamont Horinko, Environmental protection, Air pollution control, Water supply. Assistant Administrator, Office of Solid Waste pollution control, Chemicals, Hazardous Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C. and Emergency Response. substances, Hazardous waste, 9601–9657; E.O. 12777, 56 FR 54757, 3 CFR, [FR Doc. 04–5109 Filed 3–5–04; 8:45 am] Intergovernmental relations, Natural 1991 Comp., p. 351; E.O. 12580, 52 FR 2923, BILLING CODE 6560–50–P resources, Oil pollution, Penalties, 3 CFR, 1987 Comp., p. 193.

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Notices Federal Register Vol. 69, No. 45

Monday, March 8, 2004

This section of the FEDERAL REGISTER above address. Issues may be brought to DEPARTMENT OF AGRICULTURE contains documents other than rules or the attention of the Committee during proposed rules that are applicable to the the open public comment period at the Forest Service public. Notices of hearings and investigations, meeting or by filing written statements committee meetings, agency decisions and Notice of Resource Advisory with the secretary for the Committee rulings, delegations of authority, filing of Committee Meeting petitions and applications and agency before or after the meeting. Please refer statements of organization and functions are any written comments to the Lake AGENCY: Rouge/Umpqua Resource examples of documents appearing in this Tahoe Basin Management Unit at the Advisory Committee, Roseburg, OR, section. contact address stated above. Forest Services, USDA. Dated: March 1, 2004. ACTION: Notice of meeting. DEPARTMENT OF AGRICULTURE Maribeth Gustafson, SUMMARY: Pursuant to the authorities in Forest Supervisor. the Federal Advisory Committees Act Forest Service [FR Doc. 04–5059 Filed 3–5–04; 8:45 am] (Pub. L. 92–463) and under the Secure Lake Tahoe Basin Federal Advisory BILLING CODE 3410–11–M Rural Schools and Community Self- Committee Determination Act of 2000 (Pub. L. 106– 393) the Rogue/Umpqua Resources AGENCY: Forest Service, USDA. DEPARTMENT OF AGRICULTURE Advisory Committee will meet ACTION: Notice of meeting. Wednesday, March 31, 2004, in Forest Service Roseburg, Oregon, for a business SUMMARY: The Lake Tahoe Basin Federal meeting. The meetings are open to the Advisory Committee will hold a Siskiyou County Resource Advisory public. meeting on April 7, 2004, at the US Committee Forest Service Office, Emerald Bay SUPPLEMENTARY INFORMATION: The business meeting on March 31, 2004, Conference Room, 35 College Drive, AGENCY: Forest Service, USDA. South Lake Tahoe, CA. This Committee, begins at 1 p.m. at the Roseburg Bureau established by the Secretary of ACTION: Notice of meeting. of Land Management Office, 777 NW. Agriculture on December 15, 1998 (64 Garden Valley Blvd, Roseburg, OR. FR 2876), is chartered to provide advice SUMMARY: The Siskiyou County Agenda topics will include: (1) Review to the Secretary on implementing the Resource Advisory Committee will meet and adopt previous meetings minutes, terms of the Federal Interagency in Yreka, California, March 15, 2004. (2) review and recommend projects to Partnership on the Lake Tahoe Region The meeting will include routine be funded to replace a cancelled 2004 and other matters raised by the business, a discussion of larger scale project, and (3) public forum at 1:45 Secretary. projects, and the review and p.m. DATES: The meeting will be held April recommendation for implementation of FOR FURTHER INFORMATION CONTACT: 7, 2004, beginning at 1 p.m. and ending submitted project proposals. Designated Federal Official Jim Caplan, at 5:30 p.m. Umpqua National Forest; 2900 NW. DATES: The meeting will be held March ADDRESSES: The meeting will be held at Stewart Parkway, Roseburg, Oregon the US Forest Service Office, Emerald 15, 2004, from 4 p.m. until 7 p.m. 97470; (541) 580–0839. Bay Conference Room 35 College Drive, ADDRESSES: The meeting will be held at Dated: March 1, 2004. South Lake Tahoe, CA. the Yreka High School Library, Preece John Sloan, FOR FURTHER INFORMATION CONTACT: Way, Yreka, California. Acting Forest Supervisor, Umpqua National Maribeth Gustafson or Jeannie Stafford, Forest. FOR FURTHER INFORMATION CONTACT: Don Lake Tahoe Basin Management Unit, [FR Doc. 04–5071 Filed 3–5–04; 8:45 am] Hall, RAC Coordinator, Klamath Forest Service, 35 College Drive, South BILLING CODE 3410–11–M Lake Tahoe, CA 96150, (530) 534–2642. National Forest, (530) 841–4468 or SUPPLEMENTARY INFORMATION: The electronically at [email protected]. committee will meet jointly with the SUPPLEMENTARY INFORMATION: The BROADCASTING BOARD OF Lake Tahoe Basin Executives meeting is open to the public. Public GOVERNORS Committee. Items to be covered on the comment opportunity will be provided agenda include: (1) Report on and individuals will have the Meeting transportation briefing with Christine opportunity to address the Committee at Johnson of the FHWA; (2) update on that time. Date and Time: March 10, 2004, 1 Southern Nevada Public Land p.m.–4:15 p.m. Management Act (SNPLMA); (3) budget Dated: February 27, 2004. Place: Cohen Building, Room 3321, subcommittee recommendations on Margaret J. Boland, 330 Independence Ave., SW., SNPLMA projects; (4) public comment; Designated Federal Official. Washington, DC 20237. and (5) LTFAC recommendations on [FR Doc. 04–5058 Filed 3–5–04; 8:45 am] Closed Meeting: The members of the SNPLMA projects. All Lake Tahoe Basin Broadcasting Board of Governors (BBG) BILLING CODE 3410–11–M Federal Advisory Committee meetings will meet in closed session to review are open to the public. Interested and discuss a number of issues relating citizens are encouraged to attend at the to U.S. Government-funded non-

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military international broadcasting. telephone (202) 482–3818 or (202) 482– ‘‘Shenzhen CSG Automotive Glass Co., They will address internal procedural, 3434, respectively. Ltd. (formerly known as Shenzhen budgetary, and personnel issues, as well SUPPLEMENTARY INFORMATION: Benxun AutoGlass Co., Ltd.)’’. On July as sensitive foreign policy issues 8, 2003, we received a letter from relating to potential options in the U.S. Background ‘‘Shenzhen CSG Automotive Glass Co., international broadcasting field. This On April 4, 2002, the Department of Ltd. (formerly known as Shenzhen meeting is closed because if open it Commerce (‘‘the Department’’) Benxun AutoGlass Co., Ltd.)’’ likely would either disclose matters that published in the Federal Register the withdrawing its request for an would be properly classified to be kept antidumping duty order on automotive administrative review of sales and secret in the interest of foreign policy replacement glass (‘‘ARG’’) windshields entries of subject merchandise exported under the appropriate executive order (5 from the PRC. See Antidumping Duty by it and covered by the antidumping U.S.C. 552b.(c)(1)) or would disclose Order: Automotive Replacement Glass duty order on ARG windshields from information the premature disclosure of Windshields from the People’s Republic the PRC. On September 8, 2003, the which would be likely to significantly of China, 67 FR 16087 (April 4, 2002). Department published in the Federal frustrate implementation of a proposed On April 7, 2003, the Department Register a notice of partial rescission of agency action. (5 U.S.C. 552b.(c)(9)(B)) published a notice of opportunity to the administrative review on ARG In addition, part of the discussion will request an administrative review of the windshields from the PRC, which relate solely to the internal personnel antidumping duty order on ARG included a rescission of the and organizational issues of the BBG or windshields from the PRC for the period administrative review of sales and the International Broadcasting Bureau. September 19, 2001 through March 31, entries from ‘‘Shenzhen CSG (5 U.S.C. 552b.(c)(2) and (6).) 2003. See Antidumping or Automotive Glass Co., Ltd. (formerly Contact Person for More Information: Countervailing Duty Order, Finding, or known as Shenzhen Benxun AutoGlass Persons interested in obtaining more Suspended Investigation; Opportunity Co., Ltd.)’’. On December 29, 2003, the information should contact either to Request Administrative Review, 68 Department instructed Customs and Brenda Hardnett or Carol Booker at FR 16761 (April 7, 2003). On April 30, Border Protection (‘‘Customs’’) to (202) 401–3736. 2003, the Department received a letter liquidate entries from Shenzhen Benxun at its cash deposit rate of 9.84%, but to Dated: March 1, 2004. on behalf of Shenzhen CSG Automotive Glass Co., Ltd. (‘‘Shenzhen CSG’’) liquidate entries from Shenzhen CSG at Carol Booker, the China–wide rate of 124.5% because requesting an administrative review of Legal Counsel. the Department never had an its sales and entries of subject [FR Doc. 04–5213 Filed 3–3–04; 4:15 pm] opportunity to determine whether merchandise. In its request, Shenzhen BILLING CODE 8230–01–M Shenzhen CSG is a successor in interest CSG indicated that it had undergone a to Shenzhen Benxun. On January 12, name change, and that it had formerly 2004, the Department received a letter been known as Shenzhen Benxun on behalf of ‘‘Shenzhen CSG DEPARTMENT OF COMMERCE AutoGlass Co., Ltd. (‘‘Shenzhen Automotive Glass Co., Ltd. (formerly Benxun’’). Shenzhen Benxun was a known as Shenzhen Benxun AutoGlass International Trade Administration respondent in the original investigation Co., Ltd.)’’ requesting that the A–570–867 of this case. The request for review did Department amend instructions sent to not include a request for a changed Customs that direct Customs to Automotive Replacement Glass circumstance review to determine liquidate all of Shenzhen CSG’s entries Windshields from the People’s whether Shenzhen CSG is in fact a at the China wide–rate. Shenzhen CSG Republic of China: Initiation of successor in interest to Shenzhen asserts that Shenzhen Benxun changed Changed Circumstances Review Benxun. Further, the Department did its name to Shenzhen CSG and that not advise Shenzhen CSG or Shenzhen entries from Shenzhen CSG should be AGENCY: Import Administration, Benxun that a successor in interest International Trade Administration, entitled to Shenzhen Benxun’s cash determination must be made before deposit rate. Department of Commerce. Shenzhen CSG would be entitled to SUMMARY: The Department of Commerce Shenzhen Benxun’s cash deposit rate. Scope has received information sufficient to On May 21, 2003, in response to timely The products covered by this review warrant initiation of a changed requests from respondents subject to the are ARG windshields, and parts thereof, circumstances review of the order on ARG windshields from the whether clear or tinted, whether coated antidumping order on Automotive PRC, the Department published in the or not, and whether or not they include Replacement Glass (‘‘ARG’’) Federal Register a notice of initiation of antennas, ceramics, mirror buttons or Windshields from the People’s Republic this antidumping duty administrative VIN notches, and whether or not they of China (‘‘PRC’’). The review will be review of sales by ten respondents, are encapsulated. ARG windshields are conducted to determine whether including ‘‘Shenzhen CSG Automotive laminated safety glass (i.e., two layers of Shenzhen CSG Automotive Glass Co., Glass Co., Ltd. (formerly known as (typically float) glass with a sheet of Ltd. (‘‘Shenzhen CSG’’) is the Shenzhen Benxun AutoGlass Co., Ltd.)’’ clear or tinted plastic in between successor–in-interest to Shenzhen of ARG windshields from the PRC for (usually polyvinyl butyral)), which are Benxun AutoGlass Co., Ltd. (‘‘Shenzhun the period September 19, 2001 through produced and sold for use by Benxun’’). March 31, 2003. See Initiation of automotive glass installation shops to EFFECTIVE DATE: March 8, 2004. Antidumping and Countervailing Duty replace windshields in automotive FOR FURTHER INFORMATION CONTACT: Jon Administrative Reviews and Request for vehicles (e.g., passenger cars, light Freed or Robert Bolling, Import Revocation in Part, 68 FR 27781 (May trucks, vans, sport utility vehicles, etc.) Administration, International Trade 21, 2003) (‘‘Initiation Notice’’). that are cracked, broken or otherwise Administration, U.S. Department of On June 3, 2003, the Department damaged. Commerce, 14th Street and Constitution issued antidumping duty questionnaires ARG windshields subject to this Avenue, N.W., Washington, D.C. 20230; to the respondents, including review are currently classifiable under

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subheading 7007.21.10.10 of the company, the Department will treat the Commerce, 14th and Constitution Harmonized Tariff Schedules of the new company as the successor–in- Avenue, N.W., Washington, D.C. 20230; United States (HTSUS). Specifically interest to the predecessor. See Fresh telephone: (202) 482–2769 or (202) 482– excluded from the scope of this and Chilled Atlantic Salmon from 5193, respectively. investigation are laminated automotive Norway: Final Results of Changed TIME LIMITS: windshields sold for use in original Circumstances Antidumping Duty assembly of vehicles. While HTSUS Administrative Review, 64 FR 9979, Statutory Time Limits subheadings are provided for 9980 (March 1, 1999). Section 751(a)(3)(A) of the Tariff Act convenience and Customs purposes, our The Department will publish in the of 1930, as amended (the Act), requires written description of the scope of this Federal Register a notice of preliminary the Department of Commerce (the review is dispositive. results of antidumping duty changed Department) to make a preliminary Initiation of Antidumping Duty circumstances review, in accordance determination within 245 days after the Changed Circumstances Review with section 351.216(c), and last day of the anniversary month of an 351.221(b)(4) and 351.221(c)(3)(i) of the order or finding for which a review is Pursuant to section 751(b)(1) of the Department’s regulations. This notice Act and 351.216 of the Department’s requested and a final determination will set forth the factual and legal within 120 days after the date on which regulations, the Department will conclusions upon which our conduct a changed circumstances the preliminary determination is preliminary results are based and a published. However, if it is not review upon receipt of information description of any action proposed concerning, or a request from an practicable to complete the review based on those results. Pursuant to 19 within these time periods, section interested party for a review of, an CFR 351.221(b)(4)(ii), interested parties antidumping duty finding which shows 751(a)(3)(A) of the Act allows the will have an opportunity to comment on Department to extend the 245–day time changed circumstances sufficient to the preliminary results of review. In warrant a review of the order. The limit for the preliminary determination accordance with 19 CFR 351.216(e), the to a maximum of 365 days and the time information submitted by Shenzhen Department will issue the final results CSG claiming to show that Shenzhen limit for the final determination to 180 of its antidumping duty changed days (or 300 days if the Department CSG is the successor–in-interest to circumstances review not later than 270 Shenzhen Benxun shows changed does not extend the time limit for the days after the date of publication of this preliminary determination) from the circumstances sufficient to warrant a notice. review. See 19 CFR 351.216(c) (2003). date of publication of the preliminary During the course of this changed determination. In accordance with section 751(b) of circumstances review, we will not the Tariff Act and 351.216 of the change any cash deposit instructions on Background Department’s regulations, the the merchandise subject to this review. Department is initiating a changed On March 25, 2003, the Department Any changes if appropriate, will be circumstances review to determine initiated an administrative review of made pursuant to the final results of this whether Shenzhun CSG is the successor certain cut–to-length carbon–quality review. steel plate products (steel plate) from in interest to Shenzhun Benxun. In This notice of initiation is in antidumping duty changed the Republic of Korea, covering the accordance with sections 751(b)(1) of circumstances reviews involving a period February 1, 2002 through January the Act and section 351.221(b)(1) of the successor–in-interest determination, the 31, 2003. See Initiation of Antidumping Department’s regulations. Department typically examines several and Countervailing Duty Administrative factors including, but not limited to, Dated: March 1, 2004. Reviews and Requests for Revocation in changes in: (1) management, (2) James J. Jochum, Part, 68 FR 14394 (March 25, 2003). On organizational structure, (3) ownership, Assistant Secretary for Import November 6, 2003, the Department (4) production facilities, (5) supplier Administration. published in the Federal Register the relationships, and (6) customer base. [FR Doc. 04–5140 Filed 3–5–04; 8:45 am] preliminary results of the administrative See, e.g., Stainless Steel Sheet and Strip BILLING CODE 3510–DS–S review of the antidumping duty order in Coils From the Republic of Korea: on steel plate from Korea. See Certain Notice of Preliminary Results of Cut–to-Length Carbon–Quality Steel Changed Circumstances Antidumping DEPARTMENT OF COMMERCE Plate Products From the Republic of Duty Administrative Review, 66 FR Korea: Preliminary Results and 67513, 67515 (December 31, 2001) and International Trade Administration Rescission in Part of Antidumping Duty Brass Sheet and Strip from Canada; [A–580–836] Administrative Review, 68 FR 62770 Final Results of Changed Circumstances (November 6, 2003). The final results Review, 57 FR 20460, 20461 (May 13, Certain Cut–to-Length Carbon–Quality are currently due no later than March 5, 1992). While none of these factors is Steel Plate Products from the Republic 2004. dispositive, the Department will of Korea: Extension of Time Limit for Extension of Time Limit for Final generally consider the new company to Final Results of Antidumping Duty Results of Review be the successor to the previous Administrative Review company if its resulting operation is We determine that it is not practicable similar to that of the predecessor. See AGENCY: Import Administration, to complete the final results of this Industrial Phosphoric Acid from Israel; International Trade Administration, review within the original time limit. Final Results of Antidumping Duty Department of Commerce. Therefore, the Department is extending Changed Circumstances Review, 59 FR EFFECTIVE DATE: March 8, 2004. the time limit for completion of the final 6944, 6946 (February 14, 1994). Thus, if FOR FURTHER INFORMATION CONTACT: Jeff results by 60 days until no later than evidence demonstrates that, with Pedersen or Howard Smith, AD/CVD May 4, 2004. See Decision respect to the production and sale of the Enforcement, Office IV, Group II, Import Memorandum from Thomas F. Futtner subject merchandise, the new company Administration, International Trade to Holly A. Kuga, dated concurrently operates as the same entity as the former Administration, U.S. Department of with this notice, which is on file in the

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Central Records Unit, Room B–099 of telephone (202) 482–5255 or (202) 482– These presses may be imported the Department’s main building. 0162, respectively. assembled or unassembled. This extension is in accordance with SUPPLEMENTARY INFORMATION: The Department published in the section 751(a)(3)(A) of the Act. Federal Register several notices of Background Dated: March 2, 2004. scope rulings with respect to MTPs from Japan, determining that (1) spare and Holly A. Kuga, The Department published an antidumping duty order on MTPs from replacement parts are outside the scope Acting Deputy Assistant Secretary for Import of the order (see Notice of Scope Administration, Group II. Japan on February 16, 1990 (55 FR 5642). On February 24, 2003, the Rulings, 57 FR 19602 (May 7, 1992)); (2) [FR Doc. 04–5141 Filed 3–5–04; 8:45 am] a destack feeder designed to be used BILLING CODE 3510–DS–S Department received a timely request for an administrative review of the with a mechanical transfer press is an antidumping duty order on MTPs from accessory and, therefore, is not within the scope of the order (see Notice of DEPARTMENT OF COMMERCE HZC and its subsidiary, H&F. On February 27, 2002, the Department Scope Rulings, 57 FR 32973 (July 24, International Trade Administration received a timely request from the 1992)); (3) the FMX cold forging press is within the scope of the order (see [A–588–810] petitioner, IHI-Verson Press Technology, LLC, for an administrative review of Notice of Scope Rulings, 59 FR 8910 (February 24, 1994)); and (4) certain Preliminary Results of Antidumping HZC and H&F. On February 28, 2003, HZC/H&F properly filed a timely mechanical transfer press parts exported Duty Administrative Review and from Japan are outside the scope of the Preliminary Determination Not to request that the Department revoke the order with respect to its sales of MTPs order (see Notice of Scope Rulings, 62 Revoke, in-Part: Mechanical Transfer FR 9176 (February 28, 1997). Presses from Japan in accordance with section 351.222(e) of the Department’s regulations. On March Verification AGENCY: Import Administration, 25, 2003, we published a notice International Trade Administration, As provided in section 782(i) of the initiating an administrative review of Act, we verified the sales and cost U.S. Department of Commerce. MTPs (68 FR 14394). The review covers SUMMARY: The Department of Commerce information provided by HZC and H&F H&F, which manufactured MTPs during using standard verification procedures, (the Department) is conducting an the period of review (POR), and HZC, administrative review of the including on-site inspection of the the parent company and nominal manufacturer’s facilities and the antidumping duty order on mechanical reseller, which owns a controlling transfer presses (MTPs) from Japan in examination of relevant sales and interest in H&F. For purposes of all financial records. response to a request by Hitachi Zosen prior administrative reviews in which Corporation (HZC) and its subsidiary HZC and H&F have participated, we Affiliation and Collapsing of HZC and Hitachi Zosen Fukui Corporation, doing have treated these companies as H&F business as H&F Corporation (H&F). affiliated and collapsed them. Based on HZC’s ownership interest in This review covers entries of this Due to complicated issues in this H&F (more than seventy percent), we merchandise to the United States during case, on October 15, 2003, the continue to find as we have in past the period of February 1, 2002 through Department extended the deadline for reviews that HZC and H&F are affiliated January 31, 2003. We preliminarily the preliminary results of this pursuant to sections 771(33)(E) and (G) determine that U.S. sales were made at antidumping duty administrative review of the Act. See Mechanical Transfer prices below normal value (NV). until no later than February 28, 2004. Presses from Japan: Preliminary Results Because we have determined that U.S. See Mechanical Transfer Presses From of Antidumping Duty Administrative sales were made at prices below NV, we Japan: Extension of Time Limit for Review 68 FR 11039 (March 7, 2003) also preliminarily determine that this Preliminary Results of Antidumping and Mechanical Transfer Presses from order should not be revoked with Administrative Review, 68 FR 59365 Japan: Final Results of Antidumping respect to HZC/H&F. If these (October 15, 2003). Duty Administrative Review 68 FR preliminary results are adopted in our 39515 (July 2, 2003) (MTPs 2001/2002 final results of administrative review, Scope of the Antidumping Duty Order Review). See also Mechanical Transfer we will instruct U.S. Customs and Imports covered by this antidumping Presses from Japan: Preliminary Results Border Protection (CBP) to assess duty order include mechanical transfer of Antidumping Duty Administrative antidumping duties based on the presses, currently classifiable under Review 67 10363 (March 7, 2002) and difference between export price (EP) Harmonized Tariff Schedule of the Mechanical Transfer Presses from and NV. Interested parties are invited to United States (HTSUS) item numbers Japan: Final Results of Antidumping comment on these preliminary results. 8462.10.0035, 8466.94.6540 and Duty Administrative Review and Parties who submit argument are 8466.94.8540. The HTSUS subheadings Revocation, in-Part 67 FR 35958 (May requested to submit with each are provided for convenience and CBP 22, 2002) (MTPs 2000/2001 Review). argument: (1) a statement of the issue purposes only. The written description Furthermore, for purposes of this and (2) a brief summary of the of the scope of this order is dispositive. analysis, we are collapsing HZC and argument. The term ‘‘mechanical transfer presses’’ H&F. There is no new information or EFFECTIVE DATE: March 8, 2004. refers to automatic metal-forming evidence of changed circumstances in FOR FURTHER INFORMATION CONTACT: machine tools with multiple die stations this review to warrant reconsideration Jacqueline Arrowsmith or Sally Gannon, in which the work piece is moved from of this determination. See MTPs 2001/ Office of Antidumping/Countervailing station to station by a transfer 2002 Review. See also MTPs 2000/2001 Duty Enforcement VII, Import mechanism designed as an integral part Review. Administration, International Trade of the press and synchronized with the Administration, U.S. Department of press action, whether imported as Revocation Determination Commerce, 14th Street and Constitution machines or parts suitable for use solely On February 28, 2003, HZC/H&F Avenue, N.W., Washington D.C. 20230; or principally with these machines. requested, pursuant to 19 CFR

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351.222(e)(1), partial revocation of the Export Price Antidumping Duty Administrative order with respect to its sales of MTPs. In accordance with section 772(a) of Review 68 FR 11039 (March 7, 2003); HZC/H&F certified that: (1) it sold the the Act, EP is the price at which subject Mechanical Transfer Presses from subject merchandise in commercial merchandise is first sold (or agreed to be Japan: Final Results of Antidumping quantities at not less than NV for a sold) before the date of importation by Duty Administrative Review 68 FR period of at least three consecutive the producer or exporter of the subject 39515 (July 2, 2003); Mechanical years; (2) in the future, it will not sell merchandise outside the United States Transfer Presses from Japan: the subject merchandise at less than NV; to an unaffiliated purchaser for export to Preliminary Results of Antidumping and, (3) it agreed to immediate the United States. Because HZC/H&F Duty Administrative Review 67 10363 reinstatement under the order if the sold the subject merchandise to (March 7, 2002); and Mechanical Department determines that, subsequent unaffiliated trading companies in Japan Transfer Presses from Japan: Final to revocation, it has sold the subject prior to importation into the United Results of Antidumping Duty merchandise at less than NV. States, we have treated HZC/H&F’s sales Administrative Review and Revocation, as EP sales for purposes of these in-Part 67 FR 35958 (May 22, 2002). Although HZC/H&F received zero preliminary results. We calculated EP margins in the two preceding reviews, Accordingly, we are using CV as the for HZC/H&F based on the packed, basis for NV for HZC/H&F, in based upon our finding that HZC/H&F freight-prepaid price to the U.S. sold subject merchandise at less than accordance with section 773(a)(4) of the customer. We made deductions from the Act. CV consists of direct materials, NV in this review, HZC/H&F has not starting price for foreign inland freight, direct labor, variable overhead, fixed demonstrated three consecutive years of foreign inland insurance, foreign overhead (yielding total cost of sales in commercial quantities at not brokerage and handling, international manufacturing), plus selling, general less than NV. Therefore, the Department freight, marine insurance, U.S. inland and administrative expenses, net preliminarily determines that partial freight, U.S. inland brokerage and interest expense, profit, and U.S. revocation of the order with respect to handling, and installation supervision packing expenses. We subtracted home HZC/H&F is not warranted. expenses, in accordance with section market direct selling expenses 772(c)(2) of the Act. Normal Value Comparisons (warranties and credit). We added to CV Normal Value amounts for direct selling expenses To determine whether respondents’ While the home market is viable, in (warranties and credit) for merchandise exports of the subject merchandise to accordance with precedent in this case, exported to the United States. the United States were made at less than we have determined that constructed Preliminary Results of Review NV, we compared EP to NV, as value (CV) is appropriate as the basis for described in the ‘‘Export Price’’ and NV. See Mechanical Transfer Presses We preliminarily determine that the ‘‘Normal Value’’ sections of this notice. from Japan: Preliminary Results of following dumping margin exists:

Margin Manufacturer/Exporter Time Period (percent)

Hitachi Zosen Corporation/ ...... 02/01/00–01/31/01 1.54 Hitachi Zosen Fukui Corporation.

Assessment Rates previously reviewed or investigated the proceeding any calculations companies not listed above, the cash performed in connection with these The Department shall determine, and deposit rate will be the company- preliminary results within five days CBP shall assess, antidumping duties on specific rate established for the most after the date of publication of this all appropriate entries. For HZC/H&F recent period; (3) if the exporter is not notice. Pursuant to section 351.309 of the assessment rate will be based on the a firm covered in this review, a prior the Department’s regulations, interested margin above. The Department will review, or the less-than-fair-value parties may submit written comments in issue appropriate appraisement (LTFV) investigation, but the response to these preliminary results. instructions directly to CBP within 15 manufacturer is, the cash deposit rate Case briefs are to be submitted within days of publication of the final results will be the rate established for the most 30 days after the date of publication of of review. We will direct CBP to assess recent period for the exporters of this this notice, and rebuttal briefs, limited the resulting assessment rates against merchandise, the cash deposit rate shall to arguments raised in case briefs, are to the entered customs values for the be the ‘‘all others’’ rate established in be submitted no later than five days subject merchandise on each of the the less than fair value investigation, after the time limit for filing case briefs. entries during the period of review. which is 14.51 percent. See Final Parties who submit arguments in this Cash Deposit Requirements Determination of Sales at Less Than proceeding are requested to submit with Fair Value: Mechanical Transfer Presses the argument: (1) a statement of the The following deposit rates will be from Japan 55 FR 335 (January 4, 1990). issues, and (2) a brief summary of the effective with respect to all shipments of These deposit rates, when imposed, argument. Case and rebuttal briefs must MTPs from Japan entered, or withdrawn shall remain in effect until the be served on interested parties in from warehouse, for consumption on or publication of the next administrative accordance with section 351.303(f) of after the publication date of the final review. the Department’s regulations. Also, results as provided for by section pursuant to section 351.310 of the 751(a)(2)(c) of the Act. (1) For HZC/ Public Comment Department’s regulations, within 30 H&F, the cash deposit rate will be the Pursuant to section 351.224(b) of the days of the date of publication of this company-specific rate established in the Department’s regulations, the notice, interested parties may request a final results of this review; (2) for Department will disclose to parties to public hearing on arguments to be

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raised in the case and rebuttal briefs. Commerce is conducting an review of Himalya. In addition, Flex Unless the Secretary specifies administrative review of the Foods reported that it had no sales of otherwise, the hearing, if requested, will antidumping duty order on certain the subject merchandise during the be held two days after the date for preserved mushrooms from India with POR, which we confirmed by reviewing submission of rebuttal briefs. Parties respect to five companies. The period of data from Customs and Border will be notified of the time and location. review is February 1, 2002, through Protection (CBP) (see Memorandum to The Department will publish the final January 31, 2003. the File dated June 6, 2003). results of this administrative review, We preliminarily determine that sales Accordingly, we published a Notice of including the results of its analysis of have been made below normal value. Partial Rescission of Antidumping Duty issues raised in any case or rebuttal Interested parties are invited to Administrative Review with respect to brief, not later than 120 days after comment on these preliminary results. If Alpine Biotech, Mandeep Mushrooms, publication of these preliminary results, these preliminary results are adopted in Flex Foods, and Himalya on August 18, unless extended. our final results of administrative 2003 (68 FR 49435). While Saptarishi review, we will instruct Customs and Agro withdrew its request for a review Notice to Importers Border Protection to assess antidumping on May 13, 2003, the petitioner did not This notice serves as a preliminary duties on all appropriate entries. withdraw its request for a review of this reminder to importers of their EFFECTIVE DATE: March 8, 2004. company, therefore, we did not rescind responsibility under section 351.402(f) the review with respect to Saptarishi FOR FURTHER INFORMATION CONTACT: of the Department’s regulations to file a Agro. David J. Goldberger or Kate Johnson, certificate regarding the reimbursement We received responses to the original Office 2, AD/CVD Enforcement Group I, of antidumping duties prior to questionnaire during the period May Import Administration–Room B099, liquidation of the relevant entries through July 2003 from Agro Dutch, International Trade Administration, during this review period. Failure to Premier, and Weikfield. We issued U.S. Department of Commerce, 14th comply with this requirement could supplemental questionnaires in July, Street and Constitution Avenue, NW., result in the Secretary’s presumption September, and October 2003, and Washington, DC 20230; telephone: (202) that reimbursement of antidumping received responses from these 482–4136 or (202) 482–4929, duties occurred and the subsequent companies during the period August respectively. assessment of double antidumping through October 2003. We did not duties. SUPPLEMENTARY INFORMATION: receive a response from either Dinesh Agro or Saptarishi Agro. This administrative review and notice Background are issued in accordance with sections On June 6, 2003, the petitioner made 751(a)(1) and 777(i)(1) of the Act (19 On February 19, 1999, the Department an allegation that Agro Dutch sold U.S.C. § 1675(a)(1) and 19 U.S.C published in the Federal Register an certain preserved mushrooms in its 1677f(i)(1)). amended final determination and third country market at prices below the antidumping duty order on certain COP. On July 8, 2003, the Department Dated: March 1, 2004. preserved mushrooms from India (64 FR initiated a cost investigation of Agro James J. Jochum, 8311). Dutch’s third country sales (see Assistant Secretary for Import In response to timely requests by Petitioners’ Allegation of Sales Below Administration. three manufacturers/exporters, Agro the Cost of Production for Agro Dutch, [FR Doc. 04–5139 Filed 3–5–04; 8:45 am] Dutch Foods Ltd. (Agro Dutch), Memorandum to the File dated July 8, BILLING CODE 3510–DS–S Saptarishi Agro Industries, Ltd. 2003 (Agro Dutch COP Initiation (Saptarishi Agro), and Weikfield Agro Memo). Products, Ltd. (Weikfield), as well as the On July 15, 2003, the petitioner made DEPARTMENT OF COMMERCE petitioner, the Department published a an allegation that Premier sold certain notice of initiation of an administrative preserved mushrooms in its home International Trade Administration review with respect to the following market at prices below the COP. On companies: Agro Dutch, Alpine Biotech, August 1, 2003, the Department A–533–813 Ltd. (Alpine Biotech), Dinesh Agro initiated a cost investigation of Certain Preserved Mushrooms from Products, Ltd. (Dinesh Agro), Flex Premier’s home market sales (see India: Preliminary Results of Foods, Ltd. (Flex Foods), Himalya Petitioners’ Allegation of Sales Below Antidumping Duty Administrative International, Ltd. (Himalya), Mandeep the Cost of Production for Premier, Review Mushrooms, Ltd. (Mandeep Memorandum to the File dated August Mushrooms), Premier Mushroom Farms 1, 2003 (Premier COP Initiation Memo)). AGENCY: Import Administration, (Premier), Saptarishi Agro, and On October 3, 2003, the Department International Trade Administration, Weikfield (68 FR 14399, March 25, extended the time limit for the Department of Commerce. 2003). The period of review (POR) is preliminary results in this review until ACTION: Notice of preliminary results of February 1, 2002, through January 31, March 1, 2004. See Certain Preserved antidumping duty administrative 2003. Mushrooms from India and the People’s review. On March 28, 2002, the Department Republic of China: Notice of Extension issued antidumping duty questionnaires of Time Limit for Preliminary Results in SUMMARY: In response to timely requests to the above–mentioned companies. On Antidumping Duty Administrative by three manufacturers/exporters and April 7, 2003, the petitioner timely Reviews and New Shipper Review, 68 the petitioner,1 the Department of withdrew its request for review with FR 57424. respect to Alpine Biotech and Mandeep In November 2003, we conducted on– 1 The petitioner is the Coalition for Fair Preserved Mushrooms, and on July 14, 2003, the site verifications of Premier’s and Mushroom Trade which includes the American Weikfield’s questionnaire responses, in Mushroom Institute and the following domestic petitioner withdrew its request for companies: L.K. Bowman, Inc., Modern Mushroom accordance with 19 CFR 351.307. The Farms, Inc., Monterey Mushrooms, Inc., Mount Company, Southwood Farms, Sunny Dell Foods, results of these verifications are Laurel Canning Corp., Mushrooms Canning Inc., and United Canning Corp. described in Sales and Cost of

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Production Verification in United States2 (HTS). Although the HTS ensure that the party does not obtain a Secunderabad, India of Premier subheadings are provided for more favorable result by failing to Mushroom Farms, Memorandum to the convenience and customs purposes, our cooperate than if it had cooperated File dated January 23, 2004 (Premier written description of the scope of this fully.’’ See Statement of Administrative Verification Report), and Sales and Cost order dispositive. Action (SAA) accompanying the URAA, of Production Verification in Pune, H.R. Doc. No. 103–316, at 870 (1994). Use of Facts Available India of Weikfield Agro Products, Ltd, Furthermore, ‘‘an affirmative finding of Memorandum to the File dated As noted above in the ‘‘Background’’ bad faith on the part of the respondent December 23, 2003 (Weikfield section, neither Dinesh Agro nor is not required before the Department Verification Report). Saptarishi Agro submitted a response to may make an adverse inference.’’ See the Department’s antidumping Antidumping Duties; Countervailing As instructed by the Department, questionnaire. Because of Dinesh Agro’s Duties: Final Rule, 62 FR 27296, 27340 Weikfield and Premier submitted and Saptarishi Agro’s refusal to (May 19, 1997). revised U.S. and home market sales data cooperate in this review, we determine Section 776(b) of the Act authorizes pursuant to verification findings on that the application of facts available is the Department to use as adverse facts January 20, 2004, and February 6, 2004, appropriate, pursuant to section available information derived from the respectively. 776(a)(2) of the Tariff Act of 1930 (the petition, the final determination from On February 12, 2004, the petitioner Act). the less–than-fair–value (LTFV) submitted comments on Premier and Section 776(a)(2) of the Act provides investigation, a previous administrative Weikfield for purposes of the that ‘‘if an interested party or any other review, or any other information placed preliminary results. The petitioner person (A) withholds information that on the record. Under section 782(c) of submitted comments on Agro Dutch on has been requested by the administering the Act, a respondent has a February 13, 2004. authority; (B) fails to provide such responsibility not only to notify the information by the deadlines for the Department if it is unable to provide Scope of the Order submission of the information or in the requested information, but also to provide a ‘‘full explanation and The products covered by this order form and manner requested, subject to suggested alternative forms.’’ Neither are certain preserved mushrooms, subsections (c)(1) and (e) of section 782; company responded to the Department’s whether imported whole, sliced, diced, (C) significantly impedes a proceeding request for information, thereby failing or as stems and pieces. The preserved under this title; or (D) provides such to comply with this provision of the mushrooms covered under this order are information but the information cannot be verified as provided in section 782(i), statute. Therefore, we determine that the species Agaricus bisporus and Dinesh Agro and Saptarishi Agro failed Agaricus bitorquis. ‘‘Preserved the administering authority shall, subject to section 782(d), use the facts to cooperate to the best of their ability, mushrooms’’ refer to mushrooms that making the use of an adverse inference have been prepared or preserved by otherwise available in reaching the applicable determination under this appropriate. cleaning, blanching, and sometimes In this proceeding, consistent with slicing or cutting. These mushrooms are title.’’ Because these two companies refused Department practice (see, e.g., then packed and heated in containers Rescission of Second New Shipper including but not limited to cans or to participate in this administrative review, we find that, in accordance with Review and Final Results and Partial glass jars in a suitable liquid medium, Rescission of First Antidumping Duty including but not limited to water, sections 776(a)(2)(A), (B), and (C) of the Act, the use of total facts available is Administrative Review Brake Rotors brine, butter or butter sauce. Preserved From the People’s Republic of China, 64 appropriate (see, e.g., Final Results of mushrooms may be imported whole, FR 61581, 61584 (November 12, 1999), Antidumping Duty Administrative sliced, diced, or as stems and pieces. as adverse facts available, we have Review for Two Manufacturers/ Included within the scope of this order preliminarily assigned to exports of the Exporters: Certain Preserved are ‘‘brined’’ mushrooms, which are subject merchandise produced by Mushrooms from the People’s Republic presalted and packed in a heavy salt Dinesh Agro and Saptarishi Agro the of China, 65 FR 50183, 50184 (August solution to provisionally preserve them rate of 66.24 percent, the highest rate 17, 2000) (for a more detailed for further processing. calculated for any cooperative discussion, see Preliminary Results of respondent in the original LTFV Excluded from the scope of this order Antidumping Duty Administrative are the following: (1) All other species investigation or the three previous Review for Two Manufacturers/ administrative reviews. The rates of mushroom, including straw Exporters: Certain Preserved mushrooms; (2) all fresh and chilled assigned to respondents in the previous Mushrooms from the People’s Republic segments of the proceeding range from mushrooms, including ‘‘refrigerated’’ or of China, 65 FR 40609, 40610–40611 ‘‘quick blanched mushrooms’’; (3) dried de minimis for cooperative respondents (June 30, 2000)). to a petition rate of 243.87 percent for mushrooms; (4) frozen mushrooms; and Section 776(b) of the Act provides (5) ‘‘marinated,’’ ‘‘acidified’’ or non–cooperative respondents. The that, if the Department finds that an Department’s practice when selecting an ‘‘pickled’’ mushrooms, which are interested party ‘‘has failed to cooperate prepared or preserved by means of adverse rate from among the possible by not acting to the best of its ability to sources of information is to ensure that vinegar or acetic acid, but may contain comply with a request for information,’’ oil or other additives. the margin is sufficiently adverse ‘‘as to the Department may use information effectuate the purpose of the facts The merchandise subject to this order that is adverse to the interests of the available rule to induce respondents to is currently classifiable under party as facts otherwise available. provide the Department with complete subheadings: 2003.10.0127, Adverse inferences are appropriate ‘‘to and accurate information in a timely 2003.10.0131, 2003.10.0137, manner.’’ See Final Determination of 2003.10.0143, 2003.10.0147, 2 Prior to January 1, 2002, the HTS codes were as follows: 2003.10.0027, 2003.10.0031, Sales at Less than Fair Value: Static 2003.10.0153 and 0711.51.0000 of the 2003.10.0037, 2003.10.0043, 2003.10.0047, Random Access Memory Harmonized Tariff Schedule of the 2003.10.0053, and 0711.90.4000. Semiconductors from Taiwan, 63 FR

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8909, 8932 (February 23, 1998). currently applicable to Saptarishi Agro. Saptarishi Agro on all of their sales, Consistent with the previous Accordingly, we determine that this rate based on adverse facts available, administrative reviews, we find the is an appropriate rate to be applied in because neither company responded to application of a rate of 66.24 percent to this review to exports of the subject the Department’s questionnaire. Dinesh Agro and Saptarishi Agro to be merchandise produced by Dinesh Agro Fair Value Comparisons sufficiently adverse in this case. Section and Saptarishi Agro as facts otherwise 776(c) of the Act provides that where available. To determine whether sales of certain the Department selects from among the preserved mushrooms by the Duty Absorption facts otherwise available and relies on respondents to the United States were ‘‘secondary information,’’ the On February 28, 2003, the petitioner made at less than NV, we compared Department shall, to the extent requested that the Department export price (EP), as appropriate, to the practicable, corroborate that information determine whether antidumping duties NV, as described in the ‘‘Export Price’’ from independent sources reasonably at had been absorbed during the POR. and ‘‘Normal Value’’ sections of this the Department’s disposal. Secondary Section 751(a)(4) of the Act provides for notice. information is described in the SAA as the Department, if requested, to Pursuant to section 777A(d)(2) of the ‘‘●ibnformation derived from the determine during an administrative Act, we compared the EPs of individual petition that gave rise to the review initiated two or four years after U.S. transactions to the weighted– investigation or review, the final the publication of the order, whether average NV of the foreign like product determination concerning the subject antidumping duties have been absorbed where there were sales made in the merchandise, or any previous review by a foreign producer or exporter, if the ordinary course of trade, as discussed in under section 751 concerning the subject merchandise is sold in the the ‘‘Cost of Production Analysis’’ subject merchandise.’’ See SAA at 870 United States through an affiliated section below. and 19 CFR 351.308(c)(1). The SAA importer. Because this review was Product Comparisons states that ‘‘corroborate’’ means to initiated four years after the publication determine that the information used has of the order, and Agro Dutch, Premier, In accordance with section 771(16) of probative value (id.). To corroborate and Weikfield acted as importer of the Act, we considered all products secondary information, the Department record for some or all of their U.S. sales, produced by the respondents covered by will, to the extent practicable, examine we must make a duty absorption the description in the ‘‘Scope of the the reliability and relevance of the determination in this segment of the Order’’ section, above, to be foreign like information to be used. See 19 CFR proceeding within the meaning of products for purposes of determining 351.308(d). section 751(a)(4) of the Act. appropriate product comparisons to Unlike other types of information, On September 30, 2003, the U.S. sales. We compared U.S. sales to such as input costs or selling expenses, Department requested evidence from the sales made in the home market (Premier there are no independent sources from respondents that unaffiliated purchasers and Weikfield) or third country market which the Department can derive will ultimately pay the antidumping (Agro Dutch) within the calculated dumping margins; the only duties to be assessed on entries during contemporaneous window period, source for margins is administrative the review period. In determining which extends from three months prior determinations. In a previous segment whether the antidumping duties have to the U.S. sale until two months after of this proceeding, the Department been absorbed by the respondents the sale. Where there were no sales of determined that the petition rate of during the POR on sales for which they identical merchandise in the 243.87 percent could not be were importer of record, we presume comparison market made in the corroborated and thus no longer had that the duties will be absorbed for ordinary course of trade to compare to probative value for use as an adverse those sales that have been made at less U.S. sales, we compared U.S. sales to facts available rate with respect to than normal value (NV). This sales of the most similar foreign like Saptarishi Agro. We found that the next presumption can be rebutted with product made in the ordinary course of highest rate, the calculated rate of 66.24 evidence (e.g., an agreement between trade. In making the product percent from a respondent in a previous the respondent/importer and comparisons, we matched foreign like review, was sufficiently adverse and unaffiliated purchaser) that the products based on the physical that there was no impediment for its unaffiliated purchaser will pay the full characteristics reported by the application to Saptarishi Agro in that duty ultimately assessed on the subject respondents in the following order: review. See Notice of Final Results of merchandise. None of the respondents preservation method, container type, Administrative Review: Certain responded to the Department’s request mushroom style, weight, grade, Preserved Mushrooms from India 67 FR for information. Accordingly, based on container solution, and label type. 46172 (July 12, 2002), and the record, we cannot conclude that the Agro Dutch reported grade accompanying Issues and Decision unaffiliated purchaser in the United characteristics for its sales that departed Memorandum at Comment 8. States will pay the ultimately assessed from the criteria reported in previous We preliminarily determine that the duty. Therefore, we preliminarily find reviews or by other respondents. Based calculated margin of 66.24 percent that antidumping duties have been on the explanations at pages 6 - 8 of the selected, as adverse facts available, is absorbed by the producer or exporter August 6, 2003, supplemental relevant, reliable, and has probative during the POR on those sales for which questionnaire response, we are not value because it is based on verified the respondent was the importer of persuaded that a departure from the data from a respondent in a previous record. Premier was the importer of methodology established throughout administrative review. Furthermore, record for all of its sales to the United this proceeding is warranted as Agro although this margin is the highest in States, while Agro Dutch was the Dutch failed to demonstrate any the range of calculated margins, there is importer of record for 79.4 percent of its meaningful differences in physical no basis to conclude that it is U.S. sales, and Weikfield was the characteristics to require five rather than aberrational or is inappropriate as importer of record for 71.7 percent of its three grade designations. Further, we applied to Dinesh Agro and Saptarishi U.S. sales. In addition, we find duty note that some of the grade differences Agro. The rate used is also the rate absorption for both Dinesh Agro and claimed by Agro Dutch are already

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defined by the mushroom style merchandise, in accordance with starting prices before any adjustments. characteristic. Therefore, we have section 773(a)(1)(C) of the Act. For CEP sales, we consider only the reclassified the products reported by With regard to Premier and Weikfield, selling activities reflected in the price Agro Dutch and reassigned product the aggregate volume of home market after the deduction of expenses and control numbers (CONNUMs) according sales of the foreign like product was profit under section 772(d) of the Act. to the methodology set forth in our greater than five percent of the aggregate See Micron Technology, Inc. v. United questionnaire. See Agro Dutch volume of U.S. sales of the subject States, 243 F. 3d 1301, 1314–1315 (Fed. Preliminary Results Notes and Margin merchandise. Therefore, we determined Cir. 2001). Calculation, Memorandum to the File that the home market provides a viable When the Department is unable to dated March 1, 2004, (Agro Dutch basis for calculating NV for Premier and match U.S. sales to sales of the foreign Memo) for a further discussion. Weikfield. like product in the comparison market With regard to Agro Dutch, we Export Price at the same LOT as the EP or CEP, the determined that the home market was Department may compare the U.S. sale For Agro Dutch, Premier, and not viable because Agro Dutch’s to sales at a different LOT in the Weikfield, we used EP methodology, in aggregate volume of home market sales comparison market. In comparing EP or accordance with section 772(a) of the of the foreign like product was less than CEP sales at a different LOT in the Act, because the subject merchandise five percent of its aggregate volume of comparison market, where available was sold directly by the producer/ U.S. sales of the subject merchandise. data make it practicable, we make a LOT exporter in India to the first unaffiliated However, we determined that the third adjustment under section 773(a)(7)(A) of purchaser in the United States prior to country market of Israel was viable, in the Act. Finally, for CEP sales only, if importation and CEP methodology was accordance with section 773(a)(1)(B)(ii) an NV LOT is more remote from the not otherwise indicated. We based EP of the Act. Therefore, pursuant to factory than the CEP LOT and there is on packed prices to unaffiliated section 773(a)(1)(C) of the Act, we have no basis for determining whether the purchasers in the United States. used third country sales as a basis for difference in LOTs between NV and CEP NV for Agro Dutch. However, in certain Agro Dutch affects price comparability (i.e., no LOT cases, Agro Dutch did not have sales of adjustment was practicable), the Agro Dutch reported its U.S. sales as comparable merchandise to Israel that Department shall grant a CEP offset, as sold on an FOB, C&F, or CIF basis. We were contemporaneous with sales to the provided in section 773(a)(7)(B) of the made deductions from the starting price, United States. In those instances, we Act. See Plate from South Africa at where appropriate, for foreign inland calculated NV based on constructed 61731. We obtained information from freight, freight document charges, value (CV) in accordance with section the respondents regarding the marketing transportation insurance, foreign 773(e) of the Act 19 CFR 351.405. stages involved in making the reported brokerage and handling, Indian export Level of Trade foreign market and U.S. sales, including duty (CESS), and international freight in Section 773(a)(1)(B)(i) of the Act a description of the selling activities accordance with section 772(c)(2) of the states that, to the extent practicable, the performed for each channel of Act and 19 CFR 351.402. Department will calculate NV based on distribution. Company–specific LOT Premier sales at the same level of trade (LOT) as findings are summarized below. the EP or CEP. Sales are made at Agro Dutch Premier reported its U.S. sales as sold different LOTs if they are made at on an FOB Hyderabad basis. We made different marketing stages (or their Agro Dutch sold to importers/traders a deduction from the starting price, equivalent). See 19 CFR 351.412(c)(2). through one channel of distribution in where appropriate, for brokerage and Substantial differences in selling both the U.S. and Israeli markets. As handling expenses, in accordance with activities are a necessary, but not described in its questionnaire response, section 772(c)(2) of the Act and 19 CFR sufficient, condition for determining Agro Dutch performs no selling 351.402. that there is a difference in the stages of functions in the United States or in any Weikfield marketing (id.); see also Notice of Final of the third countries to which it sells, Determination of Sales at Less Than including Israel. Therefore, these sales Weikfield reported its U.S. sales as Fair Value: Certain Cut–to-Length channels are at the same LOT. sold on a FOB port Mumbai, delivered Carbon Steel Plate From South Africa Accordingly, all comparisons are at the duty paid, or C&F basis. We made (Plate from South Africa) 62 FR 61731, same LOT for Agro Dutch and an deductions from the starting price, 61732 (November 19, 1997). In order to adjustment pursuant to section where appropriate, for foreign inland determine whether the comparison sales 773(a)(7)(A) is not warranted. freight, export inspection fees, foreign were at different stages in the marketing Premier inland and marine insurance, foreign process than the U.S. sales, we reviewed brokerage and handling expenses, CESS, the distribution system in each market In the home market, Premier sold international freight, and U.S. duty (i.e., the ‘‘chain of distribution’’), directly to small local distributors that (including U.S. brokerage and handling including selling functions, class of sell to retailers or local hotels. We expenses) in accordance with section customer (‘‘customer category’’), and the examined Premier’s home market 772(c)(2) of the Act and 19 CFR 351.402. level of selling expenses for each type distribution system, including selling Normal Value of sale. functions, classes of customers, and Pursuant to section 773(a)(1)(B)(i) of selling expenses, and determined that In order to determine whether there the Act, in identifying levels of trade for Premier offers the same support and was a sufficient volume of sales in the EP and comparison market sales (i.e., assistance to all its home market home market to serve as a viable basis NV based on either home market or customers. Accordingly, all of Premier’s for calculating NV, we compared the third country prices3), we consider the home market sales are made through the respondents’ volume of home market sales of the foreign like product to the 3 Where NV is based on CV, we determine the we derive selling expenses and profit for CV, where volume of U.S. sales of the subject NV LOT based on the LOT of the sales from which possible.

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same channel of distribution and Weikfield’s U.S. distribution system, expenses, interest expense, and all constitute one LOT. including selling functions, classes of expenses incidental to placing the With regard to sales to the United customers, and selling expenses, and foreign like product in a condition States, Premier made only EP sales to determined that Weikfield offers the packed ready for shipment in large distributors. We examined same support and assistance to all its accordance with section 773(b)(3) of the Premier’s U.S. distribution system, U.S. customers. Accordingly, all of Act. including selling functions, classes of Weikfield’s U.S. sales are made through We relied on the COP information customers, and selling expenses, and the same channel of distribution and submitted by Agro Dutch, Premier, and determined that Premier offers the same constitute one LOT. Weikfield, except for the following support and assistance to all its U.S. We compared the EP LOT to the home adjustments: customers. Accordingly, all of Premier’s market LOT and concluded that the U.S. sales are made through the same selling functions performed for home Premier channel of distribution and constitute market customers are sufficiently 1. We included certain expenses which one LOT. This EP LOT differed similar to those performed for U.S. were omitted from variable overhead considerably from the home market LOT customers because the same services are expenses, as discussed at page 16 of the with respect to sales process, offered in both markets. Apart from the Premier Verification Report. advertising, and inventory maintenance. promotion activities conducted by 2. We revised the per–kilogram fixed Consequently, we could not match the WPCL on Weikfield’s behalf in the overhead cost to correct errors in EP LOT to sales at the same LOT in the home market which are not extensive, allocating shared depreciation expenses, home market. Since there was only one as discussed above, Weikfield does not as discussed at page 17 of the Premier LOT in the home market, there was no perform different selling activities in Verification Report. pattern of consistent price differences either the U.S. or home markets. 3. We revised the reported labor between different LOTs in the home Weikfield’s selling activities undertaken expense to account for the reallocation market, and we do not have any other in both markets are limited to of labor expenses to head office and information that provides an responding to infrequent product sales employees, as discussed at page 15 appropriate basis for determining a LOT complaints and, in the home market, of the Premier Verification Report, and adjustment. Accordingly, we have not arranging for domestic freight on certain to fully account for certain year–end made a LOT adjustment. See section sales. Accordingly, we consider the EP adjustments to the reported cost of 773(a)(7)(A) of the Act. and home market LOTs to be the same. manufacture, as discussed at pages 6 Consequently, we are comparing EP and 15 of the Premier Verification Weikfield sales to sales at the same LOT in the Report. Weikfield’s home market sales are home market. 4. We revised the financial expense ratio made via two channels of distribution: by excluding bank charges from the a) direct sales to large quantity end– Cost of Production Analysis numerator of the calculation, as users, and b) sales to distributors and As stated in the ‘‘Background’’ section discussed at page 23 of the Premier ‘‘carrying and forwarding’’ (C&F) agents, of this notice, based on timely Verification Report. which either resell the merchandise to allegations filed by the petitioner, the 5. We revised the G&A expenses to small quantity end–users, or act as Department initiated investigations to account for changes in the G&A expense Weikfield’s agent in selling and determine whether Agro Dutch’s third ratio due to the reallocation of a portion distributing the merchandise to small country sales and Premier’s home of labor expenses made at the quantity end–users. We examined market sales were made at prices less commencement of verification, as Weikfield’s home market distribution than the COP within the meaning of discussed at page 22 of the Premier system, including selling functions, section 773(b) of the Act. See Agro Verification Report. classes of customers, and selling Dutch COP Initiation Memo and Premier Weikfield expenses, and determined that COP Initiation Memo. Weikfield offers the same support and In addition, the Department 1. We revised the reported direct assistance to all its home market disregarded certain sales made by material costs to include an offset for customers except with respect to sales Weikfield in the 2001–2002 sales of spent compost recorded as promotion activities. In the Indian states administrative review, pursuant to ‘‘other income,’’ as discussed at page 12 of Maharashtra and Goa, Weikfield’s findings in that review that sales failed of the Weikfield Verification Report. affiliate WPCL includes Weikfield’s the cost test (see Notice of Final Results 2. We revised the reported factory preserved mushrooms products in its of Antidumping Duty Administrative overhead expenses costs to reflect the market development activities to Review: Certain Preserved Mushrooms revised depreciation expenses presented promote sales. from India, 68 FR 41303 (July 11, 2003). at the commencement of the verification With respect to such functions as Thus, in accordance with section and submitted for the record in the sales negotiation, freight and 773(b)(2)(A)(ii) of the Act, there are December 2, 2003, submission. distribution services, and inventory reasonable grounds to believe or suspect 3. We revised the reported G&A expense maintenance, the two channels involve that Weikfield made sales in the home to reflect the corrected ratio presented at the same services performed by market at prices below the cost of the commencement of the verification Weikfield. With respect to sales producing the merchandise in the and submitted for the record in the promotion activities, the level of sales current review period. December 2, 2003, submission. In promotion activities performed by addition, we added the depreciation WPCL are not so extensive as to A. Calculation of Cost of Production costs for ‘‘idled assets’’ excluded from constitute a separate LOT. Accordingly, We calculated the COP on a product– Weikfield’s reporting, as discussed at we consider all of Weikfield’s home specific basis, based on the sum of each page 15 of the Weikfield Verification market sales to constitute one LOT. company’s respective costs of materials Report, to the G&A expense total, With regard to sales to the United and fabrication for the foreign like consistent with our treatment of these States, Weikfield made only EP sales to product, plus amounts for selling, expenses in the previous review (see importers/traders. We examined general and administrative (SG&A) Final Results of Antidumping Duty

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Administrative Review: Certain The results of our cost tests for Agro large portion of these sales were resold Preserved Mushrooms From India, 68 Dutch and Premier indicated that for to third country markets other than FR 41303 (July 11, 2003) (AR3 Final certain products more than 20 percent Israel. See page 15 and Exhibit Supp. C– Results), Issues and Decision of home market sales within an 1 of Agro Dutch’s August 6, 2003, Memorandum at Comment 10). See extended period of time were at prices supplemental questionnaire response, Weikfield Preliminary Results Notes and below COP which would not permit the and Agro Dutch’s December 15, 2003, Margin Calculation, Memorandum to full recovery of all costs within a letter. To account for these expenses, we the File dated March 1, 2004, for a reasonable period of time. See 773(b)(2) included the expenses incurred to ship further discussion of these adjustments. of the Act. In accordance with section the rejected sales to the United States as 773(b)(1) of the Act, we excluded these an indirect selling expense for U.S. B. Test of Home or Third Country below–cost sales from our analysis and Market Prices sales. In addition, we also included as used the remaining sales as the basis for an indirect selling expense for U.S. sales For all three companies, on a determining NV. the expenses incurred to return the product–specific basis, we compared Price–to-Price Comparisons rejected sales to India, less an amount the weighted–average COP to the prices for merchandise resold to third country For Agro Dutch, Premier and of home market or third country market customers. See Agro Dutch Memo, for a Weikfield, we based NV on the price at sales of the foreign like product, as further discussion of these expenses. required by section 773(b) of the Act, in which the foreign like product is first sold for consumption in the home We recalculated Premier’s indirect order to determine whether these sales selling expenses to include certain sales were made at prices below the COP. For market or third country market, in the expenses incorrectly included in labor purposes of this comparison, we used usual commercial quantities and in the and G&A. See Premier Verification COP exclusive of selling and packing ordinary course of trade, and at the Report at page 26. expenses. The prices (inclusive of same LOT as EP, as defined by section interest revenue, where appropriate) 773(a)(1)(B)(i) of the Act. Consistent with our treatment in the Home market or third country prices were exclusive of any applicable previous review, we have not were based on ex–Hyderabad, FOB movement charges, discounts, direct considered Weikfield’s commission Indian port, or delivered prices. We payments to WPCL on home market and and indirect selling expenses and reduced the starting price for discounts packing expenses, revised where U.S. sales to be at arm’s length, and (Weikfield), credit notes (Premier), and instead have included the selling appropriate as discussed below under movement expenses (Agro Dutch, ‘‘Price–to-Price Comparisons.’’ In expenses incurred by WPCL on Premier and Weikfield), and increased Weikfield’s behalf as part of Weikfield’s determining whether to disregard home the starting price for interest revenue indirect selling expenses. See AR3 Final market sales made at prices less than (Premier), where appropriate, in Results, Issues and Decision their COP, we examined, in accordance accordance with section 773(a)(6) of the Memorandum at Comments 4 and 7. with sections 773(b)(1)(A) and (B) of the Act and 19 CFR 351.401. We treated Act, whether such sales were made: (1) Premier’s discounts as commissions. As discussed at page 22 of the within an extended period of time, (2) See Memorandum to the File dated Weikfield Verification Report, Weikfield in substantial quantities; and (3) at March 1, 2004, Preliminary Results was unable to demonstrate that it prices which did not permit the Calculation Memorandum for Premier actually incurred a freight expense on recovery of all costs within a reasonable Mushroom Farms (Premier). We also sales made to customers near its period of time. reduced the starting price for packing production facility. Sales to these C. Results of COP Test costs incurred in the home market, in customers were shipped either by accordance with section 773(a)(6)(B)(i), Weikfield’s own trucks, or by local Pursuant to section 773(b)(2)(C) of the and increased NV to account for U.S. contractors for whom no payment Act, where less than 20 percent of a packing expenses in accordance with records were maintained. Therefore, we respondent’s sales of a given product section 773(a)(6)(A). We made did not deduct movement expenses were at prices less than the COP, we did circumstance–of-sale adjustments for from the starting price for these sales. not disregard any below–cost sales of credit expenses, bank fees, and We recalculated Weikfield’s home that product because we determined commissions, where appropriate, that the below–cost sales were not made market imputed credit expense based on pursuant to section 773(a)(6)(C)(iii) of the methodology used in its in ‘‘substantial quantities.’’ Where 20 the Act and 19 CFR 351.410. In percent or more of a respondent’s sales questionnaire response to account for addition, we made adjustments to NV, revisions to prices, discounts and of a given product during the POR were where appropriate, for differences in payment dates made to the sales data at prices less than the COP, we costs attributable to differences in the base as a result of verification findings, disregarded the below–cost sales physical characteristics of the and to deduct freight expenses from the because we determined that they merchandise, pursuant to section price base for sales made on a freight– represented ‘‘substantial quantities’’ 773(a)(6)(C)(ii) of the Act and 19 CFR collect basis, where the cost of freight within an extended period of time, and 351.411. For Premier and Weikfield, we was deducted on the invoice, but not were at prices which would not permit made an adjustment to NV to account from the price base used to calculate the recovery of all costs within a for commissions paid in the home imputed credit. reasonable period of time, in accordance market but not in the U.S. market, in with section 773(b)(1) of the Act. accordance with 19 CFR 351.410(e). As To calculate U.S. indirect selling The results of our cost test for the offset for home market commissions, expenses, we used the U.S. indirect Weikfield indicated that less than 20 we applied the lesser of home market selling expense ratio Weikfield percent of home market sales of any commissions or U.S. indirect selling calculated at verification because given product were at prices below expenses. Weikfield did not include a U.S. COP. We therefore retained all sales in During the POR, a number of Agro indirect selling expense in its reported our analysis and used them as the basis Dutch’s shipments to the United States sales listing. See Weikfield Verification for determining NV. were rejected and returned to India. A Report at page 29.

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Calculation of Constructed Value after determination of the briefing aggregating the dumping margins We calculated CV in accordance with schedule. calculated for all of the U.S. sales section 773(e) of the Act, which Interested parties who wish to request examined and dividing this amount by indicates that CV shall be based on the a hearing or to participate if one is the total entered value of the sales sum of each respondent’s cost of requested, must submit a written examined. materials and fabrication for the subject request to the Assistant Secretary for The Department will issue Import Administration, Room B–099, appropriate appraisement instructions merchandise, plus amounts for SG&A within 30 days of the date of publication directly to CBP upon completion of this expenses, profit and U.S. packing costs. of this notice. Requests should contain: review. We will instruct CBP to assess We relied on the submitted CV (1) the party’s name, address and antidumping duties on all appropriate information except for the following telephone number; (2) the number of entries covered by this review if any adjustments: participants; and (3) a list of issues to be importer- or customer–specific Premier discussed. See 19 CFR 351.310(c). assessment rate calculated in the final We made the same adjustments to the Issues raised in the hearing will be results of this review is above de CV data as we made to the COP data, as limited to those raised in the respective minimis (i.e., at or above 0.50 percent). discussed above under ‘‘Calculation of case briefs. Case briefs from interested See 19 CFR 351.106(c)(1). The final Cost of Production.’’ parties and rebuttal briefs, limited to the results of this review shall be the basis issues raised in the respective case for the assessment of antidumping Weikfield briefs, may be submitted in accordance duties on entries of merchandise We made the same adjustments to the with a schedule to be determined. covered by the final results of this CV data as we made to the COP data, as Parties who submit case briefs or review and for future deposits of discussed above under ‘‘Calculation of rebuttal briefs in this proceeding are estimated duties, where applicable. Cost of Production.’’ requested to submit with each argument (1) a statement of the issue and (2) a Cash Deposit Requirements Price–to-Constructed Value brief summary of the argument. Parties The following cash deposit Comparisons are also encouraged to provide a requirements will be effective for all For Agro Dutch, we based NV on CV summary of the arguments not to exceed shipments of the subject merchandise for comparison to certain U.S. sales, in five pages and a table of statutes, entered, or withdrawn from warehouse, accordance with section 773(a)(4) of the regulations, and cases cited. for consumption on or after the Act. For comparisons to Agro Dutch’s The Department will issue the final publication date of the final results of EP sales, we made circumstance–of-sale results of this administrative review, this administrative review, as provided adjustments by deducting from CV the including the results of its analysis of by section 751(a)(1) of the Act: (1) the weighted–average direct selling issues raised in any written briefs, not cash deposit rates for the reviewed expenses of Agro Dutch’s above–cost later than 120 days after the date of companies will be those established in third country sales, and adding the U.S. publication of this notice, pursuant to the final results of this review, except if direct selling expenses, in accordance section 751(a)(3)(A) of the Act. the rate is less than 0.50 percent, and therefore, de minimis within the with section 773(a)(8) of the Act and 19 Assessment Rates CFR 351.410. meaning of 19 CFR 351.106(c)(1), in The Department shall determine, and which case the cash deposit rate will be Currency Conversion CBP shall assess, antidumping duties on zero; (2) for previously reviewed or We made currency conversions in all appropriate entries, in accordance investigated companies not listed above, accordance with section 773A of the Act with 19 CFR 351.212. The Department the cash deposit rate will continue to be based on the exchange rates in effect on will issue appropriate appraisement the company–specific rate published for the dates of the U.S. sales as certified by instructions for the companies subject to the most recent period; (3) if the the Federal Reserve Bank. this review directly to CBP within 15 exporter is not a firm covered in this days of publication of the final results review, a prior review, or the original Preliminary Results of Review of this review. LTFV investigation, but the As a result of this review, we For assessment purposes, we do not manufacturer is, the cash deposit rate preliminarily determine that the have the actual entered values for will be the rate established for the most weighted–average dumping margins for certain sales made by Weikfield because recent period for the manufacturer of the period February 1, 2001, through Weikfield was not the importer of the merchandise; and (4) the cash January 31, 2002, are as follows: record on some of its U.S. sales and it deposit rate for all other manufacturers did not obtain the entered value data for or exporters will continue to be 11.30 Manufacturer/Exporter Percent those sales. Accordingly, we intend to percent, the ‘‘All Others’’ rate made margin calculate importer–specific assessment effective by the LTFV investigation (see rates by aggregating the dumping Agro Dutch Foods, Ltd ...... 8.41 Notice of Amendment of Final Dinesh Agro Products, Ltd...... 66.24 margins calculated for all of Weikfield’s Determination of Sales at Less Than Premier Mushroom Farms ...... 27.30 U.S. sales examined and dividing the Fair Value and Antidumping Duty Saptarishi Agro Industries, Ltd. 66.24 respective amount by the total quantity Order: Certain Preserved Mushrooms Weikfield Agro Products, Ltd. ... 12.45 of the sales examined. To determine From India, 64 FR 8311 (February 19, whether the duty assessment rates are 1999)). These requirements, when We will disclose the calculations used de minimis, in accordance with the imposed, shall remain in effect until in our analysis to parties to this requirement set forth in 19 CFR publication of the final results of the proceeding within five days of the 351.106(c)(2), we will calculate next administrative review. publication date of this notice. See 19 importer–specific ad valorem ratios CFR 351.224(b). Any interested party based on export prices. With respect to Notification to Importers may request a hearing within 30 days of Agro Dutch and Premier, we intend to This notice also serves as a publication. See 19 CFR 351.310(c). If calculate importer–specific assessment preliminary reminder to importers of requested, a hearing will be scheduled rates for the subject merchandise by their responsibility under 19 CFR

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351.402(f) to file a certificate regarding preliminary results are adopted in the its sales of subject merchandise, in the reimbursement of antidumping final results of this review, we will accordance with 19 CFR 351.222(b). duties prior to liquidation of the instruct Customs and Border Protection On March 25, 2003, the Department relevant entries during this review to assess antidumping duties on all initiated an administrative review of the period. Failure to comply with this appropriate entries. antidumping duty order on SSB from requirement could result in the We invite interested parties to India for the following companies: Secretary’s presumption that comment on these preliminary results. Chandan, FACOR, Isibars, Jyoti, reimbursement of antidumping duties Parties who wish to submit comments Mukand, Venus, and Viraj. See occurred and the subsequent assessment in this proceeding are requested to Initiation of Antidumping and of double antidumping duties. submit with each argument: (1) A Countervailing Duty Administrative This administrative review and notice statement of the issue; and (2) a brief Reviews and Requests for Revocation in are published in accordance with summary of the argument. Part, 68 FR 14394 (Mar. 25, 2003). We sections 751(a)(1) and 777(i)(1) of the EFFECTIVE DATE: March 8, 2004. issued questionnaires to each of these companies on April 4, 2003. Act and 19 CFR 351.221. FOR FURTHER INFORMATION CONTACT: On April 7, 2003, and May 9, 2003, Michael Strollo or Irina Itkin, Office 2, Dated: March 1, 2004. respectively, Mukand and FACOR James J. Jochum, AD/CVD Enforcement, Import withdrew their requests for review. For Assistant Secretary for Import Administration, International Trade further discussion, see the ‘‘Partial Administration. Administration, U.S. Department of Rescission of Review’’ section of this [FR Doc. 04–5137 Filed 3–5–04; 8:45 am] Commerce, 14th Street and Constitution notice, below. BILLING CODE 3510–DS–S Avenue, NW., Washington DC 20230; In May 2003, we received responses telephone (202) 482–0629 or (202) 482– to section A of the Department’s 0656 respectively. questionnaire from Chandan, Isibars, DEPARTMENT OF COMMERCE SUPPLEMENTARY INFORMATION: Jyoti, Venus, and Viraj. (Because Isibars Background improperly filed its section A International Trade Administration questionnaire response, we did not On February 3, 2003, the Department [A–533–810] place this information on the record of Commerce (the Department) until August 11, 2003.) Stainless Steel Bar From India; published a notice in the Federal Also in May 2003, respectively, we Preliminary Results of Antidumping Register (68 FR 5272) of the opportunity issued supplemental section A Duty Administrative Review, Notice of for interested parties to request an questionnaires to Chandan and Venus. Partial Rescission of Administrative administrative review of the We received responses to those Review, and Notice of Intent To Revoke antidumping duty order on stainless supplemental questionnaires on May 30 in Part steel bar (SSB) from India. and June 24, 2003, respectively. In accordance with 19 CFR In May and June 2003, we received AGENCY: Import Administration, 351.213(b)(1), on February 26, 2003, the responses to sections B and C of the International Trade Administration, Department received a request for an questionnaire from Chandan, Isibars, Department of Commerce. administrative review from Venus Wires Jyoti, Venus, and Viraj. (Because Isibars SUMMARY: In response to requests from Industries Ltd. (Venus), an Indian improperly filed its sections B and C interested parties, the Department of producer/exporter of SSB in India. On questionnaire responses, we did not Commerce is conducting an February 27, 2003, in accordance with place this information on the record administrative review of the 19 CFR 351.213(b)(1), the Department until August 11, 2003.) antidumping duty order on stainless received a request for an administrative In June 2003, we received section D steel bar from India with respect to review from the petitioners (i.e., responses from Isibars and Venus. Chandan Steel Limited; Ferro Alloys Carpenter Technology Corp., Crucible On June 23, 2003, the petitioners Corp. Ltd.; Isibars Limited; Mukand, Specialty Metals Division of Crucible submitted timely allegations that Ltd.; Jyoti Steel Industries; Venus Wire Materials Corp., Electralloy Corp., Slater Chandan and Viraj made sales below the Industries Limited; and the Viraj Group, Steels Corp., Empire Specialty Steel and cost of production (COP). With respect Ltd. (Viraj Alloys, Ltd.; Viraj Forgings, the United Steelworkers of America to Viraj, we found that the petitioners’ Ltd.; and Viraj Impoexpo, Ltd). This (AFL–CIO/CLC)), for the following allegation provided a reasonable basis to review covers sales of stainless steel bar producers/exporters of stainless steel believe or suspect that sales in the home to the United States during the period bar in India: Chandan Steel Limited market by Viraj had been made at prices February 1, 2002, through January 31, (Chandan), Isibars Limited (Isibars), below the COP. Consequently, on July 1, 2003. Jyoti Steel Industries (Jyoti), Venus, and 2003, pursuant to section 773(b) of the We have preliminarily determined the Viraj Group, including but not Tariff Act of 1930, as amended (the Act), that sales have been made below normal necessarily limited to Viraj Alloys, Ltd. we initiated an investigation to value by three of the respondents in this (VAL), Viraj Forgings, Ltd. (VFL), Viraj determine whether Viraj made home proceeding, Chandan Steel Limited, ImpoExpo Ltd., Viraj Smelting, and market sales during the period of review Isibars Limited, and Jyoti Steel Viraj Profiles (collectively, Viraj). (POR) at prices below the COP, within Industries. In addition, we have Finally, in accordance with 19 CFR the meaning of section 773(b) of the Act. preliminarily determined to rescind the 351.213(b)(2), on February 28, 2003, the See the July 1, 2003, memorandum to review with respect to Ferro Alloys Department received additional requests Louis Apple from the Team entitled, Corp., Ltd. and Mukand, Ltd. because to conduct an administrative review ‘‘Antidumping Duty Administrative they withdrew their requests for review from four Indian exporters (i.e., Ferro Review on Stainless Steel Bar from within the time limit specified under 19 Alloys Corp. Ltd. (FACOR), Isibars, India: Analysis of the Petitioner’s CFR 351.213(d)(1). Finally, we have Mukand, Ltd. (Mukand), and Viraj). As Allegation of Sales Below the Cost of preliminarily determined to revoke the part of its request, Viraj also requested Production for Viraj ImpoExpo Ltd.’’ antidumping duty order with respect to that the Department revoke the (sales below cost allegation memo— the Viraj Group, Ltd. If these antidumping duty order with regard to Viraj). Accordingly, we notified Viraj

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that it must respond to Section D of the for the completion of the preliminary review or to conduct verification of antidumping duty questionnaire. On results of this review to no later than Jyoti’s responses, and we notified Jyoti July 29, 2003, we received Viraj’s February 28, 2004, in accordance with of these decisions accordingly. For response to the Department’s section D section 751(a)(3)(A) of the Act and 19 further discussion, see the ‘‘Facts questionnaire. CFR 351.213(h)(2). See Stainless Steel Available’’ section of this notice below. Regarding Chandan, the petitioners Bar from India; Extension of Time Limit From January 27, 2004, through alleged that Chandan’s sales in its for Preliminary Results in Antidumping February 6, 2004, we conducted largest third-country market were made Duty Administrative Review, 68 FR verification of Viraj’s responses at at prices below their COP, even thought 45793 (Aug. 4, 2003). Viraj’s offices in Mumbai, India. Chandan’s home market was viable. On August 11, 2003, we requested Because we did not intend to rely on that Jyoti provide corrected cost data Scope of the Order Chandan’s third-country sales as the such that difference in merchandise Imports covered by this review are basis for normal value (NV), we did not (difmer) adjustments would be possible, shipments of SSB. SSB means articles of analyze the petitioners’ allegation of if required. We received Jyoti’s response stainless steel in straight lengths that sales below the COP in the third country to its difmer supplemental have been either hot-rolled, forged, market. questionnaire on August 19, 2003. turned, cold-drawn, cold-rolled or In June 2003, we issued supplemental In August 2003, we issued to otherwise cold-finished, or ground, questionnaires to Chandan, Jyoti, and Chandan, Jyoti, and Venus additional having a uniform solid cross section Viraj. We received responses to these supplemental questionnaires. We along their whole length in the shape of supplemental questionnaires in June received responses to these circles, segments of circles, ovals, and July 2003. supplemental questionnaires in August rectangles (including squares), triangles, In July 2003, we issued additional and September 2003. hexagons, octagons, or other convex supplemental questionnaires to Based on Jyoti’s supplemental section polygons. SSB includes cold-finished Chandan, Isibars, Jyoti, and Venus. We B response, on October 2, 2003, the SSBs that are turned or ground in received responses to these petitioners submitted a timely allegation straight lengths, whether produced from questionnaires from Chandan, Jyoti, and that Jyoti made home market sales hot-rolled bar or from straightened and Venus in July and August 2003. We did below the COP. We found that the cut rod or wire, and reinforcing bars that not receive a response from Isibars to its petitioners’ allegation provided a have indentations, ribs, grooves, or supplemental questionnaire. For further reasonable basis to believe or suspect other deformations produced during the discussion, see the ‘‘Facts Available’’ that sales in the home market by Jyoti rolling process. section of this notice below. had been made at prices below the COP. Except as specified above, the term On July 21, 2003, in response to Consequently, on October 15, 2003, does not include stainless steel semi- Chandan’s revised section B pursuant to section 773(b) of the Act, we finished products, cut length flat-rolled submission, the petitioners made a initiated an investigation to determine products (i.e., cut length rolled products timely allegation that Chandan made whether Jyoti made home market sales which if less than 4.75 mm in thickness home market sales below the COP. We during the POR at prices below the COP, have a width measuring at least 10 times found that the petitioners’ allegation within the meaning of section 773(b) of the thickness, or if 4.75 mm or more in provided a reasonable basis to believe or the Act. See the October 15, 2003, thickness having a width which exceeds suspect that sales in the home market memorandum to Louis Apple from the 150 mm and measures at least twice the made by Chandan had been made at Team entitled, ‘‘Antidumping Duty thickness), wire (i.e., cold-formed prices below the COP. Administrative Review on Stainless products in coils, of any uniform solid On July 29, 2003, pursuant to section Steel Bar from India: Analysis of the cross section along their whole length, 773(b) of the Act, we initiated an Petitioner’s Allegation of Sales Below which do not conform to the definition investigation to determine whether the Cost of Production for Jyoti Steel of flat-rolled products), and angles, Chandan made home market sales Industries.’’ Accordingly, we notified shapes, and sections. during the POR at prices below the COP, Jyoti that it must respond to Section D The SSB subject to these reviews is within the meaning of section 773(b) of of the antidumping duty questionnaire. currently classifiable under subheadings the Act. See the July 29, 2003, In October 2003, we issued 7222.11.00.05, 7222.11.00.50, memorandum to Louis Apple from the supplemental questionnaires to 7222.19.00.05, 7222.19.00.50, Team entitled, ‘‘Antidumping Duty Chandan and Viraj. We received 7222.20.00.05, 7222.20.00.45, Administrative Review on Stainless responses to these supplemental 7222.20.00.75, and 7222.30.00.00 of the Steel Bar from India: Analysis of the questionnaires in November 2003. Harmonized Tariff Schedule of the Petitioner’s Allegation of Sales Below We received Jyoti’s response to the United States (HTSUS). Although the the Cost of Production for Chandan Department’s section D questionnaire on HTSUS subheadings are provided for Steel, Ltd.’’ Accordingly, we notified November 10, 2003. convenience and customs purposes, our Chandan that it must respond to Section In January 2004, we issued Chandan written description of the scope of this D of the antidumping duty a final supplemental questionnaire. We review is dispositive. questionnaire. We received Chandan’s also received Chandan’s response to this response to section D of the supplemental questionnaire in January Period of Review Department’s questionnaire on 2004. The POR is February 1, 2002, through September 2, 2003. On January 23, 2004, we determined January 31, 2003. On August 4, 2003, the Department that Jyoti’s submissions contained found that due to the large number of serious deficiencies which could not be Partial Rescission of Review respondents, and the time required to remedied given the time constraints of As noted above, on April 7, 2003, and review and analyze the responses once this administrative review. May 9, 2003, respectively, Mukand and they were received, it was not Consequently, we determined that it FACOR withdrew their requests for an practicable to complete this review was not appropriate to either issue Jyoti administrative review. Because the within the time allotted. Accordingly, an additional supplemental petitioners did not request an we published an extension of time limit questionnaire in this administrative administrative review of either FACOR

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or Mukand and both FACOR and the two previous administrative reviews determine that the use of facts available Mukand withdrew their requests within in which it was involved (i.e., Viraj’s is appropriate as the basis for the the time limit specified under 19 CFR dumping margin was zero or de dumping margins for the following 351.213(d)(1), we are rescinding our minimis). See Stainless Steel Bar From producer/exporters: Chandan, Isibars, review with respect to these companies. India; Final Results of Antidumping and Jyoti. Section 776(a)(2) of the Act provides that if an interested party: (1) Notice of Intent To Revoke, in Part Duty Administrative Review, 68 FR 47543 (Aug. 11, 2003) (2001–2002 SSB Withholds information that has been On February 28, 2003, Viraj requested AR Final), covering the period February requested by the Department; (2) fails to revocation of the antidumping duty 1, 2001, through January 31, 2002, and provide such information in a timely order with respect to its sales of the Notice of Amended Final Results of manner or in the form or manner subject merchandise, pursuant to 19 Antidumping Duty Administrative requested, subject to subsections 782(c) CFR 351.222(b). In a subsequent Review: Stainless Steel Bar From India, and (e) of the Act; (3) significantly submission, Viraj provided each of the 67 FR 53336 (Aug. 15, 2002), covering impedes a determination under the certifications required under 19 CFR the period February 1, 2000, through antidumping statute; or (4) provides 351.222(e). January 31, 2001. such information but the information The Department may revoke, in whole Based on our examination of the sales cannot be verified, the Department or in part, an antidumping duty order data submitted by Viraj, we shall, subject to subsection 782(d) of the upon completion of a review under preliminarily determine that Viraj sold Act, use facts otherwise available in section 751 of the Act. While Congress the subject merchandise in the United reaching the applicable determination. has not specified the procedures that the States in commercial quantities in each 1. Isibars Department must follow in revoking an of the consecutive years cited by Viraj order, the Department has developed a to support its request for revocation. See On May 27, 2003, and June 20, 2003, procedure for revocation that is the March 1, 2004, memorandum to the Isibars submitted responses to sections described in 19 CFR 351.222. This file from Michael Strollo entitled, A/B/C and D of the Department’s regulation requires, inter alia, that a ‘‘Analysis of Commercial Quantities for questionnaire, respectively. Because company requesting revocation must Viraj Group Ltd.’s Request for these responses contained significant submit the following: (1) A certification Revocation,’’ which is on file in room and pervasive deficiencies, on July 11, that the company has sold the subject B–099 of the Department’s Central 2003, and August 7, 2003, we issued merchandise at not less than NV in the Records Unit, Room B–099. Thus, we supplemental questionnaires to Isibars. current review period and that the preliminarily find that Viraj had zero or At the request of Isibars, we granted the company will not sell subject de minimis dumping margins for its last company over five weeks to respond to merchandise at less than NV in the three administrative reviews and sold in these questionnaires. Despite the fact future; (2) a certification that the commercial quantities in each of these that Isibars had sufficient time to company sold commercial quantities of years. Also, we preliminarily determine respond, it failed to do so. the subject merchandise to the United We find that Isibars’ questionnaire that application of the antidumping States in each of the three years forming responses contain pervasive and order to Viraj is no longer warranted for the basis of the request; and (3) an significant deficiencies rendering its the following reasons: (1) The company agreement to immediate reinstatement submissions so incomplete that they had zero or de minimis margins for a of the order if the Department concludes cannot serve as a reliable basis for period of at least three consecutive that the company, subsequent to the reaching a determination. See section revocation, sold subject merchandise at years; (2) the company has agreed to 782(e) of the Act. For example, Isibars, less than NV. See 19 CFR 351.222(e)(1). immediate reinstatement of the order if inter alia: (1) Failed to substantiate Upon receipt of such a request, the the Department finds that it has ownership and control of both Isibars Department will consider: (1) Whether resumed making sales at less than fair and its affiliates; (2) failed to reconcile the company in question has sold value; and (3) the continued application the total sales value reported in the U.S. subject merchandise at not less than NV of the order is not otherwise necessary sales listing to its 2002 and 2003 for a period of at least three consecutive to offset dumping. Therefore, we financial statements; (3) failed to years; (2) whether the company has preliminarily determine that Viraj reconcile the total sales value reported agreed in writing to its immediate qualifies for revocation of the order on in the home market sales listing to its reinstatement in the order, as long as SSB pursuant to 19 CFR 351.222(b)(2) 2001, 2002, and 2003 financial any exporter or producer is subject to and that the order with respect to statements; (4) failed to demonstrate the order, if the Department concludes merchandise produced and exported by that sales to affiliated parties were that the company, subsequent to the Viraj should be revoked. If these reported correctly in the home market revocation, sold the subject preliminary findings are affirmed in our sales listing; (5) reported home market merchandise at less than NV; and (3) final results, we will revoke this order sales of significantly different volumes whether the continued application of in part for Viraj and, in accordance with and values in the section B response the antidumping duty order is otherwise 19 CFR 351.222(f)(3), we will terminate than the aggregate volume and value of necessary to offset dumping. See 19 CFR the suspension of liquidation for any of home market sales in the section A 351.222(b)(2)(i). the merchandise in question that is response; (6) failed to confirm that We preliminarily determine that the entered, or withdrawn from warehouse, stainless steel black bars were reported request from Viraj meets all of the for consumption on or after February 1, in both the quantity and value of sales criteria under 19 CFR 351.222. With 2003, and will instruct Customs and in both the home market and the United regard to the criteria of subsection 19 Border Protection (CBP) to refund any States; (7) failed to adequately describe CFR 351.222(b)(2), our preliminary cash deposits for such entries. the selling functions performed by margin calculations show that Viraj sold Facts Available Isibars and its affiliates in either the SSB at not less than normal value home or U.S. markets; (8) incorrectly during the current review period. See A. Application of Facts Available reported the dates of sale and payment dumping margins below. In addition, In accordance with section for certain home market transactions; (9) Viraj sold SSBs at not less than NV in 776(a)(2)(A) of the Act, we preliminarily reported size incorrectly; (10) failed to

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include a narrative description of a wholly inadequate response to the no comparison market sales made at several product codes listed in the Section D questionnaire, failing to prices above the COP), it is used as the database submitted to the Department; remedy the deficiencies remaining in its basis of NV itself. In cases involving a (11) failed to report costs based upon cost reporting. As noted above, we had sales-below-cost investigation, as in this the correct fiscal year; (12) failed to previously notified Jyoti of these case, lack of COP/CV information report unique costs for each control deficiencies and required the company renders a company’s response so number; (13) failed to substantiate to remedy them. The most significant of incomplete as to be unuseable. See, e.g., various cost allocations; (14) failed to these deficiencies are summarized Frozen Concentrated Orange Juice From provide several cost reconciliations, the below. Brazil; Final Results and Partial most important being a reconciliation of Specifically, Jyoti: (1) Failed to Rescission of Antidumping Duty the financial statements to the general provide costs on a POR weighted- Administrative Review, 64 FR 43650, ledger; and (15) failed to provide all average basis; (2) failed to provide direct 43655 (Aug. 11, 1999); Notice of Final worksheets substantiating its material costs on a POR weighted- Determination of Sales at Less Than calculations. For a complete list of the average basis using the total raw Fair Value: Stainless Steel Plate in Coils deficiencies in Isibars’ responses, see materials consumed during the POR; (3) from Canada, 64 FR 15457 (Mar. 31, the supplemental questionnaires issued failed to account for physical 1999); Certain Cut-to-Length Carbon to this company on July 11, 2003, and differences (grade, size, and finish) in its Steel Plate from Mexico: Final Results of August 7, 2003. labor and variable overhead costs; (4) Antidumping Duty Administrative Section 776(a)(2) of the Act provides failed to provide cost reconciliations Review, 64 FR 76, 82 (Jan. 4, 1999); that if an interested party (1) Withholds including the reconciliation of total Notice of Final Results and Partial information that has been requested by fiscal year costs from Jyoti’s financial Rescission of Antidumping Duty the Department (2) fails to provide such accounting system to the costs from Administrative Review: Canned information in a timely manner or in the audited financial statements, the Pineapple Fruit From Thailand, 63 FR form or manner requested (3) reconciliation of total fiscal year cost of 43661, 43664 (Aug. 14, 1998); and significantly impedes a determination manufacturing from financial statements Certain Cut-to-Length Carbon Steel Plate under the antidumping statute, or (4) to the total per-unit manufacturing costs From Sweden: Final Results of provides such information but the submitted, reconciliation of differences Antidumping Duty Administrative information cannot be verified, the between methodology used to report Review, 62 FR 18396, 18401 (Apr. 15, Department shall, subject to subsections costs and Jyoti’s normal record keeping, 1997). See also section 782(e) of the Act. 782(c)(1) and (e), use facts otherwise reconciliation of the cost of Despite the Department’s attempts to available in reaching the applicable merchandise not under consideration, obtain the missing information, determination. As discussed above, reconciliation of cost of merchandise pursuant to section 782(d) of the Act, Isibars’ information was so incomplete under consideration but not sold to the Jyoti failed to rectify its deficiencies. that it could not be used by the United States and Hong Kong, Thus, the Department finds that we Department. As such, the Department reconciliation of reported general and must resort to facts otherwise available must use facts otherwise available with administrative (G&A) expenses to the in reaching our preliminary results, regard to Isibars pursuant to sections audited financial statements, and pursuant to sections 776(a)(2)(A), (B), 776(a)(2)(A) and (B) of the Act. reconciliation of reported interest and (C) of the Act. expenses to the audited financial 2. Jyoti 3. Chandan statements; (5) improperly included As noted above, Jyoti responded to costs incurred outside the POR (i.e., As noted above, Chandan responded the Department’s questionnaire on May from the window periods before and to section A of the Department’s 27, 2003. Because this questionnaire after the POR) in its reported COP; (6) questionnaire on May 15, 2003, sections response contained substantial errors failed to provide a complete description B and C on June 9, 2003, and section D and omissions, we issued Jyoti six of its production facilities and the on September 2, 2003. Because these supplemental questionnaires. In four of products produced at each facility; (7) questionnaire responses contained these supplemental requests, we failed to provide sufficient detail substantial errors and omissions, we required Jyoti to recalculate its regarding the inputs used to produce the issued Chandan seven supplemental manufacturing costs reported as part of subject merchandise (i.e., raw materials, questionnaires. Although we afforded its difmer adjustment. Although we labor, energy, subcontractor services, Chandan ample time to respond to each afforded Jyoti ample time to respond to etc.); (8) failed to provide sufficient of these seven requests, Chandan’s each of these six requests, Jyoti’s detail regarding its internal taxes; and submissions were not only incomplete, submissions were not only incomplete, (9) incorrectly calculated its reported they were largely unresponsive to the they were largely unresponsive to the G&A expenses on a market-specific Department’s explicit instructions. Department’s explicit instructions. basis instead of using data from its In particular, on October 9, 2003, the As a result of Jyoti’s failure to provide audited financial statements. Department issued Chandan a adequate difmer data, the petitioners In light of these deficiencies and supplemental section D questionnaire were unable to use Jyoti’s submissions omissions, we find that Jyoti’s responses requesting that it provide additional as the basis for a sales below COP to the Department’s requests for cost information or clarification on a number allegation until October 2003, more than data were so incomplete that they could of issues, as well as the missing items four months after the Department not serve as a reliable basis for reaching from the prior cost response. Despite the received Jyoti’s initial sections B and C the instant determination. Specifically, fact that Chandan was granted almost a response. we note that COP/constructed value month in which to respond to this Nonetheless, in October 2003, the (CV) data is vital to our dumping supplemental section D questionnaire, petitioners provided adequate reason for analysis, because: (1) It provides the on November 5, 2003, Chandan the Department to believe or suspect basis for determining whether submitted an inadequate response. that sales in the home market by Jyoti comparison market sales can be used to Consequently, on January 14, 2004, we had been made at prices below the COP. calculate normal value; and (2) in issued Chandan an additional On November 14, 2003, Jyoti submitted certain instances (e.g., when there are supplemental questionnaire requesting

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that it provide largely the same the Department to assume that Chandan, accompanying decision memorandum at information identified previously. On Isibars, and Jyoti possessed the records Comment 1. In this review, we January 26, 2004, Chandan again necessary for this administrative review compared the selected rate (i.e., 21.02 submitted a wholly inadequate response and that by not supplying the percent) to individual transaction to the supplemental section D information the Department requested, margins for companies in this questionnaire. The most significant of these companies failed to cooperate to administrative review with weighted- these deficiencies are summarized the best of their ability. In addition, average margins above de minimis. We below. none of the companies in this review found that the selected margin falls Specifically, Chandan: (1) Failed to argued that they were incapable of within the range of individual calculate certain costs based upon its providing the information the transaction margins and that there were internal costs, instead relying upon Department requested. Accordingly, a significant number of sales, made in charges billed by a ‘‘toll-processor’’; (2) because Chandan, Isibars, and Jyoti the ordinary course of trade, in failed to report unique costs for each failed to submit useable sales and/or commercial quantities, with margins type of finishing operation; (3) failed to cost information which was not only near or exceeding 21.02 percent. On this report bright bar yield loss; (4) failed to specifically requested by the basis, we determined that the selected provide correct cost size ranges; (5) Department but was also fundamental to margin was reliable as there is no failed to provide cost reconciliations the dumping analysis, we have assigned evidence on the record of this review including the reconciliation of total these companies margins based on total that would lead us to change our fiscal year cost of manufacturing from adverse facts available (AFA), consistent assessment of the reliability of the 21.02 financial statements to the total per-unit with sections 776(a)(2)(A), (B), and (C) rate. manufacturing costs submitted, and 776(b) of the Act. Accordingly, we consider the 21.02 reconciliation of differences between As AFA for Chandan, Isibars, and percent margin to be corroborated in methodology used to report costs and Jyoti, we have used the highest rate ever this review, and have assigned Chandan’s normal record keeping, and assigned to any respondent in any Chandan, Isibars, and Jyoti this rate as reconciliation of cost of merchandise by segment of this proceeding. This rate is total AFA. market; (6) systematically failed to 21.02 percent. We find that this rate, provide requested worksheets or other which was the rate alleged in the Collapsing substantiation to justify its calculations petition and assigned in the Viraj and allocations; and (7) failed to fully investigation of this proceeding, is allocate all costs. sufficiently high as to effectuate the In this administrative review, in past In light of these deficiencies and purpose of the facts available rule (i.e., administrative reviews of SSB from omissions, we find that Chandan’s cost we find that this rate is high enough to India, and in other antidumping data was so incomplete that it could not encourage participation in future proceedings before the Department, the serve as a reasonable basis for reaching segments of this proceeding). (This Viraj Group Ltd. has responded to the the instant determination. As noted margin was also assigned to Mukand in Department’s questionnaires on behalf above, COP/CV data is vital to our the most recent most recently completed of the affiliated companies comprising dumping analysis, especially where, as segment of the proceeding. See 2001– the Viraj Group, Ltd. (i.e., VAL, Viraj here, the case involves a sales-below- 2002 SSB AR Final.) See also Extruded Impo/Expo, Ltd. (VIL), and VFL). See cost-allegation. Rubber Thread from Malaysia; Final 2001–2002 SSB AR Final and Despite the Department’s attempts to Results of Antidumping Duty accompanying decision memorandum at obtain the missing information, Administrative Review, 63 FR 12752, Comment 10; see also Stainless Steel pursuant to section 782(d) of the Act, 12762–3 (Mar. 16, 1998). Wire Rod From India; Final Results of Chandan failed to rectify its Antidumping Duty Administrative deficiencies. Thus, the Department must C. Corroboration of Secondary Review, 68 FR 26288–03 (May 15, 2003); resort to facts otherwise available in Information Stainless Steel Wire Rod From India; reaching our preliminary results, As facts available in this case, the Preliminary Results and Partial pursuant to sections 776(a)(2)(A), (B), Department has used information Rescission of Antidumping Duty and (C) of the Act. derived from the petition, which Administrative Review, 68 FR 70765 constitutes secondary information. See (Dec. 19, 2003); Stainless Steel Wire B. Adverse Facts Available 19 CFR 351.308(c)(1). Section 776(c) of Rods from India; Preliminary Results In selecting from among the facts the Act provides that the Department and Partial Rescission of Antidumping otherwise available, section 776(b) of shall, to the extent practicable, Duty Administrative Review, 68 FR 1040 the Act authorizes the Department to corroborate secondary information from (Jan. 8, 2003). In the 2001–2002 AR use an adverse inference if the independent sources reasonably at its Final, the Department collapsed VAL, Department finds that an interested disposal. The Department’s regulations VIL and VFL because the record party failed to cooperate by not acting provide that ‘‘corroborate’’ means that evidence demonstrated that VAL and to the best of its ability to comply with the Department will satisfy itself that VIL were able to produce similar or the request for information. See, e.g., the secondary information to be used identical merchandise (i.e., the Notice of Final Determination of Sales has probative value. See 19 CFR merchandise under review) during the of Less Than Fair Value and Final 351.308(d). To corroborate secondary POR and could continue to do so, Negative Critical Circumstances: Carbon information, the Department will, to the independently or under existing and Certain Alloy Steel Wire Rod from extent practicable, examine the agreements, without substantial Brazil, 67 FR 55792, 55794–96 (Aug. 30, reliability and relevance of the retooling of their production facilities. 2002). Each of the respondents was information to be used. The Department also found that there notified in the Department’s To corroborate the selected margin, was a significant potential for the questionnaires that failure to submit the we considered that we have manipulation of price and production requested information by the date corroborated the 21.02 percent petition among VAL, VIL and VFL. Because the specified might result in use of facts rate in a prior review. See 2001–2002 record evidence in this review is the available. Generally, it is reasonable for SSB AR Final, 68 FR 47543 and same as the facts upon which the

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Department relied in past administrative above, in that order of priority. Where States and the foreign like product in reviews, we continue to find that VAL, we were unable to match U.S. sales to the home market and the profit VIL and VFL are affiliated and should home market sales of the foreign like associated with those sales. be treated as one entity for the purposes product, we based NV on CV. Duty Drawback of this administrative review (i.e., Export Price and Constructed Export collapsed) pursuant to section 771(33) Venus and Viraj claimed a duty of the Act and 19 CFR 351.401(f). Price drawback adjustment based on their Venus participation in the Indian government’s Verification Duty Entitlement Passbook Program. For all U.S. sales made by Venus, we As provided in section 782(i) of the Such adjustments are permitted under used EP methodology, in accordance Act, we verified the sales and cost section 772(c)(1)(B) of the Act. with section 772(a) of the Act, because information provided by Viraj. We used The Department will grant a the subject merchandise was sold standard verification procedures, respondent’s claim for a duty drawback directly to the first unaffiliated including examination of relevant sales adjustment where the respondent has purchaser in the United States prior to and financial records. Our verification demonstrated that there is (1) a importation and CEP methodology was results are outlined in Viraj’s sufficient link between the import duty not otherwise warranted based on the verification reports placed in the case and the rebate, and (2) a sufficient facts of the record. file in the Central Records Unit, main amount of raw materials imported and We based EP on packed CIF and Commerce building, room B–099. used in the production of the final delivered duty paid prices to exported product. See Rajinder Pipe Ltd. Comparisons to Normal Value unaffiliated purchasers in the United v. United States (Rajinder Pipes), 70 F. States. We made deductions from the To determine whether sales of SSB Supp. 2d 1350, 1358 (CIT 1999). In starting price for movement expenses in from India to the United States were Rajinder Pipes, the Court of accordance with section 772(c)(2)(A) of made at less than NV, we compared International Trade upheld the the Act. These deductions included, export price (EP) or constructed export Department’s decision to deny a where appropriate, foreign inland price (CEP) to NV, as described in the respondent’s claim for duty drawback freight, foreign brokerage and handing, ‘‘Export Price and Constructed Export adjustments because there was not international freight, marine insurance, Price’’ and ‘‘Normal Value’’ sections of substantial evidence on the record to U.S. customs duties, U.S. inland freight, this notice. In accordance with 19 CFR establish that part one of the and other U.S. brokerage and handling 351.414(c)(2), we compared individual Department’s test had been met. See expenses. EPs and CEPs to weighted-average NVs, also Viraj Group, Ltd. v. United States, which were calculated in accordance Viraj Slip Op. 01–104 (CIT August 15, 2001). with section 777A(d)(2) of the Act. For all U.S. sales made by Viraj, we In this administrative review, Venus Product Comparisons used CEP methodology, in accordance and Viraj have failed to demonstrate that there is a link between the import When making comparisons in with section 772(b) of the Act, for those duty paid and the rebate received, and accordance with section 771(16) of the sales where the merchandise was sold that imported raw materials are used in Act, we considered all products sold in (or agreed to be sold) in the United the production of the final exported the home market as described in the States before or after the date of product. Therefore, because they have ‘‘Scope of the Review’’ section of this importation by or for the account of the failed to meet the Department’s notice, above, that were in the ordinary producer or exporter, or by a seller requirements, we are denying the course of trade for purposes of affiliated with the producer or exporter, respondents’ requests for a duty determining appropriate product to a purchaser not affiliated with the drawback adjustment. See the March 1, comparisons to U.S. sales. Where there producer or exporter. 2004, memorandum from Elizabeth were no sales of identical merchandise We based CEP on packed, CIF, and ex- Eastwood to the file entitled, in the home market made in the dock duty-paid prices to unaffiliated ‘‘Calculations Performed for Venus Wire ordinary course of trade (i.e., sales purchasers in the United States. We Industries Limited (Venus) for the within the same month which passed made deductions from the starting price Preliminary Results in the 2002–2003 the cost test), we compared U.S. sales to for movement expenses in accordance Antidumping Duty Administrative sales of the most similar foreign like with section 772(c)(2)(A) of the Act. Review on Stainless Steel Bars from product made in the ordinary course of These deductions included, where India,’’ (Venus preliminary results trade, based on the characteristics listed appropriate, foreign inland freight, calculation memo) and the March 1, in sections B and C of our antidumping foreign brokerage and handing, 2004, memorandum from Mike Strollo questionnaire, or CV, as appropriate. international freight, marine insurance, Also, in accordance with section clearance expenses, and U.S. customs to the file entitled, ‘‘Calculations 771(16) of the Act, we first attempted to duties. Performed for Viraj Group, Ltd. (Viraj) compare products produced by the same In accordance with section 772(d)(1) for the Preliminary Results in the 2002– company and sold in the U.S. and home of the Act and 19 CFR 351.402(b), we 2003 Antidumping Duty Administrative markets that were identical with respect deducted those selling expenses Review on Stainless Steel Bars from to the following characteristics: type, associated with economic activities India,’’ (Viraj preliminary results grade, remelting process, finishing occurring in the United States, calculation memo) for further details. operation, shape, and size. Where there including indirect selling expenses. We Normal Value were no home market sales of the revised indirect selling expenses to foreign like product that were identical calculate POR expenses over POR sales. A. Home Market Viability in these respects to the merchandise In accordance with section 772(f) of the In order to determine whether there is sold in the United States, we compared Act, we calculated the CEP profit rate a sufficient volume of sales in the home U.S. products with the most similar using the expenses incurred by Viraj market to serve as a viable basis for merchandise sold in the home market and its affiliate on their sales of the calculating NV (i.e., the aggregate based on the characteristics listed subject merchandise in the United volume of home market sales of the

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foreign like product is five percent or 2. We adjusted Venus’ interest percent or more of a respondent’s sales more of the aggregate volume of U.S. expense ratio to exclude interest of a given product are at prices below sales), we compared the volume of each expenses incurred by Precision Metals. the COP, we found that sales of that respondent’s home market sales of the For a detailed discussion of these model were made in ‘‘substantial foreign like product to the volume of adjustments, see the Venus preliminary quantities’’ within an extended period U.S. sales of subject merchandise, in results calculation memorandum. of time (as defined in section accordance with section 773(a)(1)(C) of 773(b)(2)(B) of the Act), in accordance Viraj the Act. Based on this comparison, we with section 773(b)(2)(C)(i) of the Act. In determined that each respondent had a 1. We based VAL’s G&A and financing such cases, we also determined that viable home market during the POR. expenses on data from its 2002–2003 such sales were not made at prices Consequently, we based NV on home financial statements, rather than its which would permit the recovery of all market sales. We made adjustments to 2001–2002 financial statements as costs within a reasonable period of time, Viraj’s reported data based on our reported; in accordance with section 773(b)(2)(D) findings at verification. See the Viraj 2. We included the profit/loss on sales of the Act. Therefore, for purposes of preliminary results calculation memo. of motor cars in the calculation of VAL’s this administrative review, we G&A ratio; B. Cost of Production disregarded these below-cost sales for 3. We included the current year both respondents and used the Pursuant to section 773(b)(2)(A)(ii) of portion of ammortization expenses remaining sales as the basis for the Act, there were reasonable grounds associated with a change in VAL’s determining NV, in accordance with to believe or suspect that Venus had depreciation methodologies. See the section 773(b)(1) of the Act. For those made home market sales at prices below memorandum to Neal Halper from Ji U.S. sales of SSB for which there were its COP in this review because the Young Oh entitled, ‘‘Cost of Production no comparable home market sales in the Department had disregarded home and Constructed Value Calculation ordinary course of trade, we compared market sales that failed the cost test for Adjustments for the Final Results,’’ EP to CV in accordance with section this company in the most recently dated August 4, 2003, placed on the 773(a)(4) of the Act. completed segment of this proceeding in record of this administrative review. In accordance with section 773(e) of which Venus participated (i.e., the 4. We included all interest charges the Act, we calculated CV based on the 1998–1999 administrative review). As a incurred by VIL during its 2002–2003 sum of respondent’s cost of materials, result, the Department initiated an fiscal year in the calculation of VIL’s fabrication, selling, G&A, profit, and investigation to determine whether financing ratio. U.S. packing costs. We made the same these companies had made home market For a detailed discussion of the above- adjustments to the CV costs as described sales during the POR at prices below mentioned adjustments, see the Viraj in the ‘‘Calculation of COP’’ section of their COPs. See Stainless Steel Bar From preliminary results calculation this notice. In accordance with section India; Final Results of Antidumping memorandum. 773(e)(2)(A) of the Act, we based SG&A Duty Administrative Review and New 2. Test of Home Market Prices and profit on the amounts incurred and Shipper Review and Partial Rescission realized by the respondent in On a product-specific basis, we of Administrative Review, 65 FR 48965 connection with the production and sale compared the adjusted weighted- (Aug. 10, 2000). In addition, on June 23, of the foreign like product in the average COP to the home market sales 2003, the petitioners submitted a timely ordinary course of trade for of the foreign like product during the allegation that Viraj made home market consumption in the foreign country. sales below the COP. We found that the POR, as required under section 773(b) of petitioners’ allegation provided a the Act, in order to determine whether C. Level of Trade reasonable basis to believe or suspect sales had been made at prices below the In accordance with section that sales in the home market by Viraj COP. The prices were exclusive of any 773(a)(1)(B), to the extent practicable, had been made at prices below the COP. applicable movement charges, billing the Department will calculate NV based See the sales-below-cost allegation adjustments, commissions, discounts on sales at the same level of trade (LOT) memo—Viraj. and indirect selling expenses. We as the EP or CEP. Sales are made at revised indirect selling expenses to different LOTs if they are made at 1. Calculation of COP calculate POR expenses over POR sales. different marketing stages (or their In accordance with section 773(b)(3) In determining whether to disregard equivalent). See 19 CFR 351.412(c)(2). of the Act, we calculated COP based on home market sales made at prices below Substantial differences in selling the sum of the cost of materials and the COP, we examined, in accordance activities are a necessary, but not fabrication for the foreign like product, with sections 773(b)(1)(A) and (B) of the sufficient, condition for determining plus amounts for G&A, and interest Act, whether such sales were made (1) that there is a difference in the stages of expenses, and home market packing within an extended period of time in marketing. Id.; see also Notice of Final costs, where appropriate (see the ‘‘Test substantial quantities and (2) at prices Determination of Sales at Less Than of Home Market Prices’’ section below which did not permit the recovery of Fair Value: Certain Cut-to-Length for treatment of home market selling costs within a reasonable period of time. Carbon Steel Plate From South Africa, expenses). 3. Results of the COP Test 62 FR 61731, 61732 (Nov. 19, 1997) We relied on the COP data submitted (Plate from South Africa). In order to Pursuant to section 773(b)(2)(C)(i) of by the respondents, except where noted determine whether the comparison sales the Act, where less than 20 percent of below: were at different stages in the marketing a respondent’s sales of a given product process than the U.S. sales, we reviewed Venus during the POR were at prices less than the distribution system in each market 1. We adjusted Venus’ G&A expense the COP, we did not disregard any (i.e., the chain of distribution),1 ratio to include donations and exclude below-cost sales of that product because G&A expenses incurred by Precision we determine that in such instances the 1 The marketing process in the United States and Metals, an affiliated Indian selling below-cost sales were not made in home market begins with the producer and extends agent; and ‘‘substantial quantities.’’ Where 20 to the sale to the final user or customer. The chain

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including selling functions,2 class of company performs and determined that bank interest expenses.5 Specifically, in customer (customer category), and the additional selling functions were accordance with 19 CFR 351.410(e), we level of selling expenses for each type performed on certain U.S. sales. offset the commissions incurred in one of sale. Specifically, we found that Venus market but not the other with indirect Pursuant to section 773(a)(1)(B)(i) of performs an additional layer of selling selling expenses incurred in the other the Act, in identifying levels of trade for functions on its sales through Precision market by the lesser of the commission EP and comparison market sales, (i.e., Metals which are not performed on its or the indirect selling expense. NV based on either home market or direct sales to unaffiliated U.S. Where appropriate, we made an third country prices 3) we consider the customers. Because these additional adjustment to NV to account for starting prices before any adjustments. selling functions are significant, we find differences in physical characteristics of For CEP sales, we consider only the that Venus’s sales through Precision the merchandise, in accordance with selling expenses reflected in the price Metals are at a different LOT than its section 773(a)(6)(C)(ii) of the Act and 19 after the deduction of expenses and direct sales to unaffiliated U.S. CFR 351.411. We based this adjustment profit under section 772(d) of the Act. customers. Further, we find that Venus’s on the difference in the variable costs of See Micron Technology, Inc. v. United direct sales to unaffiliated U.S. manufacturing for the foreign like States, 243 F. 3d 1301, 1314–1315 (Fed. customers are at the same LOT as product and subject merchandise, using Cir. 2001). Venus’s home market sales. Therefore, POR-average costs. Finally, we deducted When the Department is unable to for these sales, no LOT adjustment is home market packing costs and added match U.S. sales to sales of the foreign warranted. However, with respect to U.S. packing costs, in accordance with like product in the comparison market Venus’ sales through its Indian affiliate, section 773(a)(6) of the Act. at the same LOT as the EP or CEP, the given that Venus sold at only one LOT Pursuant to section 773(a)(6)(C)(iii) of Department may compare the U.S. sale in the home market, and there is no the Act and 19 CFR 351.410(c), for CV- to sales at a different LOT in the additional information on the record to-EP comparisons, we made comparison market. In comparing EP or that would allow for a LOT adjustment, circumstance-of-sale adjustments for CEP sales at a different LOT in the no LOT adjustment is possible for credit expenses, commissions, and bank comparison market, where available Venus. charges and bank interest expenses. data make it practicable, we make a LOT Viraj reported the same LOT and 2. Viraj adjustment under section 773(a)(7)(A) of channel of distribution for all its sales the Act. Finally, for CEP sales only, if We based NV on the ex-factory in both India and the United States. The an NV LOT is more remote from the starting prices to home market U.S. selling activities differ from the factory than the CEP LOT and we are customers. Pursuant to section home market selling activities only with unable to make a level of trade 773(a)(6)(C)(iii) of the Act and 19 CFR respect to freight and delivery. These adjustment, the Department shall grant 351.410(c), we made a circumstance-of- differences are not substantial. a CEP offset, as provided in section sale adjustment for differences in credit Therefore, we find that the CEP level of 773(a)(7)(B) of the Act. See Plate from expenses and commissions. trade is the same as the home market South Africa, 62 FR at 61733. Specifically, in accordance with 19 CFR Both Venus and Viraj claimed that LOT and an LOT adjustment is not 351.410(e), we offset the commissions they made home market sales at one necessary. Moreover, because there is no incurred in the home market with LOT. We analyzed the information on evidence on the record to indicate that indirect selling expenses incurred in the the record and found that both the selling functions for sales to Viraj’s U.S. market by the lesser of the respondents performed essentially the home market were made at a different commission or the indirect selling same marketing functions in selling to LOT than its U.S. sales, we are not expense. all of their home market customers, granting a CEP offset adjustment, in Where appropriate, we made regardless of customer category (i.e., end accordance with 19 CFR 351.412(f). adjustments to NV to account for user and trading company). Therefore, D. Calculation of Normal Value differences in physical characteristics of we determined that both respondents the merchandise, in accordance with made home market sales at one LOT. 1. Venus section 773(a)(6)(C)(ii) of the Act and 19 Regarding Venus’s U.S. sales, Venus We based NV on the starting prices to CFR 351.411. We based this adjustment reported that it made U.S. sales at two home market customers. We made on the difference in the variable costs of LOTs (i.e., sales directly to unaffiliated deductions, where appropriate, from the manufacturing for the foreign like U.S. customers and sales through an starting price for billing adjustments.4 product and subject merchandise, using Indian affiliate, Precision Metals). We We also made deductions from the POR-average costs. Finally, we deducted examined the selling functions this starting price, where appropriate, for home market packing costs and added foreign inland freight expenses, in U.S. packing costs, in accordance with of distribution between the two may have many or accordance with section 773(a)(6)(B) of section 773(a)(6) of the Act. few links, and the respondents’ sales occur For CV-to-CEP comparisons, we made the Act. Pursuant to section somewhere along this chain. In performing this an adjustment, where appropriate, for 773(a)(6)(C)(iii) of the Act and 19 CFR evaluation, we considered each respondent’s differences in credit expenses and narrative response to properly determine where in 351.410(c), we made circumstance-of- commissions, in accordance with the chain of distribution the sale occurs. sale adjustments for credit expenses, 2 Selling functions associated with a particular section 773(a)(6)(C)(iii) and 773(a)(8) of commissions, and bank charges and chain of distribution help us to evaluate the level(s) the Act. Specifically, in accordance with of trade in a particular market. For purposes of 19 CFR 351.410(e), we offset the these preliminary results, we have organized the 4 Venus reported discounts in its home market common selling functions into four major sales listing. However, the information on the commissions incurred in the home categories: sales process and marketing support, record indicates that these discounts are actually freight and delivery, inventory and warehousing, billing adjustments (i.e., adjustments to price). 5 Venus reported bank interest expenses charged and quality assurance/warranty services. Therefore, for the preliminary results, we have on payments from U.S. customers as actual U.S. 3 Where NV is based on CV, we determine the treated Venus’s reported discounts as billing credit expenses incurred in Indian rupees. We have NV LOT based on the LOT of the sales from which adjustments and adjusted gross unit price reclassified these expenses as direct selling we derive selling expenses, G&A and profit for CV, accordingly. See the Venus preliminary results expenses. See the Venus preliminary results where possible. calculation memorandum. calculation memo for further discussion.

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market with indirect selling expenses ratio of the total amount of antidumping 351.402(f)(2) to file a certificate incurred in the U.S. market by the lesser duties calculated for the examined sales regarding the reimbursement of of the commission or the indirect selling to the total entered value of those sales. antidumping duties prior to liquidation expense. Regarding certain of Venus’s sales, for of the relevant entries during this assessment purposes, we do not have review period. Failure to comply with Currency Conversion the information to calculate entered this requirement could result in the We made currency conversions into value because Venus was not the Secretary’s presumption that U.S. dollars in accordance with section importer of record for the subject reimbursement of antidumping duties 773A(a) of the Act based on the merchandise. Accordingly, we have occurred and the subsequent assessment exchange rates in effect on the dates of calculated importer-specific assessment of double antidumping duties. the U.S. sales as reported by the Federal rates for the merchandise in question by We are issuing and publishing these Reserve Bank. aggregating the dumping margins results of review in accordance with calculated for all U.S. sales to each Preliminary Results of Review sections 751(a)(1) and 777(i)(1) of the importer and dividing this amount by Act. We preliminarily find the following the total quantity of those sales. To Dated: March 1, 2004. weighted-average dumping margins: determine whether the duty assessment rates were de minimis, in accordance James Jochum, Weighted- with the requirement set forth in 19 CFR Assistant Secretary for Import Administration. Manufacturer/producer/exporter average 351.106(c)(2), we calculated importer- margin [FR Doc. 04–5135 Filed 3–5–04; 8:45 am] percentage specific ad valorem ratios based on the CEPs and/or EPs. Pursuant to 19 CFR BILLING CODE 3510–DS–P Chandan Steel Limited ...... 21.02 351.106(c)(2), we will instruct CBP to Isibars Limited ...... 21.02 liquidate without regard to antidumping Jyoti Steel Industries ...... 21.02 duties any entries for which the DEPARTMENT OF COMMERCE Venus Wire Industries Limited 0.06 assessment rate is de minimis (i.e., less International Trade Administration Viraj Group, Ltd...... 0.00 than 0.50 percent). The Department will issue appraisement instructions directly [A–427–825] Because we are preliminarily revoking to CBP. the order with respect to Viraj’s exports Further, the following deposit Notice of Final Determination of Sales of subject merchandise, if these results requirements will be effective for all at Less Than Fair Value: Wax and Wax/ are unchanged in the final results of shipments of SSB from India, except Resin Thermal Transfer Ribbons from review, we will order CBP to terminate those made by Viraj, entered, or France the suspension of liquidation for exports withdrawn from warehouse, for AGENCY: Import Administration, of such merchandise entered, or consumption on or after the publication withdrawn from warehouse, for International Trade Administration, date of the final results of this Department of Commerce. consumption on or after February 1, administrative review, as provided for 2003, and to refund all cash deposits by section 751(a)(2)(C) of the Act: (1) EFFECTIVE DATE: March 8, 2004. SUMMARY: collected. The cash deposit rates for the reviewed We determine that wax and The Department will disclose to companies will be the rates established wax/resin thermal transfer ribbons parties the calculations performed in in the final results of this review, except (TTR) from France are being sold, or are connection with these preliminary if the rate is less than 0.50 percent and, likely to be sold, in the United States at results within five days of the date of therefore, de minimis within the less than fair value (LTFV), as provided publication of this notice. Interested meaning of 19 CFR 351.106, the cash in section 735 of the Tariff Act of 1930, parties may request a hearing within 30 deposit will be zero; (2) for previously as amended (the Act). The estimated days of publication. Any hearing, if investigated companies not listed above, margins of sales at LTFV are shown in requested, will be held two days after the cash deposit rate will continue to be the Continuation of Suspension of the date rebuttal briefs are filed. the company-specific rate published for Liquidation section of this notice. Pursuant to 19 CFR 351.309, interested the most recent period; (3) if the FOR FURTHER INFORMATION CONTACT: parties may submit cases briefs not later exporter is not a firm covered in this Mark Hoadley or Sally Gannon at (202) than 30 days after the date of review, or the LTFV investigation, but 482–3148 and (202) 482–0162, publication of this notice. Rebuttal the manufacturer is, the cash deposit respectively; Import Administration, briefs, limited to issues raised in the rate will be the rate established for the International Trade Administration, case briefs, may be filed not later than most recent period for the manufacturer U.S. Department of Commerce, 14th 37 days after the date of publication of of the merchandise; and (4) the cash Street and Constitution Avenue, NW, this notice. The Department will issue deposit rate for all other manufacturers Washington, DC 20230. the final results of the administrative or exporters will continue to be 12.45 SUPPLEMENTARY INFORMATION: review, including the results of its percent, the ‘‘All Others’’ rate Case History analysis of issues raised in any such established in the LTFV investigation. written comments, within 120 days of See Notice of Final Determination of The preliminary determination in this publication of these preliminary results. Sales at Less Than Fair Value: Stainless investigation was issued on December Upon completion of the Steel Bar from India, 59 FR 66915, 16, 2003. See Notice of Preliminary administrative review, the Department 66921 (Dec. 28, 1994). Determination of Sales at Less Than shall determine, and CBP shall assess, These deposit requirements, when Fair Value: Wax and Wax/Resin antidumping duties on all appropriate imposed, shall remain in effect until Thermal Transfer Ribbons From France, entries. Pursuant to 19 CFR publication of the final results of the 68 FR 71068 (December 22, 2003) 351.212(b)(1), for Venus and Viraj, for next administrative review. (Preliminary Determination). Since the those sales with a reported entered This notice serves as a preliminary publication of the preliminary value, we have calculated importer- reminder to importers of their determination, the following events specific assessment rates based on the responsibility under 19 CFR have occurred. On January 5 and

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January 16, 2004, petitioner, Country of Origin importance of slitting; and, 3) U.S. International Imaging Materials, Inc. As noted above, petitioner has Customs and Border Protection (CBP) (IIMAK), submitted additional requested that the Department and the Court of International Trade comments regarding (1) its allegation determine that TTR produced in France (CIT) have determined that slitting and that respondents in the three concurrent (in jumbo roll, i.e., unslit form) that is repackaging amount to substantial investigations of TTR (France, Japan, slit in a third country does not change transformation. DigiPrint, in comments and South Korea) would attempt to the country of origin for antidumping received on January 2, 2004, argues that circumvent the order by slitting jumbo purposes. According to petitioner, the record of this investigation indicates rolls in third countries, and (2) its because slitting does not constitute a that slitting and packaging account for request that the Department therefore ‘‘substantial transformation,’’ French a large amount (34%) of total cost, determine that slitting does not change jumbo rolls slit in a third country indicating substantial transformation. The Department has considered the country of origin of TTR for should be classified as French TTR for several factors in determining whether a antidumping purposes. On January 9, antidumping purposes, and, therefore, substantial transformation has taken 2004, Armor, S.A. (Armor), the sole within the scope of this investigation place, thereby changing a product’s respondent in the French investigation, and any resulting order. Petitioner country of origin. These have included: submitted additional comments on the submitted comments on this request on the value added to the product; the country–of-origin issue. DigiPrint October 28, 2003, December 5, 2003, sophistication of the third–country International (DigiPrint), a U.S. importer January 5 and January 16, 2004. processing; the possibility of using the of TTR slit in India, submitted According to petitioner, substantial third–country processing as a low cost comments on January 2, 2004, on the transformation does not take place means of circumvention; and, most country–of-origin issue. Refer to because: 1) both slit and jumbo rolls prominently, whether the processed Preliminary Determination for a history have the same essential physical product falls into a different class or of all previous comments submitted on characteristics (e.g., both have the same kind of product when compared to the this issue. chemical properties that make them downstream product. While all of these suitable for thermal transfer printing); 2) Scope of Investigation factors have been considered by the large capital investments are required Department in the past, it is the last This investigation covers wax and for coating and ink–making (production factor which is consistently examined wax/resin thermal transfer ribbons stages prior to slitting), but not for and emphasized.1 (TTR), in slit or unslit (‘‘jumbo’’) form slitting; 3) coating and ink–making When the upstream originating from France with a total wax require significantly more skill, and processed products fall into (natural or synthetic) content of all the expertise, and research and different classes or kinds of image side layers, that transfer in whole development; and, 4) the majority of merchandise, the Department generally or in part, of equal to or greater than 20 costs and value comes from coating and finds that this is indicative of percent by weight and a wax content of ink–making. Petitioner states that, for substantial transformation. See, e.g., the colorant layer of equal to or greater purposes of this issue, slitting and Cold–Rolled 1993, 58 FR at 37066. Accordingly, the Department has than 10 percent by weight, and a black packaging do not account for a generally found that substantial color as defined by industry standards substantial amount of the total cost of transformation has taken place when the by the CIELAB (International finished TTR (depending on the degree upstream and downstream products fall Commission on Illumination) color of automation and whether new or within two different ‘‘classes or kinds’’ specification such that L*<35, secondhand equipment is involved); of merchandise: (see, e.g., steel slabs -20

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invariably determines substantial ITC noted in this investigation that the amount of total cost accounted for by transformation has not taken place ‘‘slitting and packaging process is not slitting and packaging, and respondent’s when both products are within the same particularly complex, especially as statements regarding how slitting and ‘‘class or kind’’ of merchandise: (see, compared to the jumbo TTR production packaging transform the product into its e.g., computer memory components process.’’ ITC Report, at 7. The ITC also final end–use form, the product still has assembled and tested; hot–rolled coils noted that the primary cost involved in not changed sufficiently to fall outside pickled and trimmed; cold–rolled coils a slitting and packaging operation is not the class or kind of merchandise defined converted into cold–rolled strip coils; capital cost, but direct labor cost, which, in this investigation. Jumbo rolls are rusty pipe fittings converted to rust free, we note, might be hired cheaply in a intermediate products, and slit rolls are painted pipe fittings; green rod cleaned, third country. Id. at 14. Thus, it appears final, end–use products, but the coated, and heat treated into wire rod).3 that a slitting operation could be transformation of an upstream product In this case, both jumbo and slit TTR are established in a third country for into a downstream product does not within the same class or kind of circumvention purposes with far greater necessarily constitute ‘‘substantial merchandise, as defined in the ease than a coating and ink–making transformation’’ and, in this case, does Department’s initiation and as defined operation. not, given the considerations listed for this final determination. Finally, the ITC concluded that, while above. While slitting and packaging might slit and jumbo TTR are like products, Similarly, in DRAMs, we decided that account for 34 percent of the total cost U.S. slitting and packaging operations wafers shipped to a third country to be of production,4 the processes and (or ‘‘converters’’) were not part of the used in the assembly of DRAMs (subject equipment involved do not amount to domestic industry for purposes of this merchandise) did not amount to substantial transformation of the jumbo investigation, ‘‘for lack of sufficient substantial transformation because the TTR for antidumping purposes. production related activities.’’ Id. at 13. wafers were the ‘‘essential’’ component According to information submitted by The implication of the ITC’s conclusion, in the product. In this case, the ITC petitioner, and not rebutted by any party based on its extensive multi–pronged report notes petitioner’s statement, to this investigation, a slitting operation analysis, is that TTR is the product of unrefuted by respondents, that ‘‘the requires only a fraction of the capital coating and ink–making, not slitting and essential characteristic of finished TTR, investment required for a coating and packaging: ‘‘The production related like that of jumbo TTR, is that of a strip ink–making operation.5 Moreover, the activities of converters are insufficient of PET film coated with ink.’’ We agree for such firms to be deemed producers and note that the essential characteristic 3 Notice of Initiation of Countervailing Duty of the domestic like product.’’ Id. While is contained in the jumbo TTR imported Investigation: Dynamic Random Access Memory we are not bound by the ITC’s decisions, into the third country. Semiconductors from the Republic of Korea, 67 FR 70927, 70928 (November 27, 2002) (DRAMs); the ITC’s determination is important to Therefore, in light of this fact and the EPROMs, 51 FR at 39692; Dynamic Random Access consider in this particular instance facts discussed below, we determine Memory Semiconductors of 256 Kilobits and Above because it is based on the full that slitting jumbo rolls does not from Japan; Suspension of Investigation and participation of respondents and constitute substantial transformation. Amendment of Preliminary Determination, 51 FR 28396, 28397 (August 7, 1986); Notice of petitioner, whereas respondent Jumbo rolls originating in France but slit Preliminary Determination of Sales at Less Than withdrew its information from our in a third country will be subject to any Fair Value: Certain Hot-Rolled Carbon Steel Flat investigation. antidumping duties imposed on French Products From the People’s Republic of China, 66 As the Department has stated on FR 22183, 22186 (May 3, 2001); Memorandum to TTR, if an antidumping duty order on Troy H. Cribb, Acting Assistant Secretary, from numerous occasions, CBP decisions such products is issued. Holly Kuga, Acting Deputy Assistant Secretary, regarding substantial transformation and Issues and Decision Memorandum for the customs regulations, referred to by Period of Investigation Investigation of Certain Cold-Rolled Flat-Rolled respondent, are not binding on the The period of investigation (POI) is Carbon Quality Steel Products from Taiwan, comment 1 (May 22, 2000); Notice of Preliminary Department, because we make these April 1, 2002, through March 31, 2003. Determination of Sales at Less Than Fair Value and decisions with different aims in mind Facts Available Postponement of Final Determination: Steel Wire (e.g., anticircumvention). See, e.g., Rod From Canada, 62 FR 51572, 51573 (October 1, In the preliminary determination, we 1997); Final Determination of Sales at Less Than DRAMs, 67 FR at 70928. The Fair Value: Certain Carbon Steel Butt-Weld Pipe Department’s independent authority to based the dumping margin for the Fittings From India, 60 FR 10545, 10546 (February determine the scope of its investigations mandatory respondent, Armor, on 27, 1995); respectively. has been upheld by the CIT. Diversified adverse facts available pursuant to 4 The ITC report states that ‘‘[s]ix U.S. producers sections 776(a) and 776(b) of the Act. indicate that slitting and packaging accounts for an Products Corp. v. United States, 572 F. average of 34 percent of the cost of finished bar Supp. 883, 887 (CIT 1983). Presumably, The use of adverse facts available was code TTR.’’ Certain Wax and Wax/Resin Thermal a CIT decision interpreting substantial warranted in this investigation because Transfer Ribbons from France, Japan, and Korea, transformation in the context of CBP Armor withdrew its questionnaire Investigations Nos. 731-TA-1039-1041 responses from the record. See (Preliminary), (July 2003) (ITC Report), at 7. regulations, also cited by respondent, DigiPrint apparently is referring to this figure, when also is not binding on the Department. Preliminary Determination, 68 FR at it refers to 34 percent in its January 2, 2004 While the other facts noted by 71069. The withdrawal of such submission. Figures placed on the record by respondent are not necessarily information significantly impeded this petitioner related to this issue are proprietary, but proceeding because the Department indicate that the relevant figure might be irrelevant to this determination, they do significantly less than 34 percent, depending on the not overcome the conclusion indicated cannot determine a margin without country in which the slitter is located, the type of by the fact that the slitting and responses to our questionnaires. In equipment used, the degree of automation involved, packaging of jumbo rolls into slit TTR addition, we found that Armor failed to and whether the process relies more on labor than capital. does not create a ‘‘new and different cooperate to the best of its ability. We 5 These figures agree with statements made by article.’’ In other words, the totality of assigned Armor the highest margin DNP, a respondent in the Japanese TTR the circumstances indicates that slitting listed in the notice of initiation. See investigation, recorded in the preliminary report by does not constitute substantial Notice of Initiation of Antidumping the U.S. International Trade Commission (ITC), that transformation for antidumping Duty Investigation: Thermal Transfer capital investment in a slitting operation was ‘‘generally very small’’ ($100,000 to $300,000). Id. purposes. Even accepting, arguendo, Ribbons From France, Japan and the at 14. DigiPrint’s statement regarding the Republic of Korea, 68 FR 38305 (June

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27, 2003). A complete explanation of the antidumping duty order directing CBP Development Agreement (‘‘CRADA’’) selection, corroboration, and application officials to assess antidumping duties on with the licensee to perform further of adverse facts available can be found all imports of the subject merchandise research on the invention for purposes in the preliminary determination. See entered, or withdrawn from warehouse of commercialization. The invention Preliminary Determination, 68 FR at for consumption on or after the effective available for licensing is: 71070–71.Nothing has changed since date of the suspension of liquidation. the preliminary determination was This notice also serves as a reminder NIST Docket Number: 01–004. issued that would affect the to parties subject to APO of their Title: Method For Producing Metal Department’s selection and application responsibility concerning the Particles by Spray Pyrolysis Using a Co- of facts available. No interested parties disposition of proprietary information solvent and Apparatus Therefore. commented on any aspect of our disclosed under APO in accordance Abstract: Gas-to-particle conversion application of adverse facts available. with 19 CFR 351.305. Timely processes have been used to produce Accordingly, for the final determination, notification of return/destruction of various micro and nanoscale metal we continue to use the highest margin APO materials or conversion to judicial powders because of their convenient stated in the notice of initiation for protective order is hereby requested. process characteristics. Recently, Armor. The ‘‘All Others’’ rate remains Failure to comply with the regulations hydrogen gas approaches for reducing unchanged as well. and the terms of an APO is a metal oxides made from metal precursor sanctionable violation. aerosols in gas-to-particle conversion Analysis of Comments Received This determination is issued and processes were developed by several We received no comments from published in accordance with sections research groups. However, aerosol interested parties in response to our 735(d) and 777(i)(1) of the Act. decomposition reactions may be very preliminary determination in this Dated: March 1, 2004. dangerous at high temperatures due to investigation, except for the comments James J. Jochum, the explosive potential of hydrogen at on the country–of-origin issue, which high concentrations in the presence of Assistant Secretary for Import are fully addressed above. We received Administration. oxygen. This invention is a novel no case briefs or rebuttal briefs. We did process based on the use of a co-solvent [FR Doc. 04–5163 Filed 3–5–04; 8:45 am] not hold a hearing because none was for preparing pure metal nanoparticles requested. BILLING CODE 3510–DS–S under safe conditions in a high- temperature aerosol decomposition Continuation of Suspension of reactor. The resulting copper Liquidation DEPARTMENT OF COMMERCE nanoparticles prepared from copper In accordance with section National Institute of Standards and nitrate using a nitrogen carrier gas at 735(c)(1)(B) of the Act, we are directing Technology 600° C with a 3.3 second resident time CBP to continue to suspend liquidation are pure. X-ray diffraction is used for of all entries of TTR exported from Notice of Jointly Owned Invention measuring particle composition and a France that are entered, or withdrawn Available for Licensing transmission electron microscope (TEM) from warehouse, for consumption on or is used for imaging to determine particle AGENCY: National Institute of Standards after the date of publication of the morphology. preliminary determination. CBP shall and Technology, Commerce. Dated: March 1, 2004. continue to require a cash deposit or the ACTION: Notice of jointly owned posting of a bond based on the invention available for licensing. Hratch G. Semerjian, Deputy Director. estimated dumping margins shown SUMMARY: The invention listed below is [FR Doc. 04–5166 Filed 3–5–04; 8:45 am] below. The suspension of liquidation jointly owned by the U.S. Government, BILLING CODE 3510–13–P instructions will remain in effect until as represented by the Department of further notice.We determine that the Commerce, and the University of following dumping margins exist: Maryland. The Department of DEPARTMENT OF COMMERCE Margin Commerce’s interest in the invention is Manufacturer/exporter (percent) available for licensing in accordance National Institute of Standards and with 35 U.S.C. 207 and 37 CFR part 404 Technology Armor S.A...... 60.60 to achieve expeditious All Others ...... 44.93 commercialization of results of federally Announcing a Meeting of the funded research and development. Information Security and Privacy International Trade Commission FOR FURTHER INFORMATION CONTACT: Advisory Board Notification Technical and licensing information on AGENCY: National Institute of Standards In accordance with section 735(d) of this invention may be obtained by and Technology. writing to: National Institute of the Act, we have notified the ITC of our ACTION: Notice of meeting. determination. The ITC will determine, Standards and Technology, Office of within 45 days, whether imports of Technology Partnerships, Attn: Mary SUMMARY: Pursuant to the Federal subject merchandise from France are Clague, Building 820, Room 213, Advisory Committee Act, 5 U.S.C. App., materially injuring, or threatening Gaithersburg, MD 20899. Information is notice is hereby given that the material injury to, an industry in the also available via telephone: 301–975– Information Security and Privacy United States. If the ITC determines that 4188 , fax 301–869–2751, or e-mail: Advisory Board (ISPAB) will meet material injury or threat of injury does [email protected]. Any request for Tuesday, March 16, 2004, from 8:30 not exist, this proceeding will be information should include the NIST a.m. until 5 p.m., Wednesday, March 17, terminated and all securities posted will Docket number and title for the 2004, from 8:30 a.m. until 5 p.m. and be refunded or canceled. If the ITC invention as indicated below. Thursday, March 18, 2004, from 8:30 determines that such injury does exist, SUPPLEMENTARY INFORMATION: NIST may a.m. until 1 p.m. All sessions will be the Department will issue an enter into a Cooperative Research and open to the public. The Advisory Board

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was established by the Computer Dated: March 1, 2004. Budget: 2002, 2003, 2004–5 Security Act of 1987 (Pub. L. 100–235) Hratch G. Semerjian, Pending Travel and Contracts and amended by the Federal Deputy Director. Other Business Information Security Management Act [FR Doc. 04–5165 Filed 3–5–04; 8:45 am] March 31, 2004, 9 a.m.–5 p.m. of 2002 (Pub. L. 107–347) to advise the BILLING CODE 3510–CN–P Secretary of Commerce and the Director Presentations: of NIST on security and privacy issues pertaining to Federal computer systems. DEPARTMENT OF COMMERCE Study on Costs and Earnings Trap Details regarding the Board’s activities Fishery - Juan Agar are available at http://csrc.nist.gov/ National Oceanic and Atmospheric Southeast Data and Review (SEDAR) ispab/. Administration - John Carmichael DATES: The meeting will be held on [I.D. 030104E] Lobster Assessment - David Die March 16, 2004, from 8:30 a.m. until 5 Discussion Sustainable Fisheries Act p.m., March 17, 2004, from 8:30 a.m. Caribbean Fishery Management (SFA) Draft Document until 5 p.m. and March 18, 2004, from Council; Public Meeting 8:30 a.m. until 1 p.m. Table 14 AGENCY: National Marine Fisheries ADDRESSES: The meeting will take place Closure Grammanic Bank Service (NMFS), National Oceanic and at the Hyatt Regency Hotel Bethesda, Atmospheric Administration (NOAA), Enforcement Report 7400 Wisconsin Avenue, Bethesda, Maryland. Commerce. Puerto Rico ACTION: Notice of public meetings. Agenda U.S. Virgin Islands • SUMMARY: The Caribbean Fishery NOAA Welcome and overview; U.S. Coast Guard • Customer Service Management Management Council (Council) and its (CRM) activities session; Administrative Committee will hold Administrative Committee • Review of budget history of NIST meetings. Recommendations Information Technology Laboratory’s DATES: The meetings will be held on Computer Security Division; March 30–31, 2004. The Council will March 30th, 2004 • Discussion of Federal IT security convene on Tuesday, March 30, 2004, Meetings Attended by Council Members professional credentials; from 9 a.m. to 5 p.m., and the and Staff • Update and re-evaluation of Board’s Administrative Committee will meet Work Plan agenda; from 5:15 p.m. to 6:15 p.m. The Council Other Business • Agenda development for June 2004 will reconvene on Wednesday, March Next Council Meeting ISPAB meeting; 31, 2004, from 9 a.m. to 5 p.m., • Wrap-up. approximately. The meetings are open to the public, and will be conducted in English. Note that agenda items may change ADDRESSES: The meetings will be held at Simultaneous translation will be without notice because of possible the Mayaguez Resort and Casino, provided (English-Spanish). Fishers and unexpected schedule conflicts of Rd.104, Km. 0.3, Mayaguez, Puerto Rico other interested persons are invited to presenters. 00680. Public Participation: The Board attend and participate with oral or agenda will include a period of time, FOR FURTHER INFORMATION CONTACT: written statements regarding agenda not to exceed 30 minutes, for oral Caribbean Fishery Management Council, issues. comments and questions from the 268 Munoz Rivera Avenue, Suite 1108, Although non-emergency issues not public. Each speaker will be limited to San Juan, Puerto Rico 00918–1920, contained in this agenda may come five minutes. Members of the public telephone: (787) 766–5926. before this group for discussion, those who are interested in speaking are asked SUPPLEMENTARY INFORMATION: The issues may not be the subject of formal to contact the Board Secretariat at the Council will hold its 115th regular action during this meeting. Action will telephone number indicated below. In public meeting to discuss the items be restricted to those issues specifically addition, written statements are invited contained in the following agenda: identified in this notice and any issues and may be submitted to the Board at March 30, 2004, 9 a.m.–5 p.m. arising after publication of this notice any time. Written statements should be that require emergency action under directed to the ISPAB Secretariat, Call to Order section 305(c) of the Magnuson-Stevens Information Technology Laboratory, 100 Adoption of Agenda Fishery Conservation and Management Bureau Drive, Stop 8930, National Act, provided the public has been Consideration of 113th and 114th Institute of Standards and Technology, notified of the Council’s intent to take Council Meeting Verbatim Minutes Gaithersburg, MD 20899–8930. It would final action to address the emergency. be appreciated if 25 copies of written Executive Director’s Report Special Accommodations material were submitted for distribution Proposed Rule (PR) New Regulations - to the Board and attendees no later than Aida Rosario These meetings are physically March 9, 2004. Approximately 15 seats accessible to people with disabilities. will be available for the public and Discussion of Essential Fish Habitat/ For more information or request for sign media. Environmental Impact Statement (EFH/ language interpretation and/other FOR FURTHER INFORMATION CONTACT: Ms. EIS) - Bob Trumble auxiliary aids, please contact Mr. Joan Hash, Board Secretariat, 5:15 p.m.–6:15 p.m. Miguel A. Rolon, Executive Director, Information Technology Laboratory, Caribbean Fishery Management Council, National Institute of Standards and Administrative Committee Meeting 268 Munoz Rivera Avenue, Suite 1108, Technology, 100 Bureau Drive, Stop Advisory Panel/Scientific and San Juan, Puerto Rico, 00918–2577, 8930, Gaithersburg, MD 20899–8930, Statistical Committee/Habitat Advisory telephone: (787) 766–5926, at least 5 telephone: (301) 975–3357. Panel Membership days prior to the meeting date.

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Dated: March 2, 2004. (f) U.S. Fish & Wildlife Report Enforcement Committee: The Peter H. Fricke, 2. Draft Programmatic Supplemental Enforcement Committee will meet Acting Director, Office of Sustainable Environment Impact Statement during each meeting of the Council to Fisheries, National Marine Fisheries Service. (DPSEIS): (a) Final action on Groundfish discuss enforcement issues or concerns [FR Doc. 04–5185 Filed 3–5–04; 8:45 am] Programmatic Supplemental related to any subject on the Council BILLING CODE 3510–22–S Environmental Impact Statement; (b) agenda. Final Review of Groundfish Fishery Management Plan. Special Accommodations DEPARTMENT OF COMMERCE 3. Habitat Area Particular Concern These meetings are physically (HAPC): Receive report from Plan Team accessible to people with disabilities. National Oceanic and Atmospheric on HAPC proposals. Requests for sign language Administration 4. Aleutian Island Pollock: Initial interpretation or other auxiliary aids [I.D. 030104D] Review of analysis to establish Adak should be directed to Gail Bendixen at pollock allocation. 907–271–2809 at least 7 working days North Pacific Fishery Management 5. Gulf of Alaska (GOA) Groundfish prior to the meeting date. Council; Public Meetings Rationalization: Discuss State water Dated: March 2, 2004. management issues. Peter H. Fricke, AGENCY: National Marine Fisheries 6. Improved Retention/Improved Service (NMFS), National Oceanic and Utilization (IR/IU): Receive progress Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. Atmospheric Administration (NOAA), report on Amendment 80 and provide Commerce. input as necessary. [FR Doc. 04–5184 Filed 3–5–04; 8:45 am] ACTION: Notice of public meetings. 7. Observer Program: (a) Receive BILLING CODE 3510–22–S Observer Advisory Committee report; SUMMARY: The North Pacific Fishery (b) Receive update on analysis and DEPARTMENT OF COMMERCE Management Council (Council) and its provide input as necessary. advisory committees will hold public 8. Community Development Quota National Oceanic and Atmospheric meetings March 29 through April 6, (CDQ): (a) Receive report on status of Administration 2004 in Anchorage, AK. Bering Sea Aleutian Island Amendment DATES: The meetings will be held on 71; (b) Discuss fishery management [I.D. 030104C] March 29 through April 6, 2004. See issues. Pacific Fishery Management Council; SUPPLEMENTARY INFORMATION for specific 9. National/Regional bycatch plans: Public Meeting dates and times. Receive update. ADDRESSES: The meetings will be held at 10. Scallop Fishery Management Plan: AGENCY: National Marine Fisheries the Anchorage Hilton Hotel, 500 W 3rd Receive update and develop alternatives Service (NMFS), National Oceanic and Avenue, Anchorage, AK. to modify the Licence Limitation Atmospheric Administration (NOAA), Council address: North Pacific Program. Commerce. 11. Staff Tasking: Review tasking and Fishery Management Council, 605 W. ACTION: Notice of public meeting. 4th Avenue, Suite 306, Anchorage, AK provide direction to staff. 99501–2252. 12. Other Business. SUMMARY: The Pacific Fishery Although non-emergency issues not Management Council’s (Council) Ad FOR FURTHER INFORMATION CONTACT: contained in this agenda may come Council staff, telephone: 907–271–2809. Hoc Groundfish Information Policy before this Council for discussion, in Committee (Committee) will hold a SUPPLEMENTARY INFORMATION: The accordance with the Magnuson-Stevens working meeting, which is open to the Council’s Advisory Panel will begin at Fishery Conservation and Management public. 8 a.m., Monday, March 29, and continue Act, these issues may not be the subject DATES: The Committee meeting will be through Saturday, April 3rd, 2004. The of formal Council action during the held Tuesday, March 23, 2004 from 8 Scientific and Statistical Committee will meeting. Council action will be a.m. until business for the day is begin at 8 a.m. on Monday, March 29, restricted to those issues specifically completed. and continue through Wednesday, identified in the agenda listed in this ADDRESSES: The Committee meeting March 31, 2004. notice and any issues arising after will be held at the Sheraton Portland The Council will begin its plenary publication of this notice that require Airport Hotel, 8235 NE Airport Way, session at 8 a.m. on Wednesday, March emergency action under section 305(c) Portland, OR 97220; telephone: (503) 31 continuing through Tuesday April 6. of the Magnuson-Stevens Act, provided All meetings are open to the public 249–7642. the public has been notified of the Council address: Pacific Fishery except executive sessions. The Council’s intent to take final action to Enforcement Committee will meet Management Council, 7700 NE address the emergency. Ambassador Place, Suite 200, Portland, Monday, March 29. Scientific and Statistical Committee OR 97220–1384. Council Plenary Session: The agenda (SSC): The SSC agenda will include the for the Council’s plenary session will following issues: FOR FURTHER INFORMATION CONTACT: Dr. include the following issues. The 1. Draft Programmatic Supplemental Ed Waters, Fishery Economics Staff Council may take appropriate action on Environmental Impact Statement Officer Coordinator; telephone: (503) any of the issues identified. (DPSEIS) 820–2280. 1. Reports 2. HAPC SUPPLEMENTARY INFORMATION: The (a) Executive Director’s Report 3. Aleutian Island Pollock purpose of the Committee meeting is to (b) NMFS Report 4. National/Regional bycatch plans. formulate and recommend a groundfish (c) Enforcement Report 5. Scallop Fishery Management Plan information management policy to the (d) Coast Guard Report Advisory Panel: The Advisory Panel Council. The recommended policy will (e) Alaska Department of Fish & Game will address the same agenda issues as categorize the types of and sources of Report the Council. information in use for groundfish

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management, consider what new types SUMMARY: The Pacific Fishery Carolyn Porter at (503) 820–2280 at least of information may be available in the Management Council’s (Council) Ad 5 days prior to the meeting date. future, specify review requirements for Hoc Allocation Committee (Committee) Dated: March 2, 2004. new information before it can become will hold a working meeting, which is Peter H. Fricke, part of the decision-making process, open to the public. Acting Director, Office of Sustainable consider guidelines for replacing older DATES: The Committee meeting will be Fisheries, National Marine Fisheries Service. information with new or updated held Wednesday, March 24, 2004, from [FR Doc. 04–5186 Filed 3–5–04; 8:45 am] information, and recommend an 8 a.m. until business for the day is BILLING CODE 3510–22–S implementation time line that facilitates completed. The Committee meeting will the groundfish management process reconvene on Thursday, March 25, while considering the magnitude of 2004, from 8 a.m. until business is DEPARTMENT OF COMMERCE potential harm to the species of concern completed. and disruption to the fishery that can ADDRESSES: The Committee meeting National Oceanic and Atmospheric result from untimely incorporation of will be held at the Sheraton Portland Administration new information. Airport Hotel, 8235 NE Airport Way, [I.D. 013004C] No management actions will be Portland, OR 97220; telephone: (503) decided by the Committee. The 249–7642. Marine Mammals; File Nos. 655–1652 Committee’s role will be development of Council address: Pacific Fishery and 775–1600 recommendations for consideration by Management Council, 7700 NE the Council at its April meeting in Ambassador Place, Suite 200, Portland, AGENCY: National Marine Fisheries Sacramento, CA. OR 97220–1384. Service (NMFS), National Oceanic and Although non-emergency issues not FOR FURTHER INFORMATION CONTACT: Mr. Atmospheric Administration (NOAA), contained in the meeting agenda may John DeVore, Groundfish Fishery Commerce. come before the Committee for Management Coordinator; telephone: ACTION: Issuance of permit and permit discussion, those issues may not be the (503) 820–2280. amendment. subject of formal Committee action SUPPLEMENTARY INFORMATION: The during this meeting. Committee action SUMMARY: Notice is hereby given that purpose of the Committee meeting is to Scott D. Kraus, Ph.D., Edgerton Research will be restricted to those issues develop options for allocations and specifically listed in this notice and any Laboratory, New England Aquarium, other management measures for the Central Wharf, Boston, MA 02110–3309 issues arising after publication of this 2005–06 Pacific Coast groundfish notice that require emergency action has been issued a permit to take fishery. The Committee will discuss the northern right whales (Eubalaena under section 305(c) of the Magnuson- types of provisions that may be Stevens Fishery Conservation and glacialis) for purposes of scientific necessary to prevent further overfishing, research. The Northeast Fisheries Management Act, provided the public to reduce bycatch of overfished species has been notified of the Committee’s Science Center, NMFS,166 Water Street, in the various groundfish fisheries, and Woods Hole, Massachusetts 02543–1026 intent to take final action to address the to reduce bycatch in non-groundfish emergency. [Principal Investigator (PI): Dr. John fisheries. In addition, the Committee Boreman] has been issued a major Special Accommodations may evaluate current catch levels of amendment to Permit No. 775–1600–06 overfished groundfish species and This meeting is physically accessible to take northern right whales for propose inseason adjustments. No to people with disabilities. Requests for purposes of scientific research. management actions will be decided by sign language interpretation or other ADDRESSES: the Committee. The Committee’s role The permit, permit auxiliary aids should be directed to Ms. will be the development of amendment, and related documents are Carolyn Porter at (503) 820–2280 at least recommendations for consideration by available for review upon written 5 days prior to the meeting date. the Pacific Fishery Management Council request or by appointment in the Dated: March 2, 2004. at its April meeting in Sacramento, CA. following office(s): Peter H. Fricke, Although non-emergency issues not Permits, Conservation and Education Division, Office of Protected Resources, Acting Director, Office of Sustainable contained in the meeting agenda may Fisheries, National Marine Fisheries Service. come before the Committee for NMFS, 1315 East-West Highway, Room 13705, Silver Spring, MD 20910; phone [FR Doc. 04–5167 Filed 3–5–04; 8:45 am] discussion, those issues may not be the (301)713–2289; fax (301)713–0376; BILLING CODE 3510–22–S subject of formal Committee action during this meeting. Committee action Northeast Region, NMFS, One will be restricted to those issues Blackburn Drive, Gloucester, MA DEPARTMENT OF COMMERCE specifically listed in this notice and any 01930–2298; phone (978)281–9200; fax issues arising after publication of this (978)281–9371; Southeast Region, NMFS, 9721 National Oceanic and Atmospheric notice that require emergency action Executive Center Drive North, St. Administration under section 305(c) of the Magnuson- Petersburg, FL 33702–2432; phone Stevens Fishery Conservation and (727)570–5301; fax (727)570–5320. [I.D. 030104F] Management Act, provided the public has been notified of the Committee’s FOR FURTHER INFORMATION CONTACT: Dr. Pacific Fishery Management Council; intent to take final action to address the Tammy Adams or Ruth Johnson, Public Meeting emergency. (301)713–2289. SUPPLEMENTARY INFORMATION: File No. AGENCY: National Marine Fisheries Special Accommodations Service (NMFS), National Oceanic and 655–1652. On October 16, 2001, notice Atmospheric Administration (NOAA), This meeting is physically accessible was published in the Federal Register Commerce. to people with disabilities. Requests for (66 FR 52594) that a request for a sign language interpretation or other scientific research permit to take ACTION: Notice of a public meeting. auxiliary aids should be directed to Ms. northern right whales had been

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submitted by the above-named for in good faith, (2) will not operate to (MMPA; 16 U.S.C. 1361 et seq.), the individual. The requested permit has the disadvantage of the endangered Regulations Governing the Taking and been issued under the authority of the species which is the subject of this Importing of Marine Mammals (50 CFR Marine Mammal Protection Act of 1972, permit, and (3) are consistent with the part 216), the Endangered Species Act of as amended (16 U.S.C. 1361 et seq.), the purposes and policies set forth in 1973, as amended (ESA; 16 U.S.C. 1531 Regulations Governing the Taking and section 2 of the ESA. et seq.), and the regulations governing Importing of Marine Mammals (50 CFR Dated: March 1, 2004. the taking, importing, and exporting of part 216), the Endangered Species Act of Stephen L. Leathery, endangered and threatened species (50 1973, as amended (ESA; 16 U.S.C. 1531 CFR 222–226). et seq.), and the regulations governing Chief, Permits, Conservation and Education Division, Office of Protected Resources, The ASLC requests a 5–year permit to the taking, importing, and exporting of National Marine Fisheries Service. continue its research on three endangered and threatened species (50 [FR Doc. 04–5189 Filed 3–5–04; 8:45 am] permanently captive Steller sea lions CFR parts 222–226). held by the ASLC to investigate stress Permit No. 65–1652–00 authorizes Dr. BILLING CODE 3510–22–S responses, endocrine and immune Kraus to conduct research involving system function, and seasonal variations monitoring the health and status of DEPARTMENT OF COMMERCE to normal biological parameters such as North Atlantic right whales, including mass and body composition, and to aerial and shipboard surveys, photo- National Oceanic and Atmospheric conduct research and development of identification, remote biopsy sampling, Administration attachment of scientific instruments, external tags and attachments for future and blubber ultrasound measurements. [I.D. 030204A] deployment in the field. These animals Up to 300 whales per year may be taken will also be used to develop and test for up to five years. Marine Mammals; File No. 881–1745 less intrusive methods that can be used File No. 775–1600. On October 27, in the field. Authorization is requested: AGENCY: National Marine Fisheries (1) for attachment of scientific 2000, notice was published in the Service (NMFS), National Oceanic and Federal Register (65 FR 64432) that a instruments, stomach temperature Atmospheric Administration (NOAA), telemetry, stable isotope administration request for a scientific research permit Commerce. to take seven species of baleen whale, via food or intravenously, oral 21 species of odontocetes, and four ACTION: Receipt of application. administration of deuterium labeled species of pinnipeds had been vitamins, and video/photographic/ SUMMARY: submitted by the above-named Notice is hereby given that radiographic/digital/thermal imaging; organization. Permit No. 775–1600–00 the Alaska SeaLife Center (ASLC), P.O. (2) for collecting morphometric data, was issued on March 6, 2001 (66 FR Box 1329, Seward, Alaska 99664 (Dr. blubber ultrasound measurements, 14135) and subsequently amended six Shannon Atkinson, Principal blood samples, epidermal and mucosal times for various reasons. Permit No. Investigator), has applied for a permit to swabs, blubber biopsies, and 775–1600–00 and its subsequent take Steller sea lions (Eumetopias bioenergetic and metabolic amendments prohibited biopsy jubatus) for purposes of scientific measurements; (3) for conducting sampling of right whale calves less than research. bioelectrical impedance analysis, six months old and females DATES: Written, telefaxed, or e-mail hormone stimulation trials, food trials/ accompanied by such calves. The comments must be received on or before dietary manipulation/fasting studies, Permit Holders requested April 7, 2004. underwater foraging and drag trials; and (4) for determining body condition via reconsideration of this prohibition and ADDRESSES: The application and related provided additional information in documents are available for review D20 injections and total blood volume support of their request to biopsy upon written request or by appointment via Evans blue dye injection. sample calves of any age (except in the following office(s): Written comments or requests for a newborns) and females accompanied by Permits, Conservation and Education public hearing on this application such calves. NMFS did not publish a Division, Office of Protected Resources, should be mailed to the Chief, Permits, notice in the Federal Register regarding NMFS, 1315 East-West Highway, Room Conservation and Education Division, receipt of the request because the 13705, Silver Spring, MD 20910; phone F/PR1, Office of Protected Resources, original application, which was (301)713–2289; fax (301)713–0376; and NMFS, 1315 East-West Highway, Room available for public review and Alaska Region, NMFS, P.O. Box 13705, Silver Spring, MD 20910. Those comment, requested such authorization. 21668, Juneau, AK 99802–1668; phone individuals requesting a hearing should The requested permit amendment has (907)586–7221; fax (907)586–7249. set forth the specific reasons why a been issued under the authority of the Comments may also be submitted by hearing on this particular request would Marine Mammal Protection Act of 1972, e-mail. The mailbox address for be appropriate. as amended (16 U.S.C. 1361 et seq.), the providing email comments is Regulations Governing the Taking and Comments may also be submitted by [email protected]. Include Importing of Marine Mammals (50 CFR facsimile at (301)713–0376, provided in the subject line of the e-mail part 216), the Endangered Species Act of the facsimile is confirmed by hard copy comment the following document 1973, as amended (ESA; 16 U.S.C. 1531 submitted by mail and postmarked no identifier: File No. 881–1745 et seq.), and the regulations governing later than the closing date of the the taking, importing, and exporting of FOR FURTHER INFORMATION CONTACT: comment period. endangered and threatened species (50 Amy Sloan or Dr. Tammy Adams, Concurrent with the publication of CFR parts 222–226). (301)713–2289. this notice in the Federal Register, Issuance of this permit and permit SUPPLEMENTARY INFORMATION: The NMFS is forwarding copies of this amendment, as required by the ESA, subject permit is requested under the application to the Marine Mammal was based on a finding that such permit authority of the Marine Mammal Commission and its Committee of and permit amendment (1) were applied Protection Act of 1972, as amended Scientific Advisors.

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Dated: March 3, 2004. DU exists as surface contamination or Deadline for Intergovernmental Stephen L. Leathery, the DU penetrator remains in the entry Review: August 30, 2004. Chief, Permits, Conservation and Education hole; and (2) targets that can not be Eligible Applicants: The term Division, Office of Protected Resources, decontaminated because the DU has ‘‘eligible applicant’’ means the National Marine Fisheries Service. fused into large areas of the target and following: (a) One or more local [FR Doc. 04–5188 Filed 3–5–04; 8:45 am] it no longer qualifies as a usable target. educational agencies (LEA) that are BILLING CODE 3510–22–S DATES: The Air Force will conduct a eligible to receive a subgrant under the series of scoping meetings to receive Reading First program (title I, part B, public input on alternatives, concerns, subpart 1, Elementary and Secondary DEPARTMENT OF DEFENSE and issues to be addressed in the EA Education Act of 1965, as amended and to solicit public input concerning (ESEA)), (b) one or more public or Air Force the scope of the proposed action and private organizations or agencies alternatives. The schedule and locations (including faith-based organizations) Notice of Intent To Perform an of the scoping meetings are as follows: located in a community served by an Environmental Analysis for the eligible LEA; or (c) one or more of the Removal of Used Depleted Uranium March 23, 2004, 6 p.m.–8 p.m. Sunrise Library, 5400 Harris Ave., Las eligible LEAs, applying in collaboration Targets From Nevada Test and with one or more of the eligible Training Range Vegas, Nevada March 24, 2004, 6 p.m.–8 p.m. Indian organizations or agencies. To qualify AGENCY: United States Air Force, Air Spring Community Center, 719 under (b) of this paragraph, the Combat Command. West Gretta Lane, Indian Springs, organization’s or agency’s application must be on behalf of one or more ACTION: Nevada Notice of intent to prepare an programs that serve preschool-age Environmental Assessment (EA) for the March 25, 2004, 6 p.m.–8 p.m. Bob Ruud Community Center, Main children (such as a Head Start program, Removal of Used Depleted Uranium a child care program, or a family literacy Targets from the Nevada Test And Hall, 150 North Highway 160, Pahrump, Nevada program such as Even Start, or a lab Training Range (NTTR). school at a university), unless the The Air Force will accept comments organization or agency itself operates a SUMMARY: The United States Air Force is at any time during the environmental preschool program. issuing this Notice of intent (NOI) to analysis process. However, to ensure the Estimated Available Funds: announce that it is conducting an Air Force considers relevant scoping $94,439,000. Environmental Assessment (EA) to issues in a timely fashion, all comments describe the proposed action for Estimated Range of Awards: should be forwarded to the address $750,000–$4,500,000. removal of used depleted uranium (DU) below, no later than April 20, 2004. If targets used by A–10 aircraft firing the Estimated Average Size of Awards: during the preparation of the EA, the $2,500,000. 30-Millimeter PGU–14/B API Armor Air Force concludes an Environmental Piercing Incendiary round containing Estimated Number of Awards: 21– Impact Statement (EIS) is warranted, 125. sub-caliber high density DU penetrators comments received during this scoping from the Nevada Test and Training period will be considered in the Note: The Department is not bound by any Range (NTTR). This NOI describes the preparation of the EIS. estimates in this notice. Air Force’s proposed scoping process FOR FURTHER INFORMATION CONTACT: Ms. Project Period: Up to 36 months. and identifies the Air Force’s point of Sheryl Parker, HQ ACC/CEVP, 129 Full Text of Announcement contact. Andrews St., Suite 102, Langley AFB, The proposed EA will be prepared in I. Funding Opportunity Description VA 23665–2769, (757) 764–9334 compliance with the National Purpose of Program: This program Environmental Policy Act (NEPA) of Pamela Fitzgerald, supports local efforts to enhance the 1969 (42 U.S.C. 4321–4347), the Council Air Force Federal Register Liaison Officer. oral language, cognitive, and early on Environmental Quality NEPA [FR Doc. 04–5131 Filed 3–5–04; 8:45 am] reading skills of preschool-age children, Regulations (40 CFR 1500–1508); and BILLING CODE 5001–05–P especially those from low-income the Air Force’s Environmental Impact families, through strategies, materials, Analysis Process (EIAP) (Air Force and professional development that are Instruction 32–7061 as promulgated at DEPARTMENT OF EDUCATION grounded in scientifically based reading 32 CFR 989) to determine the potential research. environmental impacts of removing Office of Elementary and Secondary Priorities: Under this competition we targets formerly used by A–10 aircraft Education; Overview Information; are particularly interested in for DU testing and training at the NTTR. Early Reading First; Notice Inviting applications that address the following As part of the proposal, the Air Force Applications for New Awards for Fiscal invitational and competitive priorities. will analyze various disposal Year (FY) 2004 Invitational Priorities: For FY 2004 alternatives for DU contaminated targets these priorities are invitational and debris currently located in the 60- Catalog of Federal Domestic Assistance priorities. Under 35 CFR 75.105(c)(1) we Series Ranges (Target 63–10) in the (CFDA) Number: 84.359A/B. do not give an application that meets Southwest area of NTTR. Because the Dates: these invitational priorities a targets and debris are in various Applications Available: March 8, competitive or absolute preference over conditions and have varied levels of 2004 (pre- and full applications). other applications. contamination the Air Force requires Deadline for Transmittal of Pre- These priorities are: flexibility in considering alternatives to Applications: April 22, 2004. dismantle, transport, and dispose/reuse Deadline for Transmittal of Invitational Priority 1—Intensity the targets. The targets to be disposed Applications: July 1, 2004 (for The Secretary is especially interested fall into two basic categories: (1) Targets applicants invited to submit full in preschool programs that operate full- that can be decontaminated because the applications only). time, full-year early childhood

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educational programs, at a minimum of This priority is: 1398, Jessup, MD 20794–1398. 6.5 hours per day, 5 days per week, 46 Telephone (toll free): 1–877–433–7827. Novice Applicant weeks per year, and that serve children FAX: (301) 470–1244. If you use a for the two consecutive years prior to The applicant must be a ‘‘novice telecommunications device for the deaf their entry into kindergarten. applicant’’ as defined in 34 CFR 75.225. (TDD), you may call (toll free): 1–877– Scientifically based research on Program Authority: 20 U.S.C. 6371– 576–7734. increasing the effectiveness of early 6376. You may also contact ED Pubs at its childhood education programs serving Applicable Regulations: The Web site: www.ed.gov/pubs/ children from low-income families tells Education Department General edpubs.html or you may contact ED us that children attending such Administrative Regulations (EDGAR) in Pubs at its e-mail address: programs that have a greater intensity of 34 CFR parts 74, 75, 77, 79, 80, 81, 82, [email protected]. service make higher and more persistent 84, 85, 86, 97, 98, and 99. If you request an application package gains in the language and cognitive Note: The regulations in 34 CFR part 86 from ED Pubs, be sure to identify this domains than children who attend early apply to institutions of higher education competition as follows: CFDA number childhood programs that have lesser only. 84.359A/B. intensity of service. In other words, Individuals with disabilities may children who spend more time in high- II. Award Information obtain a copy of the application package in an alternative format (e.g., Braille, quality early childhood education Type of Award: Discretionary grant. large print, audiotape, or computer programs learn more than children who Estimated Available Funds: diskette) by contacting the program spend less time in those programs. The $94,439,000. contact person listed in section VII of purpose of Invitational Priority 1 is to Estimated Range of Awards: encourage preschool programs this notice. $750,000–$4,500,000. 2. Content and Form of Application supported with Early Reading First Estimated Average Size of Awards: Submission: Requirements concerning (ERF) funds to provide services that are $2,500,000. the content of the pre-application and of a sufficient duration and intensity to Estimated Number of Awards: 21– the full application, together with the maximize language and early literacy 125. gains for children enrolled in those forms you must submit, are in the Note: The Department is not bound by any programs. application package for this program. estimates in this notice. Page Limits: The pre-application Invitational Priority 2—Children From Project Period: Up to 36 months. narrative and the full application Low-Income Families narrative for this program (Part II of the III. Eligibility Information The Secretary is especially interested pre- and full applications) are where in projects in which, in all preschool 1. Eligible Applicants: The term you, the applicant, address the selection centers supported by the ERF funds, at ‘‘eligible applicant’’ means the criteria that reviewers use to evaluate least 75 percent of the children enrolled following: (a) One or more LEAs that are your pre- and full applications. You in the preschool qualify to receive free eligible to receive a subgrant under the must limit Part II of the pre-application or reduced priced lunches; or at least 75 Reading First program (title I, part B, to the equivalent of no more than 10 percent of the children enrolled in the subpart 1, ESEA), (b) one or more public pages and Part II of the full application elementary school in the school or private organizations or agencies to the equivalent of no more than 35 attendance area in which that center is (including faith-based organizations) pages. Part III of the full application is located qualify to receive free or located in a community served by an where you, the applicant, provide a reduced priced lunches. eligible LEA; or (c) one or more of the budget narrative that reviewers use to One of the statutory purposes of the eligible LEAs, applying in collaboration evaluate your full application. You must ERF program is to enhance the early with one or more of the eligible limit the budget narrative in Part III of language, literacy, and early reading organizations or agencies. To qualify the full application to the equivalent of development of preschool-age children, under (b) of this paragraph, the no more than 5 pages. Part IV of the full particularly those from low-income organization’s or agency’s application application is where you, the applicant, families. This priority is intended to must be on behalf of one or more provide up to 5 resumes (curriculum increase the likelihood that preschool programs that serve preschool-age vita) and the demonstration of programs supported with ERF funds children (such as a Head Start program, stakeholder support for the project that serve children primarily from low- a child care program, or a family literacy reviewers use to evaluate your full income families. program such as Even Start, or a lab application. You must limit each Competitive Preference Priority: In school at a university), unless the resume to the equivalent of no more accordance with 34 CFR 75.105(b)(2)(ii), organization or agency itself operates a than 3 pages each and limit the this priority is from § 75.225 of the preschool program. demonstration of stakeholder support Education Department General 2. Cost Sharing or Matching: This for the project to the equivalent of no Administrative Regulations (EDGAR), program does not involve cost sharing more than 5 pages. For all page limits, which apply to this program (34 CFR or matching. use the following standards: 75.225). • A ‘‘page’’ is 8.5≥ x 11≥, on one side IV. Application and Submission only, with 1≥ margins at the top, Competitive Preference Priority—Novice Information bottom, and both sides. Applicant 1. Address to Request Application • Double space (no more than three For FY 2004 this priority is a Package: You may obtain the lines per vertical inch) all text in the competitive preference priority. Under application package electronically by application narrative, including titles, 34 CFR 75.105(c)(2)(i) we award an downloading it from the ERF Web site: headings, quotations, and references additional 5 points to a pre-application http://www.ed.gov/programs/ included in the body of the narrative. and an additional 5 points to a full earlyreading/applicant.html. • Text in endnotes, charts, tables, application meeting this competitive You may also contact Education figures, and graphs may be single- priority. Publications Center (ED Pubs), PO Box spaced.

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• Use a font that is either 12 point or Pilot Project for Electronic 3. Place the PR/Award number in the larger or no smaller than 10 pitch Submission of Applications: upper right hand corner of the hard (characters per inch). We are continuing to expand our pilot copy signature page of the ED 424. The page limits do not apply to Part project for electronic submission of 4. Fax the signed ED 424 to the I, the cover sheet and the one-page applications to include additional Application Control Center at (202) abstract; or the following portions of the formula grant programs and additional 260–1349. • full application: Part III, the budget; or discretionary grant competitions. Early We may request that you give us Part IV, the assurances and Reading First—CFDA Number 84.359A/ original signatures on other forms at a certifications; and the endnotes. B is one of the programs included in the later date. Our reviewers will not read any pages pilot project. If you are an applicant Application Deadline Date Extension of your pre-application or full under Early Reading First, you may in Case of System Unavailability: If you application that— submit your application to us in either elect to participate in the e-Application • Exceed the page limit if you apply electronic or paper format. pilot for Early Reading First and you are these standards; or The pilot project involves the use of prevented from submitting your • Exceed the equivalent of the page the Electronic Grant Application System application on the application deadline limit if you apply other standards. (e-Application). If you use e- date because the e-Application system is 3. Submission Dates and Times: Application, you will be entering data unavailable, we will grant you an Applications Available: March 8, online while completing your extension of one business day in order 2004 (pre- and full applications). application. You may not e-mail an to transmit your application Deadline for Transmittal of Pre- electronic copy of a grant application to electronically, by mail, or by hand Applications: April 22, 2004. us. If you participate in this voluntary delivery. We will grant this extension Deadline for Transmittal of Full pilot project by submitting an if— 1. You are a registered user of e- Applications: July 1, 2004 (for application electronically, the data you Application, and you have initiated an applicants invited to submit full enter online will be saved into a e-Application for this competition; and applications only). database. We request your participation 2. (a) The e-Application system is The dates and times for the in e-Application. We shall continue to unavailable for 60 minutes or more transmittal of pre- and full applications evaluate its success and solicit between the hours of 8:30 a.m. and 3:30 by mail or by hand (including a courier suggestions for its improvement. p.m., Washington, DC time, on the service or commercial carrier) are in the If you participate in e-Application, application deadline date; or application package for this program. please note the following: (b) The e-Application system is We do not consider a pre-application • Your participation is voluntary. unavailable for any period of time or a full application that does not • When you enter the e-Application during the last hour of operation (that is, comply with the deadline requirements. system, you will find information about for any period of time between 3:30 p.m. Deadline for Intergovernmental its hours of operation. We strongly and 4:30 p.m., Washington, DC time) on Review: August 30, 2004. recommend that you do not wait until the application deadline date. 4. Intergovernmental Review: This the application deadline date to initiate We must acknowledge and confirm program is subject to Executive Order an e-Application package. these periods of unavailability before 12372 and the regulations in 34 CFR • You will not receive additional granting you an extension. To request part 79. Information about point value because you submit a grant this extension or to confirm our Intergovernmental Review of Federal application in electronic format, nor acknowledgement of any system Programs under Executive Order 12372 will we penalize you if you submit an unavailability, you may contact either is in the application package for this application in paper format. (1) the person listed elsewhere in this program. • You may submit all documents notice under FOR FURTHER INFORMATION 5. Funding Restrictions: We reference electronically, including the CONTACT (see VII. Agency Contact) or (2) regulations outlining funding Application for Federal Education the e-GRANTS help desk at 1–888–336– restrictions in the Applicable Assistance (ED 424), Budget 8930. Regulations section of this notice. Information—Non-Construction You may access the electronic grant 6. Other Submission Requirements: Programs (ED 524), and all necessary application for Early Reading First at: Instructions and requirements for the assurances and certifications. http://e-grants.ed.gov. transmittal of pre-applications and full • applications by mail or by hand Your e-Application must comply V. Application Review Information with any page limit requirements (including a courier service or 1. Selection Criteria: This program has commercial carrier) are in the described in this notice. • separate selection criteria for pre- application package for this program. After you electronically submit applications and full applications. Application Procedures: your application, you will receive an A. Pre-applications: The following automatic acknowledgement, which selection criteria for pre-applications are Note: Some of the procedures in these will include a PR/Award number (an instructions for transmitting applications in section 75.210 of EDGAR. Further differ from those in the Education identifying number unique to your information about each of these Department General Administrative application). selection criteria is in the application • Regulations (EDGAR) (34 CFR 75.102). Under Within three working days after package. The maximum score for the the Administrative Procedure Act (5 U.S.C. submitting your electronic application, pre-application selection criteria is 100 553) the Department generally offers fax a signed copy of the Application for points. The maximum score for each interested parties the opportunity to Federal Education Assistance (ED 424) criterion is indicated at the end of that comment on proposed regulations. However, to the Application Control Center after criterion. these amendments make procedural changes following these steps: only and do not establish new substantive (i) Quality of the project design. The policy. Therefore, under 5 U.S.C. 553(b)(A), 1. Print ED 424 from e-Application. Secretary considers the quality of the the Secretary has determined that proposed 2. The institution’s Authorizing design of the proposed project. In rulemaking is not required. Representative must sign this form. determining the quality of the design of

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the proposed project, the Secretary ensuring equal access and treatment for We will award applicants from 0–10 considers the following factor: eligible project participants who are points for adequacy of resources. (a) The extent to which the proposed members of groups that have (v) Quality of the management plan. project represents an exceptional traditionally been underrepresented The Secretary considers the quality of approach for meeting statutory purposes based on race, color, national origin, the management plan for the proposed and requirements. (34 CFR gender, age, or disability. (34 CFR project. In determining the quality of the 75.210(c)(2)(xiv)) 75.210(d)(1),(2)) management plan for the proposed We will award pre-applicants from 0– In addition, the Secretary considers project, the Secretary considers the 70 points for the quality of the project the following factors: following factors: design. (a) The extent to which the services to (a) The adequacy of the management (ii) Quality of project services. The be provided by the proposed project Secretary considers the quality of the plan to achieve the objectives of the reflect up-to-date knowledge from proposed project on time and within services to be provided by the proposed research and effective practice. (34 CFR project. In determining the quality of the budget, including clearly defined 75.210(d)(3)(iii)) responsibilities, timelines, and services to be provided by the proposed (b) The likelihood that the services to project, the Secretary considers the milestones for accomplishing project be provided by the proposed project tasks. (34 CFR 75.210(g)(2)(i)) quality and sufficiency of strategies for will lead to improvements in the (b) The adequacy of procedures for ensuring equal access and treatment for achievement of students as measured ensuring feedback and continuous eligible project participants who are against rigorous academic standards. (34 improvement in the operation of the members of groups that have CFR 75.210(d)(3)(vii)) proposed project. (34 CFR traditionally been underrepresented We will award applicants from 0–15 75.210(g)(2)(ii)) based on race, color, national origin, points for the quality of project services. gender, age, or disability. (34 CFR (iii) Quality of project personnel. The (c) The extent to which the time 75.210(d)(1),(2)) Secretary considers the quality of the commitments of the project director and In addition, the Secretary considers personnel who will carry out the principal investigator and other key the following factors: proposed project. In determining the project personnel are appropriate and (a) The extent to which the services to quality of project personnel, the adequate to meet the objectives of the be provided by the proposed project Secretary considers the extent to which proposed project. (34 CFR reflect up-to-date knowledge from the applicant encourages applications 75.210(g)(2)(iv)) research and effective practice. (34 CFR for employment from persons who are We will award applicants from 0–10 75.210(d)(3)(iii)) members of groups that have points for the quality of the management (b) The likelihood that the services to traditionally been underrepresented plan. be provided by the proposed project based on race, color, national origin, (vi) Quality of the project evaluation. will lead to improvements in the gender, age, or disability. (34 CFR The Secretary considers the quality of achievement of students as measured 75.210(e)(1),(2)) the evaluation to be conducted of the against rigorous academic standards. (34 In addition, the Secretary considers proposed project. In determining the CFR 75.210(d)(3)(vii)) We will award pre-applicants from 0– the following factors: quality of the evaluation, the Secretary 30 points for the quality of project (a) The qualifications, including considers the following factors: services. relevant training and experience, of the (a) The extent to which the methods B. Full Application: The following project director or principal of evaluation are thorough, feasible, and selection criteria for those invited to investigator. (34 CFR 75.210(e)(3)(i)) appropriate to the goals, objectives, and submit full applications are in section (b) The qualifications, including outcomes of the proposed project. (34 75.210 of EDGAR. Further information relevant training and experience, of key CFR 75.210(h)(2)(i)) about each of these selection criteria is project personnel. (34 CFR (b) The extent to which the methods in the application package. The 75.210(e)(3)(ii)) of evaluation include the use of maximum score for each criterion is (c) The qualifications, including objective performance measures that are indicated at the end of the criterion. relevant training and experience, of clearly related to the intended outcomes (i) Quality of the project design. The project consultants or subcontractors. of the project and will produce Secretary considers the quality of the (34 CFR 75.210(e)(3)(iii)) quantitative and qualitative data to the design of the proposed project. In We will award applicants from 0–10 extent possible. (34 CFR determining the quality of the design of points for the quality of project 75.210(h)(2)(iv)) personnel. the proposed project, the Secretary We will award applicants from 0–10 (iv) Adequacy of resources. The considers the following factor: points for the quality of the project Secretary considers the adequacy of (a) The extent to which the proposed evaluation. project represents an exceptional resources for the proposed project. In (vii) Significance. The Secretary approach for meeting statutory purposes determining the adequacy of resources considers the significance of the and requirements. (34 CFR for the proposed project, the Secretary proposed project. In determining the 75.210(c)(2)(xiv)) considers the following factors: We will award applicants from 0–35 (a) The relevance and demonstrated significance of the proposed project, the points for the quality of the project commitment of each partner in the Secretary considers the following factor: design. proposed project to the implementation (a) The potential contribution of the (ii) Quality of project services. The and success of the project. (34 CFR proposed project to the development Secretary considers the quality of the 75.210(f)(2)(ii)) and advancement of theory, knowledge, services to be provided by the proposed (b) The extent to which the costs are and practices in the field of study. (34 project. In determining the quality of the reasonable in relation to the objectives, CFR 75.210(b)(2)(vi)) services to be provided by the proposed design, and potential significance of the We will award applicants from 0–10 project, the Secretary considers the proposed project. (34 CFR points for the significance of the quality and sufficiency of strategies for 75.210(f)(2)(iv)) proposed project.

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VI. Award Administration Information room 3W240, Washington, DC 20202– enactment of the No Child Left Behind 1. Award Notices: If your pre- 6132. Telephone: (202) 260–2195 or by Act of 2001 (NCLB). application is successful, we notify you e-mail: [email protected]. Estimated Available Funds: $750,000. If you use a telecommunications in writing and post the list of successful Contingent upon the availability of device for the deaf (TDD), you may call applicants on the ERF Web site at funds, the Secretary may make the Federal Information Relay Service www.ed.gov/programs/earlyreading/ additional awards in FY 2005 from the (FIRS) at 1–800–877–8339. awards.html. If your full application is rank-ordered list of unfunded Individuals with disabilities may successful, we notify your U.S. applications from this competition. obtain this document in an alternative Estimated Range of Awards: $50,000– Representative and U.S. Senators and format (e.g., Braille, large print, $125,000. send you a Grant Award Notification audiotape, or computer diskette) on Estimated Average Size of Awards: (GAN). We may also notify you request to the program contact person $75,000. informally. listed in this section. Estimated Number of Awards: 10. If your pre-application is not evaluated, or following the submission VIII. Other Information Note: The Department is not bound by any estimates in this notice. of your pre-application you are not Electronic Access to This Document: invited to submit a full application, we You may view this document, as well as Project Period: Up to 15 months. notify you. If your full application is not all other documents of this Department Full Text of Announcement evaluated or not selected for funding, published in the Federal Register, in we notify you. text or Adobe Portable Document I. Funding Opportunity Description 2. Administrative and National Policy Format (PDF) on the Internet at the Purpose of Program: The Alcohol and Requirements: We identify following site: http://www.ed.gov/news/ Other Drug Prevention Models on administrative and national policy fedregister. College Campuses grant competition requirements in the application package To use PDF you must have Adobe provides awards to identify, enhance, and reference these and other Acrobat Reader, which is available free further evaluate, and disseminate requirements in the Applicable at this site. If you have questions about information about models of alcohol Regulations section of this notice. using PDF, call the U.S. Government and other drug prevention at IHEs. We reference the regulations outlining Printing Office (GPO), toll free, at 1– Priority: We are establishing this the terms and conditions of an award in 888–293–6498; or in the Washington, priority for this competition only, in the Applicable Regulations section of DC, area at (202) 512–1530. accordance with section 437(d)(1) of the this notice and include these and other Note: The official version of this document General Education Provisions Act specific conditions in the GAN. The is the document published in the Federal (GEPA) (20 U.S.C. 1232(d)(1)). GAN also incorporates your approved Register. Free Internet access to the official Absolute Priority: For this application as part of your binding edition of the Federal Register and the Code competition this priority is an absolute commitments under the grant. of Federal Regulations is available on GPO priority. Under 34 CFR 75.105(c)(3) we 3. Reporting: At the end of your Access at: http://www.gpoaccess.gov/nara/ consider only applications that meet project period, you must submit a final index.html. this priority. performance report, including financial Dated: March 3, 2004. This priority is: information, as directed by the Identify, enhance, further evaluate, Raymond Simon, Secretary. If you receive a multi-year and disseminate information about an award, you must submit an annual Assistant Secretary for Elementary and effective alcohol or other drug Secondary Education. performance report that provides the prevention program being implemented most current performance and financial [FR Doc. 04–5149 Filed 3–5–04; 8:45 am] on the applicant’s campus. Under this expenditure information as specified by BILLING CODE 4000–01–P priority, applicants are required to: the Secretary in 34 CFR 75.118. ERF (1) Describe an alcohol or other drug grantees also are required to meet the prevention program that has been DEPARTMENT OF EDUCATION reporting requirements outlined in implemented for at least two full section 1225 of the ESEA. Office of Safe and Drug-Free Schools; academic years on the applicant’s 4. Performance Measures: Under the Overview Information; Alcohol and campus; Government Performance and Results Other Drug Prevention Models on (2) Provide evidence of the Act (GPRA), the Secretary has College Campuses Grant Competition; effectiveness of the program; established the following two measures Notice Inviting Applications for New (3) Provide a plan to enhance and for evaluating the overall effectiveness Awards for Fiscal Year (FY) 2004 further evaluate the program during the of the ERF program: (1) Increasing project period; and percentages of preschool-age children Catalog of Federal Domestic Assistance (4) Provide a plan to disseminate will demonstrate age-appropriate oral (CFDA) Number: 84.184N information to assist other IHEs in language skills; and (2) increasing DATES: Applications Available: March 8, implementing a similar program. percentages of preschool-age children 2004. Waiver of Proposed Rulemaking: will demonstrate letter knowledge. Deadline for Transmittal of Under the Administrative Procedure Act We will expect all grantees to Applications: April 16, 2004. (5 U.S.C. 553) the Department generally document their success in addressing Deadline for Intergovernmental offers interested parties the opportunity these performance measures in the Review: June 16, 2004. to comment on a proposed priority and annual performance report referred to in Eligible Applicants: Institutions of certain selection process requirements. section VI.3. of this notice. higher education (IHEs) that offer an Section 437(d)(1) of GEPA, however, associate or baccalaureate degree. To be exempts from this requirement rules VII. Agency Contact eligible, an IHE must not have received governing the first grant competition For Further Information Contact: an award during the previous five fiscal under a new or substantially revised Mary Anne Lesiak, U.S. Department of years under recognition programs program authority. This is the first Education, 400 Maryland Avenue, SW., (CFDA 84.116X or 84.184N) prior to Alcohol and Other Drug Prevention

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Models on College Campuses grant the Federal Information Relay Service (e-Application). If you use e- competition under the Elementary and (FIRS) at: 1–800–877–5339. Application, you will be entering data Secondary Education Act of 1965 Individuals with disabilities may online while completing your (ESEA), as amended by the NCLB. In obtain a copy of the application package application. You may not e-mail an order to ensure timely grant awards, the in an alternative format (e.g., Braille, electronic copy of a grant application to Secretary has decided to forego public large print, audiotape, or computer us. If you participate in this voluntary comment on the priority and selection diskette) by contacting the program pilot project by submitting an process requirements under section contact person listed in this section. application electronically, the data you 437(d)(1) of GEPA. This priority and 2. Content and Form of Application enter online will be saved into a certain selection process requirements Submission: Requirements concerning database. We request your participation will apply to this grant competition the content of an application, together in e-Application. We shall continue to only. with the forms you must submit, are in evaluate its success and solicit Program Authority: 20 U.S.C. 7131. the application package for this suggestions for its improvement. Applicable Regulations: The competition. If you participate in e-Application, Education Department General 3. Submission Dates and Times: please note the following: Administrative Regulations (EDGAR) in Applications Available: March 8, • Your participation is voluntary. 34 CFR parts 74, 75, 77, 79, 81, 82, 84, 2004. • When you enter the e-Application 85, 86, 97, 98, and 99. Deadline for Transmittal of system, you will find information about Applications: April 16, 2004. The dates its hours of operation. We strongly II. Award Information and times for the transmittal of recommend that you do not wait until Type of Award: Discretionary grants. applications by mail or by hand the application deadline date to initiate Estimated Available Funds: $750,000. (including a courier service or an e-Application package. Contingent upon the availability of commercial carrier) are in the • You will not receive any additional funds, the Secretary may make application package for this point value because you submit a grant additional awards in FY 2005 from the competition. The application package application in electronic format, nor rank-ordered list of unfunded also specifies the hours of operation of will we penalize you if you submit an applications from this competition. the e-Application Web site. application in paper format. Estimated Range of Awards: $50,000– We do not consider an application • You may submit all documents $125,000. that does not comply with the deadline electronically, including the Estimated Average Size of Awards: requirements. Application for Federal Education $75,000. Deadline for Intergovernmental Assistance (ED 424), Budget Estimated Number of Awards: 10. Review: June 16, 2004. Information—Non-Construction 4. Intergovernmental Review: This Programs (ED 524), and all necessary Note: The Department is not bound by any competition is subject to Executive estimates in this notice. assurances and certifications. Order 12372 and the regulations in 34 • After you electronically submit Project Period: Up to 15 months. CFR part 79. Information about your application, you will receive an Intergovernmental Review of Federal III. Eligibility Information automatic acknowledgement, which Programs under Executive Order 12372 will include a PR/Award Number (an 1. Eligible Applicants: Institutions of is in the application package for this identifying number unique to your higher education (IHEs) that offer an competition. application). associate or baccalaureate degree. To be 5. Funding Restrictions: We reference Within three working days after eligible, an IHE must not have received regulations outlining funding submitting your electronic application, an award during the previous five fiscal restrictions in the Applicable fax a signed copy of the Application for years under recognition programs Regulations section of this notice. Federal Education Assistance (ED 424) (CFDA 84.116X or 84.184N) prior to 6. Other Submission Requirements: to the Application Control Center after enactment of the NCLB. Instructions and requirements for the following these steps: 2. Cost Sharing or Matching: This transmittal of applications by mail or by 1. Print ED 424 from e-Application. competition does not involve cost hand (including courier service or 2. The institution’s Authorizing sharing or matching. commercial carrier) are in the Representative must sign this form. application package for this 3. Place the PR/Award number in the IV. Application and Submission competition. upper right hand corner of the hard Information Pilot Project for Electronic Submission copy signature page of the ED 424. 1. Address to Request Application of Applications: We are continuing to 4. Fax the signed ED 424 to the Package: You may obtain an application expand our pilot project for electronic Application Control Center at (202) via the Internet or from the program submission of applications to include 260–1349. office. To obtain a copy via the Internet additional formula grant programs and • We may request that you give us use the following address: http:// additional discretionary grant original signatures on other forms at a www.ed.gov/programs/dvpcollege/ competitions. The Alcohol and Other later date. index.html. To obtain a copy from the Drug Prevention Models on College Application Deadline Date Extension program office, write or call the Campuses grant competition—CFDA in Case of System Unavailability: If you following: Kimberly Light, U.S. number 84.184N is one of the programs elect to participate in the e-Application Department of Education, Office of Safe included in the pilot project. If you are pilot for the Alcohol and Other Drug and Drug-Free Schools, 400 Maryland an applicant under the Alcohol and Prevention Models on College Avenue, SW., room 3E222, Washington, Other Drug Prevention Models on Campuses Grant Competition and you DC 20202–6450. Telephone: (202) 260– College Campuses grant competition, are prevented from submitting your 2647 or by e-mail: you may submit your application to us application on the application deadline [email protected]. in either electronic or paper format. date because the e-Application system is If you use a telecommunications The pilot project involves the use of unavailable, we will grant you an device for the deaf (TDD), you may call the Electronic Grant Application System extension of one business day in order

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to transmit your application GAN also incorporates your approved 3, 2004 at 69 FR 10043. This document is electronically, by mail, or by hand application as part of your binding being republished because the agency name delivery. We will grant this extension commitments under the grant. was printed and indexed incorrectly. This if— 3. Reporting: At the end of your document is being reprinted in its entirety. 1. You are a registered user of e- project period, you must submit a final AGENCY: United States Election Application, and have initiated an e- performance report, including financial Assistance Commission. Application for this competition; and information, as directed by the * * * * * 2. (a) The e-Application system is Secretary. If you receive a multi-year DATE AND TIME: Tuesday, March 23, unavailable for 60 minutes or more award, you must submit an annual 2004, at 10 a.m. between the hours of 8:30 a.m. and 3:30 performance report that provides the PLACE: 1201 Constitution Ave., NW., p.m., Washington, DC time, on the most current performance and financial Washington, DC (EPA East Building, application deadline date; or expenditure information as specified by room 1153). (b) The e-Application system is the Secretary in 34 CFR 75.118. unavailable for any period of time STATUS: This meeting will be open to the during the last hour of operation (that is, VII. Agency Contact public. for any period of time between 3:30 p.m. FOR FURTHER INFORMATION CONTACT: Note: Early arrival: Those attending are and 4:30 p.m., Washington, DC time) on Kimberly Light, U.S. Department of advised to arrive early for registration and the application deadline date. Education, Office of Safe and Drug-Free security check. We must acknowledge and confirm Schools, 400 Maryland Avenue, SW., these periods of unavailability before room 3E222, Washington, DC 20202– PURPOSE: Organizational plans for the granting you an extension. To request 6450. Telephone: (202) 260–2647 or by newly established United States this extension or to confirm our e-mail: [email protected]. Election Assistance Commission. acknowledgement of any system If you use a telecommunications PERSON TO CONTACT FOR INFORMATION: unavailability, you may contact either device for the deaf (TDD), you may call Bryan Whitener, Telephone: (202) 694– (1) the person listed elsewhere in this the Federal Information Relay Service 1095. notice under for Further Information (FIRS) at 1–800–877–8339. DeForest B. Soaries, Jr., Contact (see VII. Agency Contact) or (2) Individuals with disabilities may Chairman, United States Election Assistance the e-GRANTS help desk at 1–888–336– obtain this document in an alternative Commission. 8930. format (e.g., Braille, large print, You may access the electronic grant audiotape, or computer diskette) on [FR Doc. 04–4809 Filed 3–5–04; 10:12 am] application for the Alcohol and Other request to the program contact person Editorial Note: FR Doc. 04–4809 originally Drug Prevention Models on College listed in this section. published in the issue of Wednesday, March Campuses Grant Competition at: http:// Electronic Access to This Document: 3, 2004 at 69 FR 10043. This document is e-grants.ed.gov. You may view this document, as well as being republished because the agency name all other documents of this Department was printed and indexed incorrectly. This V. Application Review Information published in the Federal Register, in document is being reprinted in its entirety. 1. Selection Criteria: The selection text or Adobe Portable Document [FR Doc. R4–4809 Filed 3–5–04; 8:45 am] criteria for this competition are in 34 Format (PDF) on the Internet at the BILLING CODE 1505–01–D CFR 75.210 and in the application following site: http://www.ed.gov/news/ package for this competition. fedregister. 2. Review and Selection Process: In To use PDF you must have Adobe DEPARTMENT OF ENERGY addition to the selection criteria, in Acrobat Reader, which is available free making awards under this grant at this site. If you have questions about Agency Information Collection program, the Secretary may take into using PDF, call the U.S. Government Extension consideration the diversity of activities Printing Office (GPO), toll free, at 1– addressed by the projects in addition to 888–293–6498; or in the Washington, AGENCY: Department of Energy. the rank order of applicants. DC, area at (202) 512–1530. ACTION: Submission for Office of Management and Budget (OMB) review; VI. Award Administration Information Note: The official version of this document comment request. 1. Award Notices: If your application is the document published in the Federal Register. Free Internet access to the official SUMMARY: The Department of Energy is successful, we notify your U.S. edition of the Federal Register and the Code Representative and U.S. Senators and of Federal Regulations is available on GPO (DOE) has submitted an information send you a Grant Award Notification Access at: http://www.gpoaccess.gov/nara/ collection package to the OMB for (GAN). We may also notify you index.html. extension under the provisions of the informally. Paperwork Reduction Act of 1995. The If your application is not evaluated or Dated: March 2, 2004. package requests a three-year extension not selected for funding, we notify you. Deborah A. Price, of its Compliance Statement: Energy/ 2. Administrative and National Policy Deputy Under Secretary for Safe and Drug- Water Conservation Standards for Requirements: We identify Free Schools. Appliances, OMB Control Number administrative and national policy [FR Doc. 04–5154 Filed 3–5–04; 8:45 am] 1910–1400. This information collection requirements in the application package BILLING CODE 4000–01–P package covers information necessary to and reference these and other collect information from manufacturers requirements in the Applicable to determine whether products covered Regulations section of this notice. ELECTION ASSISTANCE COMMISSION under the Energy Policy and We reference the regulations outlining Conservation Act (EPCA or the Act) and the terms and conditions of an award in Sunshine Act Meeting; Republication part 430 of title 10 of the Code of the Applicable Regulations section of Federal Regulations (10 CFR 430) this notice and include these and other Editorial Note: FR Doc. 04–4809 originally comply with required energy specific conditions in the GAN. The published in the issue of Wednesday, March conservation and water conservation

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standards before these products can be section 326(d) of part B of title III of On January 30, 2004, the Office of distributed in commerce. EPCA which states: Fossil Energy (FE) of the Department of DATES: Comments regarding this ‘‘For purposes of carrying out this part, the Energy (DOE) received an application collection must be received on or before Secretary may require, under this part [42 from Exelon to renew its authorization April 7, 2004. If you anticipate that you U.S.C. 6291 et seq.] or other provision of law to transmit electric energy from the will be submitting comments, but find administered by the Secretary, each United States to Canada for a period of it difficult to do so within the period of manufacturer of a covered product to submit five (5) years. Exelon requests that, if time allowed by this notice, please information or reports to the Secretary with DOE approves this application, the respect to energy efficiency, energy use, or, advise the OMB Desk Officer of your in the case of showerheads, faucets, water order authorizing it to export be made intention to make a submission as soon closets, and urinals, water use of such effective as of October 15, 2003, because as possible. The Desk Officer may be covered product . . . to ensure compliance Exelon has inadvertently continued to telephoned at 202–395–7345. with the requirements of this part.’’ 42 U.S.C. trade power since that date. Exelon also ADDRESSES: Written comments should 6296(d). has requested expedited processing of be sent to the DOE Desk Officer, Office Issued in Washington, DC, on March 2, this application. Accordingly, DOE has of Information and Regulatory Affairs, 2004. shortened the public comment period to Office of Management and Budget, New Susan L. Frey, 15 days. Executive Office Building, Room 10102, Director, Records Management Division, Exelon proposes to arrange for the 735 17th Street, NW., Washington, DC Office of the Chief Information Officer. delivery of electric energy to Canada 20503. (Comments should also be [FR Doc. 04–5121 Filed 3–5–04; 8:45 am] over the existing international addressed to Susan L. Frey, Director, transmission facilities owned by Basin BILLING CODE 6450–01–P Records Management Division IM–11/ Electric Power Cooperative, Bonneville Germantown Bldg., Office of the Chief Power Administration, Eastern Maine Information Officer, U.S. Department of DEPARTMENT OF ENERGY Electric Cooperative, International Energy, 1000 Independence Ave, SW., Transmission Company, Joint Owners of Washington, DC 20585–1290, and to [Docket No. EA–249–A] the Highgate Project, Long Sault, Inc., Regina Washington, Office of Energy Maine Electric Power Company, Maine Efficiency and Renewable Energy, 1000 Application to Export Electric Energy; Public Service Company, Minnesota Independence Avenue, SW., Exelon Generation Company, LLC Power Inc., Minnkota Power Washington, DC 20585. Cooperative, New York Power AGENCY: Office of Fossil Energy, DOE. FOR FURTHER INFORMATION CONTACT: Authority, Niagara Mohawk Power ACTION: Notice of application. Susan L. Frey, Director, Records Corporation, Northern States Power, and Management Division, Office of the SUMMARY: Exelon Generation Company, Vermont Electric Transmission Chief Information Officer, U.S. LLC (Exelon) has applied to renew its Company. Department of Energy, 1000 authority to transmit electric energy The construction, operation, Independence Ave, SW., Washington, from the United States to Canada maintenance, and connection of each of DC 20585–1290, (301) 903–3666, or e- pursuant to section 202(e) of the Federal the international transmission facilities mail [email protected]. Power Act. to be utilized by Exelon, as more fully described in the application, has SUPPLEMENTARY INFORMATION: This DATES: Comments, protests or requests previously been authorized by a package contains: (1) OMB No. 1910– to intervene must be submitted on or Presidential permit issued pursuant to 1400; (2) Package Title: Compliance before March 23, 2004. Statement: Energy/Water Conservation Executive Order 10485, as amended. ADDRESSES: Comments, protests or Standards for Appliances; (3) Purpose: Procedural Matters: Any person requests to intervene should be DOE will collect information from desiring to become a party to this addressed as follows: Office of Coal & manufacturers to verify that products proceeding or to be heard by filing Power Import/Export (FE–27), Office of covered under the Act comply with comments or protests to this application Fossil Energy, U.S. Department of required energy conservation and water should file a petition to intervene, Energy, 1000 Independence Avenue, conservation standards prior to comment or protest at the address SW., Washington, DC 20585–0350 (fax distributing these products in provided above in accordance with § § 202–287–5736). commerce. DOE will make a 385.211 or 385.214 of the FERC’s rules determination of compliance by FOR FURTHER INFORMATION CONTACT: of practice and procedures (18 CFR examining manufacturer’s compliance Rosalind Carter (Program Office) 202– 385.211, 385.214). Fifteen copies of each statements and certification reports that 586–7983 or Michael Skinker (Program petition and protest should be filed with each basic model meets the applicable Attorney) 202–586–2793. DOE on or before the date listed above. energy and water conservation standard SUPPLEMENTARY INFORMATION: Exports of Comments on the Exelon application as prescribed in section 325 of the Act. electricity from the United States to a to export electric energy to Canada (4) Estimated Number of Respondents: foreign country are regulated and should be clearly marked with Docket 48; (5) Estimated Total Burden Hours: require authorization under section EA–249–A. Additional copies are to be 1,347; (6) Number of Collections: The 202(e) of the Federal Power Act (FPA) filed directly with Colleen E. Hicks, package contains 14 information and/or (16 U.S.C. 824a(e)). Attorney, Exelon Generation Company, recordkeeping requirements. On August 20, 2001, the Office of LLC, 300 Exelon Way, Kennett Square, Statutory Authority: EPCA mandates Fossil Energy (FE) of the Department of PA 19348. the use of uniform energy and water Energy (DOE) issued Order No. EA–249 A final decision will be made on this conservation standards and testing authorizing Exelon to transmit electric application after the environmental procedures for covered products. DOE energy from the United States to Canada impacts have been evaluated pursuant has previously established compliance as a power marketer using certain to the National Environmental Policy reporting requirements in § 430.62 of international electric transmission Act of 1969, and a determination is title 10 CFR 430. The authority for facilities. That two-year authorization made by the DOE that the proposed certification reporting under part 430 is expired on October 15, 2003. action will not adversely impact on the

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reliability of the U.S. electric power DATES: Applicants are encouraged (but Office of Science, U.S. Department of supply system. not required) to submit a brief Energy, 1000 Independence Ave, SW., Copies of this application will be preapplication for programmatic review. Washington, DC 20585–1290, telephone: made available, upon request, for public There is no deadline for the (301) 903–8288, e-mail: inspection and copying at the address preapplication, but early submission of [email protected], fax: provided above or by accessing the preapplications is encouraged to allow (301) 903–8519. The full text of Program Fossil Energy home page at http:// time for meaningful discussions. Notice DE–FG01–04ER04–16, is www.fe.de.gov. Upon reaching the Fossil The deadline for receipt of formal available via the World Wide Web using Energy home page, select ‘‘Electricity applications is 4:30 p.m., eastern time, the following Web site address: http:// Regulation,’’ and then ‘‘Pending May 11, 2004, to be accepted for merit www.science.doe.gov/production/ Procedures’’ from the options menus. review and to permit timely grants/grants.html. Issued in Washington, DC on March 2, consideration for award in Fiscal Year SUPPLEMENTARY INFORMATION: An 2004. 2004 and early Fiscal Year 2005. integrated assessment of climate change Anthony J. Como, ADDRESSES: Preapplications, referencing is defined here as the analysis of the Deputy Director, Electric Power Regulation, Program Notice DE–FG01–04ER04–16, human (including economics), physical, Office of Coal & Power Import/Export, Office should be sent e-mail to and biological aspects of climate change of Coal & Power Systems, Office of Fossil [email protected]. from the cause, such as greenhouse gas Energy. Formal applications referencing emissions, through impacts, such as [FR Doc. 04–5122 Filed 3–5–04; 8:45 am] Program Notice DE–FG01–04ER04–16, changes in unmanaged ecosystems, sea BILLING CODE 6450–01–P must be sent electronically by an level rise, and altered growing authorized institutional business official conditions for crops. The primary through DOE’s Industry Interactive emphasis in an integrated assessment is DEPARTMENT OF ENERGY Procurement System (IIPS) at: http://e- to represent all three aspects in such a center.doe.gov/. IIPS provides for the way that the costs and benefits of Office of Science Financial Assistance posting of solicitations and receipt of climate change can be evaluated. Program Notice DE–FG01–04ER04–16; applications in a paperless environment Integrated assessments are commonly Integrated Assessment of Climate via the Internet. In order to submit based on simulated scenarios using a Change Research applications through IIPS, your business computer model. AGENCY: Department of Energy. official will need to register at the IIPS A description of integrated website. IIPS offers the option of using ACTION: Notice inviting grant assessment may be found in volume 3 multiple files, please limit submissions applications. of the report ‘‘Intergovernmental Panel to one volume and one file if possible, on Climate Change (IPCC) Third SUMMARY: The Office of Biological and with a maximum of no more than four Assessment Report: Climate Change Environmental Research (OBER) of the PDF files. The Office of Science will 2001’’. The reference is: Ferenc Toth, Office of Science (SC), U.S. Department include attachments as part of this Mark Mwandosya, John Christiansen, of Energy (DOE), hereby announces notice that provide the appropriate Jae Edmonds, Brian Flannery, Carlos interest in receiving applications for the forms in PDF fillable format that are to Gay-Garcia, Hoesung Lee, Klaus Meyer- Integrated Assessment of Climate be submitted through IIPS. Color images Abich, Elena Nikitina, Atiq Rahman, Change Research Program. The program should be submitted in IIPS as a Richard Richels, Ye Riqui, Arturo funds research that contributes to separate file in PDF format and Villavicencio, Yoko Wake, and John integrated assessment of climate change, identified as such. These images should Weyant, ‘‘Decision-Making and in particular, research to develop be kept to a minimum due to the Frameworks,’’ Chapter 10 in Climate and improve methods and tools that limitations of reproducing them. They Change 2001: Mitigation, Cambridge focus on specialized topics of should be numbered and referred to in University Press, 2001 ( http:// importance to integrated assessments. the body of the technical scientific grant www.ipcc.ch/pub/reports.htm). The research program supports the application as Color image 1, Color Integrated assessment models are Administration’s Climate Change image 2, etc. Questions regarding the used to evaluate, for example, specific Science Program goals to understand, operation of IIPS may be e-mailed to the policy options. This notice solicits model, and assess the effects of IIPS Help Desk at: research to develop and improve the increasing greenhouse gas [email protected], or you may call methods and tools used to assess the concentrations in the atmosphere. The the help desk at: (800) 683–0751. costs and benefits of climate change. program places special emphasis on Further information on the use of IIPS The research funded as a result of this developing methods to evaluate by the Office of Science is available at: solicitation will be judged in part on its economic and other costs and benefits http://www.sc.doe.gov/production/ potential to develop and improve of climate change under ‘‘what if ’’ grants/grants.html. integrated assessment methods and scenarios that include policy If you are unable to submit an models needed to support policy interventions to mitigate greenhouse gas application through IIPS, please contact analysis and development. Policy emissions. the Grants and Contracts Division, analysis and development itself will not All applications submitted in Office of Science at: (301) 903–5212 or be funded. response to this notice must explicitly (301) 903–3604, in order to gain The program will concentrate support state how the proposed research will assistance for submission through IIPS on the topics described below. support accomplishment of the BER or to receive special approval and Applications that involve development Climate Change Research Division’s instructions on how to submit printed of analytical models and computer Long Term Measure of Scientific applications. codes will be judged partly on the basis Advancement to deliver improved data FOR FURTHER INFORMATION CONTACT: Dr. of whether they include proposed tasks and models to determine acceptable John Houghton, Climate Change to document and make the models and levels of greenhouse gases in the Research Division, SC–74, Office of model codes available to the atmosphere. Biological and Environmental Research, community. The following is a list of

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topics that are high priority. Topics developed nations. Applications are support up to three years, with out-year proposed by principal investigators that sought to understand how historical support contingent on the availability of fall outside this list will require a precedents can be used to understand funds, progress of the research and preapplication and a strong justification and model the future movement of programmatic needs. Annual budgets to be considered for funding. Research technologies across national borders. for project applications are expected to projects in these elements are intended Applications are also sought for range from $50,000 to $175,000 total to fill critical gaps in current integrated research that will help provide tools to costs. Funds for this research will come assessments. address other policy-relevant questions, from the Integrated Assessment such as the following, as they relate to A. Technology Innovation and Research Program. DOE is under no greenhouse gas emissions: obligation to pay for any costs Diffusion • What effect would various policy associated with preparation or Research to develop and improve options have on ‘‘carbon leakage’’, the submission of applications. methods and models for assessing the movement of emissions of greenhouse benefits and costs of innovation and gases away from nations with relatively Preapplications diffusion of technologies that affect the regulated emissions to ones with A preapplication is strongly emission of greenhouse gases is a relatively unregulated emissions? encouraged (but not required) prior to primary focus of the Integrated • How can the impact of research and submission of a full application. The Assessment of Climate Change Research development on invention, innovation, preapplication should list the Principal Program. Assumptions regarding and adoption of technologies that emit Investigator’s name, institution, address, technology innovation and diffusion are greenhouse gases be simulated and telephone number, and e-mail address; some of the most important contributors modeled quantitatively? title of the project; and proposed to overall uncertainty in predicting B. Improve Methods for Constructing collaborators. The preapplication future emissions of greenhouse gases should consist of a one to two page from technologies. A key area of interest Emission Scenarios Used To Drive Integrated Assessment Models narrative describing the research project is research to improve the ability of the objectives and methods of integrated assessment models to The Intergovernmental Panel on accomplishment. A response to each represent technological changes that Climate Change has published a Special preapplication, discussing the potential directly or indirectly affect greenhouse Report on Emission Scenarios (SRES) program relevance of a formal gas emissions as a function of variables (http://www.ipcc.ch/pub/ application, generally will be ● that are determined by the model reports.htm sprep). These scenarios communicated within 15 days of (‘‘endogenizing technological change’’) describe various possible directions for receipt. There is no deadline for the rather than postulated as static input to future development and are used as submission of preapplications, but the model. input into the Integrated Assessment applicants should allow sufficient time One particular difficulty in modeling models. The scenarios include to meet the application deadline. Please technological change is in representing projections of economic growth, note that notification of a successful the penetration of new technologies. population dynamics, and technology preapplication is not an indication that Over the 21st century, the typical development that vary by time and an award will be made in response to timeframe simulated using the locale. the formal application. integrated assessment models, This notice solicits research to technologies need to be invented, improve on the existing methodologies Merit Review innovated upon, and diffused to the for developing emission scenarios and Applications will be subjected to sectors in which they are used. to enhance the current SRES scenarios. formal merit review (peer review) and Applications are sought that address Enhancing the current SRES scenarios will be evaluated against the following issues such as: (1) The rate at which should make use of recent updates to evaluation criteria which are listed in technological changes take place, (2) demographic projections. Forecasts of descending order of importance codified identification of factors that affect the productivity growth, particularly in at 10 CFR 605.10(d): rates, (3) the representation of the lesser developed countries, should 1. Scientific and/or technical merit of adoption of new technologies in which cover the range of likely outcomes. the project; the model assigns a price lower for the Some scenarios should represent 2. Appropriateness of the proposed new technology than for competing possible policy interventions to reduce method or approach; technologies, and (4) whether, and if so, greenhouse gas emissions, such as 3. Competency of applicant’s how, historical precedents can be used mitigation options that would lead to personnel and adequacy of proposed to better understand technology various stable atmospheric resources; innovation and diffusion processes and concentration levels. Forecasts of 4. Reasonableness and rates and therefore lead to better technology improvements should be appropriateness of the proposed budget. modeling of such processes and rates. tied to assumptions regarding mitigation The evaluation process will include The rate and nature of technology options. program policy factors such as the diffusion from the more-developed relevance of the proposed research to nations to developing nations is not Program Funding the terms of the announcement and the well understood. Predicting economic It is anticipated that up to $2,000,000 agency’s programmatic needs. Note, structural changes in developing nations will be available for multiple awards to external peer reviewers are selected that influence technology diffusion is be made in Fiscal Year 2004 and early with regard to both their scientific also problematical. Much of the Fiscal Year 2005, in the categories expertise and the absence of conflict-of- uncertainty in integrated assessment described above, contingent on the interest issues. Both Federal and non- models comes from the difficulty in availability of appropriated funds. Federal reviewers will often be used, predicting the response of the energy Additional funds will be made available and submission of an application sector and greenhouse gas emissions in for a similar program announcement to constitutes agreement that this is developing nations to both regulation the DOE National Laboratories. acceptable to the investigator(s) and the and technological innovations in more- Applications may request project submitting institution.

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Submission Information ACTION: Notice of open meeting. 6 p.m.—Public Comment Information about the development 6:15 p.m.—Presentation by Ms. Sandra SUMMARY: This notice announces a Martin, Bureau Chief, New Mexico and submission of applications, meeting of the Environmental eligibility, limitations, evaluation, Environment Department (NMED) Management Site-Specific Advisory Hazardous and Radioactive selection process, and other policies and Board (EM SSAB), Northern New procedures may be found in the Materials Bureau Mexico. The Federal Advisory • Overview of the NMED Application Guide for the Office of Committee Act (Pub. L. 92–463, 86 Stat. Science Financial Assistance Program responsibilities, operations, and 770) requires that public notice of these and 10 CFR part 605. Electronic access functions. meetings be announced in the Federal • to SC’s Financial Assistance Overview of the NMED Hazardous Register. Application Guide and required forms is and Radioactive Materials Bureau made available via the World Wide DATES: Wednesday, March 31, 2004 7:30 p.m.—Break Web: http://www.sc.doe.gov/ 1 p.m.–8:30 p.m. 7:45 p.m.—Consideration and Action of production/grants/grants.html. ADDRESSES: Cities of Gold Hotel, 10-A Proposed Bylaws Amendment No. In addition, for this notice, the Cities of Gold Road, Pojoaque, NM. 5, as per Section XII, page 13 of the NNMCAB Bylaws research description must be 15 pages or FOR FURTHER INFORMATION CONTACT: less (10-point or larger font), including 8 p.m.—Recap of Meeting Menice Manzanares, Northern New 8:30 p.m.—Adjourn figures and tables but excluding Mexico Citizens’ Advisory Board attachments, and must include a one- This tentative agenda is subject to (NNMCAB), 1660 Old Pecos Trail, Suite change in advance of the meeting. page summary of the proposed project. B, Santa Fe, NM 87505. Phone (505) The summary should appear on a Please get a copy of the final agenda at 995–0393; fax (505) 989–1752 or e-mail: the meeting. separate page (page 1) and must include [email protected]. the proposed-project title; name of the Public Participation: The meeting is SUPPLEMENTARY INFORMATION: Purpose of open to the public. Written statements applicant and the applicant’s address, the Board: The purpose of the Board is phone number, and e-mail address; may be filed with the Committee either to make recommendations to DOE and before or after the meeting. Individuals names of any co-investigators; and the its regulators in the areas of proposed-project summary. who wish to make oral statements environmental restoration, waste pertaining to agenda items should Attachments should include literature management, and related activities. references cited in the research contact Menice Manzanares at the description, curriculum vitae for each Tentative Agenda address or telephone number listed above. Requests must be received five investigator (2-page maximum per 1 p.m.—Call to Order by Ted Taylor, investigator), a listing of all current and days prior to the meeting and reasonable Deputy Designated Federal Officer provision will be made to include the pending Federal support for each (DDFO); Roll Call and investigator, and letters of intent when presentation in the agenda. The Deputy Establishment of a Quorum; Designated Federal Officer is collaborations are part of the proposed Welcome and Introductions by research. empowered to conduct the meeting in a Katherine Guidry, Acting Chair; fashion that will facilitate the orderly For researchers who do not have Approval of Agenda; Approval of access to the World Wide Web (www), conduct of business. Each individual January 26, 2004 Meeting Minutes wishing to make public comment will please contact Karen Carlson, Office of 1:15 p.m—Public Comment Biological and Environmental Research, be provided a maximum of five minutes 1:30 p.m.—Special Election of to present their comments at the Climate Change Research Division, SC– NNMCAB Chair 74/Germantown Building, U.S. beginning of the meeting. Special Election of NNMCAB Vice- Minutes: Minutes of this meeting will Department of Energy, 1000 Chair (if applicable) Independence Ave., SW., Washington, be available for public review and 2 p.m—Board Business copying at the Freedom of Information DC 20585–1290, phone: (301) 903–3338, • Recruitment/Membership Update Public Reading Room, 1E–190, Forrestal fax: (301) 903–8519, E-mail: • Report from Chair Building, 1000 Independence Avenue, [email protected]; for hard • Report from DOE, Ted Taylor, copies of background material SW., Washington, DC 20585 between 9 DDFO a.m. and 4 p.m., Monday-Friday, except mentioned in this solicitation. • Report from Executive Director, Federal holidays. Minutes will also be The Catalog of Federal Domestic Menice S. Manzanares • available at the Public Reading Room Assistance number for this program is 2004 NNMCAB Retreat, Menice S. located at the Board’s office at 1660 Old 81.049, and the solicitation control number is Manzanares ERFAP 10 CFR part 605. • Pecos Trail, Suite B, Santa Fe, NM. New Business Hours of operation for the Public Issued in Washington, DC on March 2, 2:30 p.m.—Break 2004. Reading Room are 9 a.m.–4 p.m. on 2:45 p.m.—Report from Committees Monday through Friday. Minutes will Martin Rubinstein, • Executive Committee—Report on Acting Director, Grants and Contracts also be made available by writing or trip to Hanford CAB meeting, Tim calling Menice Manzanares at the Division, Office of Science. Delong [FR Doc. 04–5124 Filed 3–5–04; 8:45 am] • Board’s office address or telephone Discussion on Pros and Cons of number listed above. Minutes and other BILLING CODE 6450–01–P Constituency Seats on the Board • Board documents are on the Internet at: Environmental Monitoring, http:www.nnmcab.org. Surveillance and Remediation, Tim DEPARTMENT OF ENERGY Delong Issued at Washington, DC on March 3, • 2004. Environmental Management Site- Waste Management Committee, Jim Johnston Rachel M. Samuel, Specific Advisory Board, Northern New • Deputy Committee Management Officer. Mexico Community Involvement Committee, Abad Sandoval [FR Doc. 04–5126 Filed 3–5–04; 8:45 am] AGENCY: Department of Energy. 5 p.m.—Dinner Break BILLING CODE 6405–01–P

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DEPARTMENT OF ENERGY of Information Public Reading Room, Dated: February 27, 2004. Room 1E–190, Forrestal Building, 1000 James B. Gulliford, Office of Science; High Energy Physics Independence Avenue, SW., Regional Administrator, Region 7. Advisory Panel Washington, DC between 9 a.m. and 4 [FR Doc. 04–5127 Filed 3–5–04; 8:45 am] p.m., Monday through Friday, except AGENCY: Department of Energy. BILLING CODE 6560–50–P Federal holidays. ACTION: Notice of open meeting. Issued in Washington, DC on March 3, SUMMARY: This notice announces a 2004. FEDERAL RESERVE SYSTEM meeting of the High Energy Physics Rachel M. Samuel, Advisory Panel (HEPAP). Federal Deputy Committee Management Officer. Change in Bank Control Notices; Advisory Committee Act (Pub. L. 92– [FR Doc. 04–5123 Filed 3–5–04; 8:45 am] Acquisition of Shares of Bank or Bank 463, 86 Stat. 770) requires that public Holding Companies notice of these meetings be announced BILLING CODE 6450–01–P in the Federal Register. The notificants listed below have DATES: Sunday, April 18, 2004, 8:30 applied under the Change in Bank a.m. to 6 p.m. and Monday, April 19, ENVIRONMENTAL PROTECTION Control Act (12 U.S.C. 1817(j)) and § 2004, 8:30 a.m. to 4 p.m. AGENCY 225.41 of the Board’s Regulation Y (12 ADDRESSES: Hilton Washington Embassy CFR 225.41) to acquire a bank or bank Row, 2015 Massachusetts Avenue, NW., holding company. The factors that are [FRL–7632–6] Washington, DC 20036. considered in acting on the notices are FOR FURTHER INFORMATION CONTACT: Performance Evaluation Reports for set forth in paragraph 7 of the Act (12 Bruce Strauss, Executive Secretary, High Fiscal Year 2003; Section 105 Grants; U.S.C. 1817(j)(7)). Energy Physics Advisory Panel, U.S. Iowa, Kansas, Missouri, Nebraska, and The notices are available for Department of Energy, SC–20/ the Unified Government of Wyandotte immediate inspection at the Federal Germantown Building, 1000 County, Kansas City, Kansas Reserve Bank indicated. The notices Independence Avenue, SW., also will be available for inspection at Washington, DC 20585–1290; telephone: AGENCY: Environmental Protection the office of the Board of Governors. 301–903–3705. Agency (EPA). Interested persons may express their SUPPLEMENTARY INFORMATION: Purpose of views in writing to the Reserve Bank ACTION: Notice of availability of grantee Meeting: To provide advice and indicated for that notice or to the offices performance evaluation reports. guidance on a continuing basis with of the Board of Governors. Comments respect to the high energy physics must be received not later than March research program. SUMMARY: EPA’s grant regulations (40 22, 2004. CFR 35.140) require the Agency to Tentative Agenda: Agenda will A. Federal Reserve Bank of conduct yearly evaluations on the include discussions of the following: Minneapolis (Jacqueline G. Nicholas, performance of grant recipients under Sunday, April 18, 2004, and Monday, Community Affairs Officer) 90 approved state/EPA agreements. EPA’s April 19, 2004: Hennepin Avenue, Minneapolis, • Discussion of Department of Energy regulations for regional consistency (40 Minnesota 55480–0291: CFR 56.7) require that the Agency notify High Energy Physics Programs; 1. Anchor Bancorp, Inc., Voting • Discussion of National Science the public of the availability of the reports of such evaluation. EPA Preferred Stock Trust No. 1, Wayzata, Foundation Elementary Particle Physics Minnesota, and Anchor Bancorp, Inc., Program; performed FY–03 end-of-year • evaluations of four state air pollution Voting Preferred Stock Trust No. 2, Reports on and Discussions of Wayzata, Minnesota (Jacqueline D. Topics of General Interest in High control programs (Iowa Department of Natural Resources; Kansas Department Becklund, William J. Berens, Richard D. Energy Physics; Bliss, Carl W. Jones, Christopher W. • Public comment (10-minute rule). of Health and Environment; Missouri Department of Natural Resources; Jones, Richard A. McMahon, Helen J. Public Participation: The meeting is Warren, and Wendy J. Zehngebot, as open to the public. If you would like to Nebraska Department of Environmental Quality); and one local air pollution trustees of each trust); as a group acting file a written statement with the Panel, in concert, to gain control of Anchor you may do so either before or after the control programs (Unified Government of Wyandotte County, Kansas City, Bancorp, Inc., Wayzata, Minnesota, and meeting. If you would like to make oral thereby indirectly acquire voting shares statements regarding any of these items Kansas). These evaluations were conducted to assess the agencies’ of Anchor Bank Farmington, National on the agenda, you should contact Bruce Association, Farmington, Minnesota, performance under the grants awarded Strauss, 301–903–3705 or Anchor Bank Heritage, N.A., North by EPA under authority of section 105 [email protected] (e-mail). Saint Paul, Minnesota; Anchor Bank of the Clean Air Act. You must make your request for an oral Saint Paul, Saint Paul, Minnesota; statement at least 5 business days before ADDRESSES: Copies of the evaluation Anchor Bank National Association, the meeting. Reasonable provision will reports are available for public Wayzata, Minnesota; and Anchor Bank, be made to include the scheduled oral inspection at EPA’s Region 7 Air West Saint Paul, National Association, statements on the agenda. The Planning and Development Branch, 901 West Saint Paul, Minnesota. Chairperson of the Panel will conduct North 5th Street, Kansas City, Kansas the meeting to facilitate the orderly Board of Governors of the Federal Reserve 66101. conduct of business. Public comment System, March 2, 2004. will follow the 10-minute rule. FOR FURTHER INFORMATION CONTACT: Robert deV. Frierson, Minutes: The minutes of the meeting Evelyn VanGoethem, (913) 551–7659, or Deputy Secretary of the Board. will be available for public review and by e-mail at [FR Doc. E4–475 Filed 3–5–04; 8:45 am] copying within 90 days at the Freedom [email protected]. BILLING CODE 6210–01–S

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FEDERAL RESERVE SYSTEM 1. The Templar Fund, Inc., St. Louis, or the offices of the Board of Governors Missouri; to acquire an additional 7.5 not later than March 22, 2004. Formations of, Acquisitions by, and percent, for a total ownership of 42 A. Federal Reserve Bank of Mergers of Bank Holding Companies percent, of Truman Bancorp, Inc., St. Richmond (A. Linwood Gill, III, Vice Louis, Missouri, and thereby indirectly President) 701 East Byrd Street, The companies listed in this notice acquire voting shares of Truman Bank, Richmond, Virginia 23261–4528: have applied to the Board for approval, St. Louis, Missouri. 1. Columbia Bancorp, Columbia, pursuant to the Bank Holding Company D. Federal Reserve Bank of Dallas Maryland; to acquire through its Act of 1956 (12 U.S.C. 1841 et seq.) (W. Arthur Tribble, Vice President) 2200 subsidiary, 20 percent of the voting (BHC Act), Regulation Y (12 CFR Part North Pearl Street, Dallas, Texas 75201– shares of Delmarva Bank Data 225), and all other applicable statutes 2272: Processing Center, Inc., Easton, and regulations to become a bank 1. Summit Bancshares, Inc., Fort Maryland, and thereby engage in data holding company and/or to acquire the Worth, Texas; to acquire 100 percent of processing activities, pursuant to assets or the ownership of, control of, or the voting shares of ANB Financial section 225.28(b)(14)(i) of Regulation Y. the power to vote shares of a bank or Corporation, Arlington, Texas, and B. Federal Reserve Bank of bank holding company and all of the thereby indirectly acquire voting shares Minneapolis (Jacqueline G. Nicholas, banks and nonbanking companies of ANB Delaware Financial Corporation, Community Affairs Officer) 90 owned by the bank holding company, Wilmington, Delaware, and Arlington Hennepin Avenue, Minneapolis, including the companies listed below. National Bank, Arlington, Texas. Minnesota 55480–0291: The applications listed below, as well 1. Watford City Bancshares, Inc., as other related filings required by the Board of Governors of the Federal Reserve System, March 2, 2004. Watford City, North Dakota, to engage Board, are available for immediate de novo through its subsidiary, First inspection at the Federal Reserve Bank Robert deV. Frierson, International Community Development indicated. The application also will be Deputy Secretary of the Board. Fund, Inc., Watford City, North Dakota, available for inspection at the offices of [FR Doc. E4–476 Filed 3–5–04; 8:45 am] in community development activities, the Board of Governors. Interested BILLING CODE 6210–01–S pursuant to section 225.28(b)(12) of persons may express their views in Regulation Y. writing on the standards enumerated in the BHC Act (12 U.S.C. 1842(c)). If the FEDERAL RESERVE SYSTEM Board of Governors of the Federal Reserve proposal also involves the acquisition of System, March 2, 2004. Notice of Proposals to Engage in Robert deV. Frierson, a nonbanking company, the review also Permissible Nonbanking Activities or Deputy Secretary of the Board. includes whether the acquisition of the to Acquire Companies that are nonbanking company complies with the Engaged in Permissible Nonbanking [FR Doc. E4–477 Filed 3–5 –04; 8:45 am] standards in section 4 of the BHC Act Activities BILLING CODE 6210–01–S (12 U.S.C. 1843). Unless otherwise noted, nonbanking activities will be The companies listed in this notice conducted throughout the United States. have given notice under section 4 of the FEDERAL RETIREMENT THRIFT Additional information on all bank Bank Holding Company Act (12 U.S.C. INVESTMENT BOARD holding companies may be obtained 1843) (BHC Act) and Regulation Y (12 from the National Information Center CFR Part 225) to engage de novo, or to Sunshine Act Notice Web site at http://www.ffiec.gov/nic/. acquire or control voting securities or Unless otherwise noted, comments assets of a company, including the TIME AND DATE: 9 a.m. (e.s.t.), March 15, regarding each of these applications companies listed below, that engages 2004. must be received at the Reserve Bank either directly or through a subsidiary or PLACE: 4th Floor, Conference Room, indicated or the offices of the Board of other company, in a nonbanking activity 1250 H Street, NW., Washington, DC. Governors not later than April 1, 2004. that is listed in § [thinsp]225.28 of STATUS: Parts will be open to the public A. Federal Reserve Bank of Regulation Y (12 CFR 225.28) or that the and parts closed to the public. Philadelphia (Michael E. Collins, Senior Board has determined by Order to be MATTERS TO BE CONSIDERED: Vice President) 100 North 6th Street, closely related to banking and Philadelphia, Pennsylvania 19105– permissible for bank holding Parts Open to the Public 1521: companies. Unless otherwise noted, 1. Approval of the minutes of the 1. CB Financial Corp., Rehoboth these activities will be conducted February 17, 2004, Board member Beach, Delaware; to become a bank throughout the United States. meeting. holding company by acquiring 100 Each notice is available for inspection 2. Thrift Savings Plan activity report percent of the voting shares of County at the Federal Reserve Bank indicated. by the Executive Director. Bank, Rehoboth Beach, Delaware. The notice also will be available for B. Federal Reserve Bank of Atlanta inspection at the offices of the Board of Parts Closed to the Public (Sue Costello, Vice President) 1000 Governors. Interested persons may 3. Personnel matters. Peachtree Street, NE., Atlanta, Georgia express their views in writing on the 4. Procurement issues. 30303: question whether the proposal complies CONTACT PERSON FOR MORE INFORMATION: 1. Synovus Financial Corp., with the standards of section 4 of the Thomas J. Trabucco, Director, Office of Columbus, Georgia; to acquire 100 BHC Act. Additional information on all External Affairs, (202) 942–1640. percent of the voting shares of Synovus bank holding companies may be Bank of Jacksonville, Jacksonville, obtained from the National Information Dated: March 3, 2004. Florida (in organization). Center Web site at http://www.ffiec.gov/ Elizabeth S. Woodruff, C. Federal Reserve Bank of St. Louis nic/. Secretary to the Board, Federal Retirement (Randall C. Sumner, Vice President) 411 Unless otherwise noted, comments Thrift Investment Board. Locust Street, St. Louis, Missouri regarding the applications must be [FR Doc. 04–5212 Filed 3–5–04; 4:16 pm] 63166–2034: received at the Reserve Bank indicated BILLING CODE 6760–01–P

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DEPARTMENT OF HEALTH AND Paperwork Reduction Act (44 U.S.C. survey is designed to collect data to HUMAN SERVICES Chapter 35). To request a copy of these address objectives in Chapter 23, Public requests, call the CDC Reports Clearance Health Infrastructure. The Centers for Centers for Disease Control and Officer at (404) 498–1210. Send written Disease Control and Prevention and the Prevention comments to CDC, Desk Officer, Human Health Resources and Services Resources and Housing Branch, New Administration are co-lead agencies for [30Day–18–04] Executive Office Building, Room 10235, objectives in Chapter 23. The overall Proposed Data Collections Submitted Washington, DC 20503 or by fax to (202) goal of objectives in Chapter 23 is to for Public Comment and 395–6974. Written comments should be ensure that federal, state, tribal, and Recommendations received within 30 days of this notice. local health agencies have the Proposed Project: Healthy People infrastructure to provide essential The Centers for Disease Control and 2010 Chapter 23: National Survey of public health services effectively. This Prevention (CDC) publishes a list of Public Health Agencies—New —Public one-time survey is expected to take information collection requests under Health Practice Program Office place over two to three months. The review by the Office of Management and (PHPPO), Centers for Disease Control annualized burden for this data Budget (OMB) in compliance with the and Prevention (CDC). The proposed collection is 1,356 hours.

Average Number of Number of burden per Respondents respondents responses per response respondent (in hours)

State Health Department ...... 56 1 60/60 Local Health Department ...... 1,300 1 60/60

Dated: March 1, 2004. Management Analysis and Services DEPARTMENT OF HEALTH AND Alvin Hall, Office, CDC, pursuant to Public Law 92– HUMAN SERVICES Director, Management Analysis and Services 463. Administration for Children and Office, Centers for Disease Control and Matters To Be Discussed: The meeting Prevention. Families, Office of Community will include the review, discussion, and [FR Doc. 04–5057 Filed 3–5–04; 8:45 am] Services evaluation of applications received in BILLING CODE 4163–18–P response to Program Announcement Funding Opportunity Title: Special Number 04038. State Technical Assistance; DEPARTMENT OF HEALTH AND Contact Person for More Information: Announcement Type: Competitive HUMAN SERVICES Pervis C. Major, Ph.D., Scientific Review Grant-Initial Administrator, Office of Extramural Funding Opportunity Number: HHS– Centers for Disease Control and Programs, National Institute for Prevention 2004–ACF–OCS–EZ–0005. Occupational Safety and Health, CDC, CFDA Number: 93.569. Disease, Disability, and Injury 1095 Willowdale Road, Morgantown, Dates: Applications are due between Prevention and Control Special WV 26505, Telephone 304.285.5979. April 7, 2004, and July 30, 2004, within Emphasis Panel: Occupational Safety The Director, Management Analysis the time frames specified in this and Health Research, Safety and and Services Office, has been delegated announcement for mailed and/or hand- Occupational Health Study Section: the authority to sign Federal Register carried applications. Program Announcement Number notices pertaining to announcements of I. Funding Opportunity Description 04038 meetings and other committee The Office of Community Services management activities, for both CDC In accordance with section 10(a)(2) of (OCS) within the Administration for the Federal Advisory Committee Act and the Agency for Toxic Substances Children and Families (ACF) announces (Pub. L. 92–463), the Centers for Disease and Disease Registry. a Special State Technical Assistance Control and Prevention (CDC) Dated: March 2, 2004. discretionary funding program to announces the following meeting: Alvin Hall, support interventions in cases where an eligible entity is in a crisis situation. Name: Disease, Disability, and Injury Director, Management Analysis and Services Prevention and Control Special Office, Centers for Disease Control and Under the Community Services Block Emphasis Panel (SEP): Occupational Prevention. Grant, section 674(b)(2)(B) and 678A, funds may be used by the Secretary to Safety and Health Research, Safety and [FR Doc. 04–5067 Filed 3–5–04; 8:45 am] Occupational Health Study Section: assist States in carrying out corrective Program Announcement Number 04038. BILLING CODE 4163–19–P action activities and monitoring to Times and Dates: 1 p.m.–1:15 p.m., correct programmatic deficiencies of March 29, 2004 (Open). 1:15 p.m.–3 eligible entities. States are required to p.m., March 29, 2004 (Closed). determine whether eligible entities meet Place: Teleconference Number the performance goals, administrative 304.285.5979. standards, financial management Status: Portions of the meeting will be obligations and other requirements of closed to the public in accordance with the State. The CSBG legislation provisions set forth in section 552b(c) mandates that States provide training (4) and (6), title 5 U.S.C., and the and technical assistance (T&TA) prior to Determination of the Director, any termination procedures. It also

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requires States to carry out corrective day before such date of enactment or is Territories—refers to Guam, American activities and to monitor all eligible designated by the process described in Samoa, the United States Virgin Islands, entities at least every three years. section 676A (including an organization and the Commonwealth of the Northern The CSBG Act requires States to serving migrant or seasonal farmworkers Mariana Islands. conduct regular, on-site reviews of that is so described or designated); and Training—is an educational activity eligible entities. When a State has a tripartite board or other or event that is designed to impart determines that an eligible entity has a mechanism described in the Act. knowledge, understanding or increase deficiency that must be corrected, the Special Note: Under the Act, CAAs are the development of skills. Such training CSBG legislation mandates that the eligible entities, however not all eligible activities may be in the form of State offer an eligible entity training and entities are CAAs. Throughout this assembled events such as workshops, technical assistance (T&TA), if announcement, the reference is to seminars, conferences or programs of appropriate, to help correct such a organizations defined in section 673(1)(A) of self-instructional activities. deficiency. A State may support this the CSBG Act whenever CAAs are Program Purpose, Scope and Focus T&TA with the CSBG funds remaining mentioned. after it has made grants to eligible Nationwide—refers to the scope of the The purpose of this program priority entities. However, OCS recognizes that, technical assistance, training, data area is to improve the capacity of States in some instances, the problem to be collection, or other capacity-building in carrying out corrective action addressed may be of such a complex or projects to be undertaken with grant activities and monitoring to correct pervasive nature that it cannot be funds. Nationwide projects must programmatic deficiencies of eligible adequately addressed with the resources provide for the implementation of entities. The grant will support available to the State CSBG technical assistance, training or data interventions in cases where an eligible Administrator. collection for all or a significant number entity is in a crisis situation. It will of States, and the CAAs and other local preclude the need for termination Definitions of Terms service providers who administer CSBG hearings and proceedings by stabilizing The following definitions apply: funds. eligible entities in crises and correcting Community Action Agency (CAA)— Non-profit Organization—refers to an programmatic deficiencies, if possible. refers to local-level organizations that organization, including faith-based and Program Statutes are Community Services Block Grant community-based, which meets the (CSBG) Eligible Entities. They provide a requirement for proof of non-profit Section 319 of Public Law 101–121, number of types of assistance with the status in the ‘‘Additional Information on signed into law on October 23, 1989, goals of reducing poverty and enabling Eligibility’’ section of this imposes prohibitions and requirements low-income families to become announcement and has demonstrated for disclosure and certification related economically self-sufficient. experience in providing training to to lobbying on recipients of Federal Community Services Network—refers individuals and organizations on contracts, grants, cooperative to the various organizations involved in methods of effectively addressing the agreements, and loans. It provides planning and implementing programs needs of low-income families and exemptions for Indian tribes and tribal funded through the CSBG or providing communities. organizations. Current and prospective training, technical assistance or support Outcome Measures—are indicators recipients (and their sub-tier contractors to them. The network includes local that focus on the direct results one and/or grantees) are prohibited from CAAs and other eligible entities; State wants to have on customers and on using Federal funds, other than profits CSBG offices and their national communities. from a Federal contract, for lobbying association; CAA State, regional and Performance Measurement—is a tool Congress or any Federal agency in national associations; and related used to assess how a program is connection with the award of a contract, organizations that collaborate and accomplishing its mission through the grant, cooperative agreement, or loan. In participate with CAAs and other eligible delivery of products, services and addition, for each award action in entities in their efforts on behalf of low- activities. excess of $100,000 (or $150,000 for income people. Results-Oriented Management and loans) the law requires recipients and Cooperative Agreement—an award Accountability (ROMA) System—ROMA their sub-tier contractors and/or sub- instrument of financial assistance when is a system which provides a framework grantees (1) to certify that they have substantial involvement is anticipated for focusing on results for local agencies neither used nor will use any between the awarding office, (the funded by the CSBG Program. It appropriated funds for payment to Federal government) and the recipient involves setting goals and strategies and lobbyists, (2) to disclose the name, during performance of the contemplated developing plans and techniques that address, payment details, and purpose project. Substantial involvement may focus on a result-oriented performance of any agreements with lobbyists whom include collaboration or participation by based model for management. recipients or their sub-tier contractors or OCS staff in activities specified in the State—means all of the 50 States and sub-grantee will pay with profits or non- award and, as appropriate, decision- the District of Columbia. Except where appropriated funds on or after December making at specified milestones related specifically noted, for purposes of this 22, 1989, and (3) to file quarterly to performance. The involvement may program announcement, it also includes updates about the use of lobbyists if range from joint conduct of a project to Territories as defined below. material changes occur in their use. The OCS approval prior to the recipient’s Technical assistance—is an activity, law establishes civil penalties for undertaking the next phase in a project. generally utilizing the services of an noncompliance. Required Certification Eligible Entities—(Section expert (often a peer), aimed at and Disclosure forms to be submitted 673(1)(A))—the term ‘‘eligible entity’’ enhancing capacity, improving with your application are attached. means an entity that is an eligible entity programs and systems, or solving Public Law 103–227, Part C. described in section 673(1) (as in effect specific problems. Such services may be Environmental Tobacco Smoke, also on the day before the date of enactment provided proactively to improve known as the Pro-Children Act of 1994 of the COATES Human Services systems or as an intervention to solve (Act), requires that smoking not be Reauthorization Act of 1998) as of the specific problems. permitted in any portion of any indoor

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facility owned or leased or contracted included in their applications (see Applications are cautioned that the for by an entity and used routinely or section IV. 2). Proof of non-profit status ceiling for individual awards is $50,000. regularly for the provision of health, day is any one of the following: Applications exceeding the $50,000 care, education, or library services to (a) A reference to the applicant threshold will be returned without children under the age of 18, if the organization’s listing in the Internal review. services are funded by Federal programs Revenue Service’s (IRS) most recent list IV. Application and Submission either directly or through States and of tax-exempt organizations described in Information local government by Federal grant, the IRS code. contract, loan or loan guarantee. The (b) A copy of a currently valid IRS tax 1. Address To Request Application law does not apply to facilities funded exemption certificate. Package solely by Medicare or Medicaid funds, (c) A statement from a State taxing Office of Community Services and portions of facilities used for in- body, State Attorney General, or other Operations Center, ATTN: Marianna patient drug or alcohol treatment. appropriate State official certifying that RayNor-Hill, 1815 Fort Meyer Drive, Failure to comply with the provisions of the applicant organization has a non- Suite 300, Arlington, Virginia 22209; the law may result in the imposition of profit status and that none of the net telephone: (800) 281–9519; e-mail: a civil monetary penalty of up to $1,000 earnings accrue to any private www.Grants.gov. per day and/or the imposition of an shareholders or individuals. administrative compliance order on the (d) A certified copy of the 2. Content and Form of Application responsible entity. organization’s certificate of Submission By signing and submitting this incorporation or similar document that An original and two copies of the application the applicant/grantee clearly establishes non-profit status. complete application are required. The certifies that it will comply with the (e) Any of the items in the original and 2 copies must include all requirement of the Act. The applicant/ subparagraphs immediately above for a required forms, certifications, grantee further agrees that it will require State or national parent organization assurances, and appendices, be signed the language of this certification be and a statement signed by the parent by an authorized representative, have included in any sub-awards, which organization that the applicant original signatures, and be submitted contain provisions for children’s organization is a local non-profit unbound. Applicants have the option of services and that all sub-grantees shall affiliate. omitting from the application copies certify accordingly. Applicants are cautioned that the (not the original) specific salary rates or II. Award Information ceiling for individual awards is $50,000. amounts for individuals specified in the Funding Instrument Type: Grant. An application that exceeds the upper application budget. Anticipated Total Priority Area value of the dollar range specified will Applicants must demonstrate proof of Funding: $500,000. be considered ‘‘non-responsive’’ and non-profit status and this proof must be Anticipated Number of Awards: 5–12. will be returned to the applicant included in their applications. Please Ceiling of Individual Awards: without further review. include any one of the following: (a) A reference to the applicant $50,000. 2. Cost Sharing or Matching Floor on Amount of Individual organization’s listing in the Internal Awards: $7,000. None. Revenue Service’s (IRS) most recent list of tax-exempt organizations described in Average Projected Award Amount: 3. Other (if Applicable) $50,000. the IRS code. Project Periods for Awards: 17 On June 27, 2003, the Office of (b) A copy of a currently valid IRS tax months. Management and Budget published in exemption certificate. the Federal Register a new Federal (c) A statement from a State taxing III. Eligibility Information policy applicable to all Federal grant body, State Attorney General, or other 1. Eligible Applicants applicants. The policy requires all appropriate State official certifying that Community Services Block Grant Federal grant applicants to provide a the applicant organization has a non- eligible entities. Statewide or local Dun and Bradstreet Data Universal profit status and that none of the net organizations or associations including Numbering System (DUNS) number earnings accrue to any private faith-based organizations, for-profit when applying for Federal grants or shareholders or individuals. organizations, non-profit organizations cooperative agreements on or after (d) A certified copy of the having 501 (C) 3 status, and non-profit October 1, 2003. The DUNS number will organization’s certificate of organizations that do not have 501 (C) be required whether an applicant is incorporation or similar document that 3 status. submitting a paper application or using clearly establishes non-profit status. the government-wide electronic portal (e) Any of the items in the Additional Information on Eligibility (www.Grants.gov). A DUNS number will subparagraphs immediately above for a As prescribed by the Community be required for every application for a State or national parent organization Services Block Grant Act (Pub. L. 105– new award or renewal/continuation of and a statement signed by the parent 285, section 678(c)(2), eligible an award, including applications or organization that the applicant applicants are eligible entities (see plans under formula, entitlement and organization is a local non-profit definitions), organizations, or block grant programs, submitted on or affiliate. associations with demonstrated after October 1, 2003. You may submit your application to expertise in providing training to Please ensure that your organization us in either electronic or paper format. individuals and organizations on has a DUNS number. You may acquire To submit an application electronically, methods of effectively addressing the a DUNS number at no cost by calling the please use the www.Grants.gov site. If needs of low income families and dedicated toll-free DUNS number you use Grants.gov, you will be able to communities. request line on 1–866–705–5711 or you download a copy of the application Applicants must demonstrate proof of may request a number on-line at http:// package, complete it off-line, and then non-profit status and this proof must be www.dnb.com. upload and submit the application via

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the Grants.gov site. You may not e-mail (e) Narrative Budget Justification—for the requirements of the Pro-Children an electronic copy of a grant application each object class category required Act of 1994 as outlined in Certification to us. under section B, Standard Form 424A. Regarding Environmental Tobacco Please note the following if you plan (f) Project Narrative—A narrative that Smoke. By signing and submitting the to submit your application addresses issues described in the applications, applicants are providing electronically via Grant.gov: ‘‘Application Review Information’’ and the certification and need not mail back • Electronic submission is voluntary. the ‘‘Review and Selection Criteria’’ a certification form. • When you enter the Grants.gov site, sections of this announcement. Additional requirements: (a) The you will find information about application must contain a signed Application Format submitting an application electronically Standard Form 424 Application for through the site, as well as the hours of Each application should include one Federal Assistance ‘‘SF–424’’, a operation. We strongly recommend that signed original application and two Standard Form 424–A Budget you do not wait until the application additional copies of the same Information ‘‘SF–424A’’ and signed deadline date to begin the application application. Standard Form 424B Assurance—Non- process through Grants.gov. Submit application materials on white Construction Programs ‘‘SF–424B’’ • 1 To use Grants.gov, you, as the 8 ⁄2 x 11 inch paper only. Do not use completed according to instructions applicant, must have a DUNS Number colored, oversized or folded materials. provided in this Program to register in the Central Contractor Please do not include organizational Announcement. The forms SF–424 and Registry (CCR). You should allow a brochures or other promotional the SF–424B must be signed by an minimum of five days to complete the materials, slides, films, clips, etc. official of the organization applying for CCR registration. The font size may be no smaller than the grant who has authority to obligate • You will not receive additional 12 pitch and the margins must be at the organization legally. The applicant’s point value because you submit a grant least one inch on all sides. legal name as required on the SF–424 application in electronic format, nor Number all application pages (Item 5) must match that listed as will we penalize you if you submit an sequentially throughout the package, corresponding to the Employer application in paper format. beginning with the abstract of the • Identification Number (Item 6); You may submit all documents proposed project as page number one. (b) The application must include a Please present application materials electronically, including all information project narrative that meets either in loose-leaf notebooks or in typically included on the SF 424 and all requirements set forth in this necessary assurance and certifications. folders with pages two-hole punched at • announcement. Your application must comply with the top center and fastened separately (c) The application must contain any page limitation requirements with a slide paper fastener. documentation of the applicant’s tax- described in this program Page Limitation exempt status as indicated in the announcement. • The application package including ‘‘Funding Opportunity Description’’ After you electronically submit section of this announcement. your application, you will receive an sections for the Table of Contents, Project Abstract, Project and Budget Private, non-profit organizations are automatic acknowledgement from encouraged to submit with their Grants.gov that contains a Grants.gov Narratives, and Business Plan must not exceed 65 pages. The page limitation applications the survey located under tracking number. The Administration ‘‘Grant Related Documents and Forms’’ for Children and Families will retrieve does not include the following attachments and appendices: Standard titled ‘‘Survey for Private, Non-Profit your application from Grant.gov. Grant Applicants.’’ The forms are • We may request that you provide Forms for Assurances, Certifications, located on the Web at www.acf.hhs.gov/ original signatures on forms at a later Disclosures and appendices. The page limitation also does not apply to any programs/ofs/forms.htm. date. Project summary abstract: Provide a • You may access the electronic supplemental documents as required in one page (or less) summary of the application for this program on this announcement. project description with reference to the www.Grants.gov. You must search for Required Standard Forms funding request. the downloadable application package Full project description requirements: by the CFDA number. Applicants requesting financial assistance for a non-construction project Describe the project clearly in 30 pages Application Content must sign and return Standard Form or less (not counting supplemental Each application must include the 424B, Assurances: Non-Construction documentation, letters of support or following components: Programs with their applications. agreements) using the following outline (a) Table of Contents. Applicants must provide a and guidelines. Applicants are required (b) Abstract of the Proposed Project— Certification Regarding Lobbying. Prior to submit a full project description and very brief, not to exceed 250 words, that to receiving an award in excess of must prepare the project description would be suitable for use in an $100,000, applicants shall furnish an statement in accordance with the announcement that the application has executed copy of the lobbying following instructions. The pages of the been selected for a grant award and certification. Applicants must sign and project description must be numbered which identifies the type of project, the return the certification with their and are limited to 30 typed pages target population and the major applications. starting on page 1 of ‘‘Objectives and elements of the work plan. Applicants must make the appropriate Need of Assistance’’. The description (c) Completed Standard Form 424— certification of their compliance with all must be doubled-spaced, printed on that has been signed by an official of the Federal statutes relating to only one side, with at least 1⁄2 inch organization applying for the grant who nondiscrimination. By signing and margins. Pages over the limit will be has authority to obligate the submitting the applications, applicants removed from the competition and will organization legally. are providing the certification and need not be reviewed. (d) Standard Form 424A—Budget not mail back a certification form. It is in the applicant’s best interest to Information-Non-Construction Applicants must make the appropriate ensure that the project description is Programs. certification of their compliance with easy to read, logically developed in

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accordance with the evaluation criteria average 10 hours per response, Applications hand carried by and adheres to page limitations. In including the time for reviewing applicants, applicant couriers, other addition, applicants should be mindful instructions, gathering and maintaining representatives of the applicant, or by of the importance of preparing and the data needed and reviewing the overnight/express mail couriers shall be submitting applications using language, collection information. considered as meeting an announced terms, concepts and descriptions that deadline if they are received on or 3. Submission Dates and Times are generally known by both the before the deadline date, between the targeted youth and the broader youth The closing time and date for receipt hours of 8 a.m. and 4:30 p.m., e.s.t., at services field. The maximum number of of applications is any time before 4:30 the Department of Health and Human pages for supplemental documentation p.m. (eastern time zone) between April Services (HHS), Administration for is 10 pages. The supplemental 7, 2004 and July 30, 2004. Mailed or Children and Families, Office of documentation, subject to the 10-page hand carried applications received after Community Services Operations Center, limit, must be numbered and might 4:30 p.m. on the closing date will be 1815 Fort Meyer Drive, Suite 300, include brief resumes, position classified as late. Arlington, Virginia 22209; Attention: descriptions, proof of non-profit status Deadline: Mailed applications shall be Barbara Ziegler Johnson. (if applicable), news clippings, press considered as meeting an announced Late applications: Applications which releases, etc. Supplemental deadline if they are received on or do not meet the criteria above are documentation over the 10-page limit before the deadline time and date at the considered late applications. ACF shall will not be reviewed. ‘‘Department of Health and Human notify each late applicant that its Applicants must include letters of Services (HHS) Administration for application will not be considered in support or agreement, if appropriate or Children and Families, Office of the current competition. applicable, in reference to the project Community Services Operations Center, Extension of deadlines: ACF may description. Letters of support are not 1815 Fort Meyer Drive, Suite 300, extend application deadlines when counted as part of the 30-page project Arlington, Virginia 22209, Attention: circumstances such as acts of God description limit or the 10-page Daphne Weeden.’’ Applicants are (floods, hurricanes, etc.) occur, or when supplemental documentation limit. All responsible for mailing applications there are widespread disruptions of mail applications must comply with the well in advance, when using all mail services. Determinations to extend or following requirements except as noted: services, to ensure that the applications waive deadline requirements rest with Public reporting burden for this are received on or before the deadline the Chief Grants Management Officer. collection of information is estimated to time and date. Required forms:

What to submit Required content Required form or format When to submit

Table of Contents ...... As described above ...... Consistent with guidance in ‘‘Application For- By application due mat’’ section of this announcement. date. Abstract of Proposed Brief abstract that identifies the type of Consistent with guidance in ‘‘Application For- By application due Project. project, the target population and the major mat’’ section of this announcement. date. elements of the proposed project. Completed Standard As described above and per required form .... May be found on http://www.acf.hhs.gov/pro- By application due Form 424. grams/ofs/forms.htm. date. Completed Standard As described above and per required form .... May be found on http://www.acf.hhs.gov/pro- By application due Form 424A. grams/ofs/forms.htm. date. Narrative Budget Jus- As described above ...... Consistent with guidance in ‘‘Application For- By application due tification. mat’’ section of this announcement. date. Project Narrative ...... A narrative that addresses issues described Consistent with guidance in ‘‘Application For- By application due in the ‘‘Application Review Information’’ and mat’’ section of this announcement. date. the ‘‘Review and Selection Criteria’’ sec- tions of this announcement. Certification regarding As described above and per required form .... May be found on http://www.acf.hhs.gov/pro- By application due lobbying. grams/ofs/forms.htm. date. Certification regarding As described above and per required form .... May be found on http://www.acf.hhs.gov/pro- By application due environmental to- grams/ofs/forms.htm. date. bacco smoke.

Additional Forms: Private-non-profit located under ‘‘Grant Related for Private, Non-Profit Grant organizations may submit with their Documents and Forms’’ titled ‘‘Survey Applicants’’. applications the additional survey

What to submit Required content Required form or format When to submit

Survey for Private, Per required form ...... May be found on http://www.acf.hhs.gov/pro- By application due Non-Profit Grant Ap- grams/ofs/forms.htm. date. plicants.

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4. Intergovernmental Review A list of the Single Points of Contact V. Application Review Information for each State and Territory is included State Single Point of Contact (SPOC) 1. Criteria with the application materials for this This program is covered under announcement. Instructions: ACF Uniform Project Executive Order 12372, Description (UPD) ‘‘Intergovernmental Review of Federal 5. Funding Restrictions The following are instructions and Programs’’ and 45 CFR part 100, Sub-Contracting or Delegating Projects guidelines on how to prepare the ‘‘Intergovernmental Review of ‘‘project summary/abstract’’ and ‘‘Full Department of Health and Human OCS will not fund any project where Project Description’’ sections of the Services Programs and Activities.’’ the role of the applicant is primarily to application. The generic UPD Under the Order, States may design serve as a conduit for funds to requirement is followed by the their own processes for reviewing and organizations other than the applicant. evaluation criterion specific to the commenting on proposed Federal The applicant must have a substantive Community Services Block Grant assistance under covered programs. role in the implementation of the project The following States and Territories for which funding is requested. This legislation. have elected to participate under the prohibition does not bar the making of Purpose sub-grants or sub-contracting for Executive Order process and have The project description provides a established a Single Point of Contact specific services or activities needed to conduct the project. major means by which an application is (SPOC): Arkansas, California, Delaware, evaluated and ranked to compete with District of Columbia, Florida, Georgia, Number of Projects in Application other applications for available Illinois, Iowa, Kentucky, Maine, Each application may include only assistance. The project description Maryland, Michigan, Mississippi, should be concise and complete and Missouri, Nevada, New Hampshire, one proposed project. Applicants are cautioned that the should address the activity for which New Mexico, North Carolina, North Federal funds are being requested. Dakota, Rhode Island, South Carolina, ceiling for individual awards is $50,000. Applications exceeding the $50,000 Supporting documents should be Texas, Utah, West Virginia, Wisconsin, included where they can present American Samoa, Guam, Puerto Rico, threshold will be returned without review. information clearly and succinctly. In the Commonwealth of Northern Mariana preparing your project description, all Islands, and the United States Virgin 6. Other Submission Requirements information requested through each Islands. specific evaluation criteria should be Applicants for projects to be Submission by Mail: An Applicant must provide an original application provided. Awarding offices use this and administered by federally-recognized other information in making their Indian tribes are also exempt from the with all attachments, signed by an authorized representative and two funding recommendations. It is requirements of E.O. 12372. Otherwise, important, therefore, that this applicants should contact their SPOCs copies. The Application must be received at the address below by 5 p.m. information be included in the as soon as possible to alert them of the application. prospective applications and receive eastern standard time on or before the any necessary instructions. Applicants closing date. Applications should be Introduction must submit any required material to mailed to: Department of Health and Applicants required to submit a full the SPOCs as soon as possible so that Human Services (HHS), Administration project description shall prepare the OCS can obtain and review SPOC for Children and Families, Office of project description statement in comments as a part of the award Community Services Operations Center, accordance with the following process. It is imperative that the 1815 Fort Meyer Drive, Suite 300, instructions and the specified applicant submit all required materials, Arlington, Virginia 22209, ATTN: evaluation criteria. The instructions give if any, to the SPOC and indicate the date Daphne Weeden. a broad overview of what your project of this submittal (or the date of contact For Hand Delivery: Applicant must description should include while the if no submittal is required) on the provide an original application with all evaluation criteria expands and clarifies Standard Form 424A, item 16a. attachments, signed by an authorized more program-specific information that Under 45 CFR 100.8(a)(2), a SPOC has representative and two copies. The is needed. 60 days from the application deadline Application must be received at the date to comment on proposed new or address below by 4:30 p.m. eastern Project Summary/Abstract competing continuation awards. standard time on or before the closing Provide a summary of the project SPOCs are encouraged to eliminate date. Applications that are hand description (a page or less) with the submission of routine endorsements delivered will be accepted between the reference to the funding request. as official recommendations. hours of 8 a.m. to 4:30 p.m., Monday Additionally, SPOCs are requested to through Friday. Applications may be Objectives and Need for Assistance clearly differentiate between mere delivered to: Department of Health and Clearly identify the physical, advisory comments and those official Human Services (HHS) Administration economic, social, financial, State process recommendations which for Children and Families, Office of institutional, and/or other problem(s) may trigger the ‘‘accommodate or Community Services Operations Center, requiring a solution. The need for explain’’ rule. 1815 Fort Meyer Drive, Suite 300, assistance must be demonstrated and When comments are submitted Arlington, Virginia 22209 Attention: the principal and subordinate objectives directly to ACF, they should be Barbara Ziegler Johnson. It is strongly of the project must be clearly stated; addressed to: Department of Health and recommended that applicants obtain supporting documentation, such as Human Services, Administration for documentation that the application was letters of support and testimonials from Children and Families, Division of hand delivered on or before the closing concerned interests other than the Discretionary Grants, 370 L’Enfant date. Applicants are cautioned that applicant, may be included. Any Promenade, SW., Washington, DC express/overnight mail services do not relevant data based on planning studies 20447. always deliver as agreed. should be included or referred to in the

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endnotes/footnotes. Incorporate that will be used to determine if the Factors: The applicant documents that demographic data and participant/ needs identified and discussed are being the project addresses vital needs related beneficiary information, as needed. In met and if the project results and to the purposes stated and discussed developing the project description, the benefits are being achieved. With under this announcement. applicant may volunteer or be requested respect to the conduct of the project, The applicant provides statistics and to provide information on the total define the procedures to be employed to other data and information in support of range of projects currently being determine whether the project is being its contention. conducted and supported (or to be conducted in a manner consistent with Evaluation Criterion III: Ability of initiated), some of which may be the work plan presented and discuss the Applicant to Perform (Maximum: 20 outside the scope of the program impact of the project’s various activities points). announcement. on the project’s effectiveness. Factors: The applicant fully describes, for example in a resume, the experience Results or Benefits Expected Organizational Profiles and skills of the proposed sources of Identify the results and benefits to be Provide information on the applicant technical assistance showing specific derived. Explain how the project will organization(s) and cooperating partners qualifications and professional reach the targeted population and how such as organizational charts, financial experiences relevant to the successful it will benefit participants or the statements, audit reports, implementation of the proposed project. community. documentation of professional Evaluation Criterion IV: Significant and Beneficial Impact (Maximum 15 Approach accreditation, information on compliance with Federal/State/local points). Outline a plan of action which government standards, documentation Factor: The extent to which the describes the scope and detail of how of experience in the program area, and applicant adequately describes how the the proposed work will be other pertinent information. project will assure long-term program accomplished. Account for all functions A non-profit agency can accomplish and management improvements that or activities identified in the this by providing a copy of the will aid in removal from the ‘‘at risk application. Cite factors which might applicant’s listing in the Internal category’’. accelerate or decelerate the work and Revenue Service’s (IRS) most recent list Evaluation Criterion V: Evidence of state your reason for taking the of tax-exempt organizations described in Significant Collaborations (Maximum proposed approach rather than others. section 501(c)(3) of the IRS code, or by 10 Points). Describe any unusual features of the providing a copy of the currently valid Factors: The extent to which the project such as design or technological IRS tax exemption certificate, or by applicant describes how it will involve innovations, reductions in cost or time, providing a copy of the articles of the local Board of Directors of eligible or extraordinary social and community incorporation bearing the seal of the entities as well as other partners in the involvement. State in which the corporation or community in its activities. Provide quantitative monthly or association is domiciled. Where appropriate, the extent to quarterly projections of the which the applicant describes how it accomplishments to be achieved for Budget and Budget Justification will interface with other related each function or activity in, for Provide line item detail and detailed organizations. example, such terms as the ‘‘number of calculations for each budget object class Criterion VI: Adequacy of Budget people served.’’ When accomplishments identified on the Budget Information (Maximum: 5 points) cannot be quantified by activity or form. Detailed calculations must Factors: a. The extent to which the function, list them in chronological include estimation methods, quantities, resources requested are reasonable and order to show the schedule of unit costs, and other similar quantitative adequate to accomplish the project. (0– accomplishments and their target dates. detail sufficient for the calculation to be 3 points) If any data is to be collected, b. The extent to which total costs are duplicated. The detailed budget must maintained, and/or disseminated, reasonable and consistent with also include a breakout by the funding clearance may be required from the U.S. anticipated results. (0–2 points) sources identified in Block 15 of the SF– Office of Management and Budget 424. (OMB). This clearance pertains to any 2. Review and Selection Process Provide a narrative budget ‘‘collection of information that is OCS Evaluation of Applications justification that describes how the conducted or sponsored by ACF.’’ Each application submitted to OCS List organizations, cooperating categorical costs are derived. Discuss will be screened to determine whether entities, consultants, or other key the necessity, reasonableness, and it was received by the closing date and individuals who will work on the allocability of the proposed costs. time. project along with a short description of Evaluation Criterion I: Work Program Applications, which meet the initial the nature of their effort or contribution. (Maximum: 30 points). Factors: The work program is results- screening requirements, will be Evaluation oriented and appropriately related to the reviewed solely on responsiveness to Provide a narrative addressing how legislative mandate. The extent to which program guidelines and evaluation the results of the project and the the applicant addresses: Specific criteria published in this conduct of the project will be evaluated. outcomes to be achieved; performance announcement. States will not be In addressing the evaluation of results, targets which the project is committed competing with each other for funding state how you will determine the extent to achieving; critical milestones, which under this program. to which the project has achieved its must be achieved if results are to be VI. Award Administration Information stated objectives and the extent to gained; and organizational support; the which the accomplishment of objectives level of support including priority this 1. Award Notices can be attributed to the project. Discuss project has for the agency. Following approval of the the criteria to be used to evaluate Evaluation Criterion II: Need for applications selected for funding, notice results, and explain the methodology Assistance (Maximum: 20 points). of project approval and authority to

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draw down projects will be made in financial standard form (SF–269) which SUMMARY: This notice is to inform writing. The official award document is is located on the Internet at: http:// interested parties of the availability of the Financial Assistance Award, which forms.psc.gov/forms/sf/SF–269.pdf . A technical assistance meetings for the provides the amount of Federal funds suggested format for the program report Mentoring Children of Prisoners approved for use in the project, the will be sent to all grantees after the Program Announcement that was project and budget periods for which awards are made. published in the Federal Register on support is provided, the terms and February 23, 2004. conditions of the award, and the total VII. Agency Contacts project period for which support is Program Office Contact: Marianna FOR FURTHER INFORMATION CONTACT: contemplated. The Financial Assistance RayNor-Hill, Department of Health and Susan Spangnuolo, Mid Atlantic Award will be signed by the Grants Human Services (HHS), Administration Network of Youth and Family Services Officer. for Children and Families, Office of (MANY); 135 Cumberland Rd. Suite Community Services Operations Center, 201; Pittsburgh, PA 15237; 412–366– 2. Administrative and National Policy 6562; 412–366–5407 fax; Requirements 1815 Fort Meyer Drive, Suite 300, Arlington, Virginia 22209. e-mail: [email protected]. Grantees are subject to the audit [email protected]; telephone: (202) SUPPLEMENTARY INFORMATION: The requirements in 45 CFR parts 74 (non- 401–9343. Mentoring Children of Prisoners grant governmental) and 92 (governmental) Grants Management Office Contact: program is administered through the and OMB Circular A–133. Daphne Weeden, Department of Health Family and Youth Services Bureau Paperwork Reduction Act of 1995 and Human Services (HHS), (FYSB). Through the Mentoring (Pub. L. 104–13): Under the Paperwork Administration for Children and Children of Prisoners Program, FYSB Reduction Act of 1995, Public Law 104– Families, Office of Community Services awards grants to community- and faith- 13, the Department is required to submit Operations Center, 1815 Fort Meyer based organizations that provide to the Office of Management and Budget Drive, Suite 300, Arlington, Virginia children and youth of incarcerated (OMB) for review and approval any 22209. e-mail: [email protected]; parents with mentors. Each mentoring reporting and record keeping telephone: (202) 401–4577. requirements or regulations including program is designed to ensure that program announcements. This program VIII. Other Information mentors provide young people with safe announcement does not contain and trusting relationships; healthy Additional information about this messages about life and social behavior; information collection requirements program and its purpose can be located beyond those approved for ACF grant appropriate guidance from a positive on the following Web site: http:// adult role model; and opportunities for applications under the Program www.acf.hhs.gov/programs/ocs. Narrative Statement by OMB (Approval increased participation in education, Number 0980–0204). Dated: February 24, 2004. civic service, and community activities. The project description is approved Clarence H. Carter, FYSB is currently soliciting for under OMB control number 0970–0139 Director, Office of Community Services. applications to carry out the mentoring which expires 3/31/2004. An agency [FR Doc. 04–5044 Filed 3–5–04; 8:45 am] activities described in the program may not conduct or sponsor, and a BILLING CODE 4184–01–P announcement that was published in person is not required to respond to, a the Federal Register on February 23, collection of information unless it 2004. Applications for the Mentoring displays a currently valid OMB control DEPARTMENT OF HEALTH AND Children of Prisoners program are due number. HUMAN SERVICES April 23, 2004. Public reporting burden for this MANY will provide technical collection of information is estimated to Administration for Children and assistance to interested parties about the average 10 hours per response, Families Mentoring Children of Prisoners including the time for reviewing Program and grant opportunity through instructions, gathering and maintaining [ACYF/FYSB 0002–2004] workshops. You must register for the the data needed and reviewing the Notice of Technical Assistance workshops in advance through the collection information. Meetings for the Mentoring Children of contact listed above. If you require 3. Reporting Prisoners Program Announcement special accommodations to attend or participate in this meeting, please All grantees are required to submit AGENCY: Administration on Children, provide information regarding your quarterly program reports. Grantees are Youth, and Families, ACF, DHHS. also required to submit semi-annual requirements at the time of registration. ACTION: Notice of meeting. expenditure reports using the required Workshop meeting places and times:

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March 8, 2004—9:30 a.m.–4 p.m...... Westin Crown Center, 1 Pershing Road, Kansas City, MO Kansas City, MO. 64108, Meeting Room: Pershing Place West. March 9, 2004—9:30 a.m.–4 p.m...... Hilton Jacksonville, 1201 Riverplace Blvd., Jacksonville, Jacksonville, FL. Florida 32207, Meeting Room: St. Johns. March 9, 2004—9:30 a.m.–4 p.m...... Radisson Hotel Toledo, 101 North Summit Street, Toledo, Toledo, OH. Ohio 43604, Meeting Room: Ballroom 1. March 10, 2004—9:30 a.m.–4 p.m...... Positively Oak Cliff, 3107 West Camp Wisdom Road, Dallas, TX. Suite 980, Dallas, TX 75237. March 10, 2004—9:30 a.m.–4 p.m...... NJ Department of Corrections, Central Office, Stuyvesant Trenton, NJ. Ave. & Whittlesey Road, Trenton, New Jersey 08625.

Interested parties should contact days before the changes become of skilled peer panel reviewers available Susan Spanguolo; MANY; 135 effective. to review submitted applications. Cumberland Road; Suite 201 Pittsburgh, ANA published a Notice of Public Applications received after the PA 15237; 412–366–6562; 412–366– Comment (NOPC) in the Federal published closing date as stipulated in 5407 fax; [email protected] to register Register (68 FR 64685) on November 14, this published announcement will not for the meeting. 2003 on the proposed ANA policy and be considered. The new program program clarifications, modifications, Dated: March 2, 2004. announcement closing schedules will and activities for FY 2004. The NOPC allow ANA to release all funding to Joan E. Ohl, closed December 14, 2003. ANA communities earlier in the fiscal year; Commissioner, Administration on Children, received comments from three different provide applicants additional time to Youth and Families. entities: (A) one comment was receive agency comments and seek free [FR Doc. 04–5132 Filed 3–5–04; 8:45 am] submitted from an Alaska Village technical assistance before the next BILLING CODE 4184–01–M Council; (B) three comments were competition in the program. received from a national Native Additionally, ANA grantees will have American non-profit organization, and the opportunity to implement projects DEPARTMENT OF HEALTH AND (C) several editorial comments were in a timely manner, recruit personnel to HUMAN SERVICES received from an individual. ANA has support the grantee’s objectives; and Administration for Children and considered all the public comments decrease the number of requests for no Families received and has included clarifications cost grant extensions. This modification and modifications reflecting several of will afford ANA the opportunity to Administration for Native Americans the comments in the SY 2004 SEDS, perform grant administration and (ANA); Adoption of ANA Program Native Language and Environmental program monitoring and evaluation Policies and Procedures Program Announcements. activities that support new and non- Final Policies and Procedures and competing continuation grants. (Legal AGENCY: Administration for Children Comments and Responses authority: Sections 833(a) and (d) and and Families, HHS. 803C of the Native Americans Programs ACTION: Notice. 1. Policy on Deadline Date for Act of 1974, as amended, 42 U.S.C. Applications 2991b and 2991b–3) SUMMARY: The Administration for For FY 2004, ANA will have one Discussion of Comment: The one Native Americans (ANA) herein issues closing date for the SEDS Program or comment received on this section final interpretive rules, general other special initiative undertaken expressed concern with the change statements of policy and rules of agency pursuant to Section 803(a) of the Native associated with the receipt of procedure or practice relating to the American Programs Act of 1974, 42 applications from ‘‘postmarked by’’ to Social and Economic Development U.S.C. 2991b, and one closing date each ‘‘received by.’’ The commenter Strategies (SEDS) Language Preservation for the Alaska SEDS Program, Native expressed concern that unreliable mail and Maintenance (hereinafter referred to Language program, and the service delivery from remote areas will as Native Language), and Environmental Environmental program. (Legal cause undue stress on organizations. Regulatory Enhancement (hereinafter authority: Sections 803(a) and (d) and Response: During the previous referred to as Environmental) programs. 803C of the Native Americans Programs competitive cycle, ANA performed an assessment of all phases and EFFECTIVE DATE: December 21, 2003. Act of 1972, as amended, 42 U.S.C. 2991b and 2991b–3) benchmarks of the pre-award process to FOR FURTHER INFORMATION CONTACT: determine areas of needed efficiency. Sheila Cooper, Director of Program 2. Receipt of Applications The determination to change from Operations at (877) 922–9262. ANA’s program announcements will ‘‘postmarked by’’ to ‘‘received by’’ was SUPPLEMENTARY INFORMATION: now require that all applications for given much consideration, especially considering some ANA applicants are Background funding be ‘‘received by’’ ANA by the closing date. Consistent with past located in isolated communities. This Pursuant to Section 814 of the Native practices, ANA will not acknowledge policy will be an adjustment for all American Programs Act of 1974, as receipt of applications. Previously, ANA applicants, however the outcomes of amended, 42 U.S.C. 2991b–1, under the accepted applications for funding if they improved reader selection, the statute, ANA is required to provide were postmarked on or before the elimination of disputes associated with members of the public an opportunity to closing date. The change to receipt of postmarks and late-arriving comment on proposed changes in the application by the closing date is applications, and other pre-award interpretive rules, statements of general expected to reduce disputes regarding activities are more beneficial to policy, and rules of agency procedure or postmarks and late-arriving applicants than the re-instatement of the practice and to give notice of the final applications. This change will also ‘‘post-marked by’’ policy. ANA intends adoption of such changes at least 30 ensure ANA has the appropriate number to have the program announcements

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published with sufficient time allowed labeled with a Section Heading in Families (ACF) Uniform Project for applicants to prepare and submit an compliance with the format provided in Description, ANA’s criteria categories application in a timely manner. the program announcement. This format are: Project Introduction; Objectives and Therefore, the requirement for applies to all applicants submitting Need for Assistance; Project Approach; applications receipt will remain intact. applications for funding in the programs Organizational Capacity; Results and covered by this notice. All pages Benefits Expected; and Budget and 3. Access to Program Announcement submitted (including Government Budget Narrative. (Legal authority: and Application Materials Forms, certifications and assurances) Sections 803(a) and (d) and 803C of the The program announcement and the should be numbered consecutively. The Native Americans Programs Act of 1974, application materials are available on paper size shall be 8 1⁄2 x 11 inches, line as amended, 42 U.S.C. 2291b and the ANA Web site at: http:// spacing shall be a space and a half (1.5 2991b–3) www.acf.hhs.gov/programs/ana. The line spacing), printed only on one side, 5. Program Areas of Interest material on the Web site is provided as and have a half-inch margin on all sides information only. ANA makes all of the paper. The font size should be no ACF supports and fosters strong reasonable efforts to assure that the Web smaller than 12-point and the font type families and healthy communities. In site is complete and accurate. The shall be Times New Roman. These the FY 2004 Program Announcements, applicant bears sole responsibility, to requirements do not apply to the project ANA has identified Program Areas of assure that the copy downloaded and/or Abstract Form, Letters of Commitment, Interest to complement other Health and printed from any source is accurate and the Table of Contents, and the Objective Human Services and ACF programs. For complete. In case of a conflict between Work Plan. A complete application for example, in ANA’s SEDS program the the content of material downloaded assistance under ANA’s Program Economic Development Areas of from the website and the material Announcements consists of Three Parts. Interest support activities that will appearing the Federal Register, the Part One is the SF 424, Required provide business and employment notice published in the Federal Register Government Forms, and other required opportunities and options necessary to shall take precedence. (Legal authority: documentation noted in the program build the foundation of healthy Sections 803(a) and (d) and 803C of the announcement. Part Two of the communities and strong families. Under Native Americans Programs Act of 1974, application is a description of the Social Development, the program areas as amended, 42 U.S.C. 2991b and project’s substance. This section of the of interest support families, elders, 2991b–3) application may not exceed 45 pages. youth development, healthy marriage, and individuals with disabiliites. 4. Application Submission Part Three of the application is the Furthermore, under Governance, Requirements Appendix. This section of the application may not exceed 20 pages funding may be used for leadership and The format of the application for (the exception to this 20-page limit management training or to assist eligible funding is now standardized. The new applies only to projects that require, if applicants in the development of laws, application format will help applicants relevant to the project, a Business Plan regulations, codes, policies, and focus on the type of information and or any Third-Party Agreements). (Legal practices that support and promote data required to support an application authority: Sections 803(a) and (d) and community-based activities that lead to for funding. ANA will implement a page 803C of the Native Americans Programs self-sufficiency. The program Areas of limitation requirement to enable a Act of 1974, as amended, 42 U.S.C. Interest are projects that ANA considers thorough review of the application. (See 2991b and 2991b-3.) supportive to Native American 4(a) and (b)). ANA will implement these 4. (c) Explanation of Project Period: communities. Although eligibility for page requirements with a limit on the Under ANA’s new program funding is not restricted to projects of number of pages for each section. These announcements, project periods will be the type listed under this program modifications to the announcement will 12 months, 17 months, 24 months, or 36 announcement, these Areas of Interest reduce the amount of documentation months. ANA currently funds projects are ones which ANA sees as particularly applicants need to submit and it will spanning a 36-month period. Exception: beneficial to the develpment of healthy both strengthen and streamline the peer Native Language Planning Grants Native American communities. (Legal panel review process to allow reviewers (Category I) will continue to be 12 or 17 authority: Sections 803(a) of the Native to focus on the project and applications month project periods. This notice Americans Programs Act of 1974, as content. Additionally, program clarifies the specific project periods that amended, 42 U.S.C. 2991b) announcement standardization will ANA will fund. (Legal authority: 6. Policy on Results and Benefits prepare ANA and applicants for the Sections 803(a) and (d) and 803C of the Federal Government’s Electronic Grant Native Americans Programs Act of 1974, ANA’s program announcement will Application submission initiative and as amended, 42 U.S.C. 2291b and not offer an opportunity for applicants process. (Legal authority: Sections 2991b–3) to choose from six project performance 803(a) and (d) and 803C of the Native 4. (d) Application Review Criteria: indicators. For example, indicators may Americans Programs Act of 1974, as ANA has expanded the review criteria be: The number of jobs created or amended, 42 U.S.C. 2991b and 2991b– to allow for a more equitable retained; the strengthening and 3) distribution of points during the modification of tribal government 4. (a) Organization and Preparation of application review and competition activities such as the implementation of Application: Due to the intensity and process. In the FY 2004 Program codes and ordinances; the number of pace of the application review and Announcement, ANA will improve the people trained; the dollar amount of evaluation process, ANA has competitive review process through the non-federal resources leveraged per standardized the application submission use of six criteria that will evenly grantee; the number and type of format. The new application submission distribute evaluation points. The use of community, federal and state format for the SEDS program is included six criteria will standardize the review partnerships involved in the project; the in this notice. of each application and distribute the dollar amount of private sector 4. (b) ANA Application Format: ANA number of points more equitably. Based investsment integrated into the project; will now require all applications to be on the Administration for Children and and the number of community-based

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small businesses established. This projects in the same community and 803C of the Native Americans quantitative and qualitative date will be previously funded under the same Programs Act of 1974, as amended, 42 used to monitor grantee performance competition, they would be competing U.S.C. 2991b and 2991b–3; 45 CFR and to communicate to the public and with their consortia membership for 1336.33(b)(7)) Congress on the impact and success of ANA funding. • Objectives or activities to support locally funded ANA projects. (Legal Response: The policy statement read core administration activities of an authority: Sections 803(a) and (d) and in its entirety references a policy that organization. However, functions and 803C of the Native Americans Programs ANA does not fund duplicative projects activities that are clearly project related Act of 1974, as amended, 42 US.C. within the same identified community are eligible for grant funding. Under 2991b and 2991b–3) that are currently being funded or were Alaska SEDS projects, ANA will Correction: Within the ANA Results previously funded by ANA. The intent consider funding core administrative and Benefits Criteria, a redundant of the policy is to not restrict consortia capacity building projects at the village performance indicator was deleted. The services to its membership and is not government level if the village does not indicator removed was ‘‘number of intended to create problematic have governing systems in place. (Legal families served’’. The agency considered competition within communities. It is authority: Sections 803(a) and (d) and that this information was being ANA’s consideration that this policy 803C of the Native Americans Programs addressed in a more comprehensive supports an internal control measure to Act of 1974, as amended, 42 U.S.C. indicator: ‘‘the number of children, ensure the effective use of limited 2991b and 2991b–3 and 45 CFR youth, families or elders assisted or federal funds by the elimination of 1336.33(b)(4)) participating’’. financial awards for services and/or • Costs associated with fund-raising, activities already supported by ANA. including financial campaigns, 7. ANA Funding Restrictions The funding restriction policy will endowment drives, solicitation of gifts ANA does not fund: remain intact. and bequests, and similar expenses • Activities in support of litigation Discussion of Comment: The writer incurred solely to raise capital or obtain against the United States Government also wanted a definition of ‘‘projects contributions are unallowable under an that are unallowable under OMB that would require funding on an ANA grant award. (Legal authority: Circulars A–87 and A–122. (Legal indefinite or recurring basis’’. Sections 803(a) and (d) and 803C of the authority: Sections 803(a) and (d), and Response: ANA provides financial Native Americans Programs Act of 1974, 803C of the Native Americans Programs assistance for projects that are either as amended, 42 U.S.C. 2991b and Act of 1974, as amended, 42 U.S.C. complete or self-sustaining or funded by 2991b–3; 45 CFR 1336.50; 45 CFR 74.27; 2991b, and 2991b–3, 45 CFR 1336.50(a); other than ANA funds at the end of the OMB Circular A–122, Attachment B, 45 CFR 74.27 and 92.22; OMB Circular project period. Proposed projects that Paragraph 23; OMB Circular A–87, A–122, Attachment B, Paragraph 10(g) cannot demonstrate completion, or be Attachment B, Paragraph 21.) and OMB Circular A–87, Attachment B, self-sustaining or funded by other than • Major renovation or alternation Paragraph 14(b)) ANA funds at the end of the proposed because those activities are not • Duplicative projects or does not project period will not be considered for authorized under the Native American allow any one community to receive a funding. Programs Act of 1974, as amended. disproportionate share of the funds • Projects in which a grantee would (Legal authority: Sections 803(a) and (d) available for award. When making provide training and/or technical and 803C of the Native Americans decisions on awards of grants the assistance (T/TA) to other Tribes or Programs Act of 1974, as amended, 42 Agency will consider whether the Native American organizations that are U.S.C. 2991b and 2991b–3) project is essentially identical or otherwise eligible to apply. However, • Projects originated and designed by similar, in whole or significant part, to ANA will fund T/TA requested by a consultants who provide a major role for projects in the same community grantee for its own use or for its themselves and are not members of the previously funded or being funded members’ use (as in the case of a applicant organization, Tribe, or village. under the same competition. The consortium), when the T/TA is (Legal authority: Sections 803(a) and (d) Agency will also consider whether the necessary to carry out project objectives. and 803C of the Native Americans grantee is already receiving funding for (Legal authority: Sections 803(a) and (d) Programs Act of 1974, as amended, 42 a SEDs, Language, or Environmental and 803C of the Native Americans U.S.C. 2991b and 2991b–3) project from ANA. The Agency will also Programs Act of 1974, as amended, 42 • Project activities that do not further take into account in making funding U.S.C. 2991b and 2991b–3; 45 CFR the three interrelated ANA goals of decisions whether a proposed project 1336.33(b)(2)) economic development, social would require funding on an indefinite Discussion of Comment: The writer development and governance or meet or recurring basis. This determination expressed concerns with the statement the purpose of this program will be made after it is determined ‘‘projects in which a grantee would announcement. (Legal authority: whether the application meets the provide training and/or technical Sections 803(a) and (d) and 803C of the requirements for eligibility as set forth assistance to other tribes or Native Native Americans Programs Act of 1974, in 45 CFR 1336, Subpart C, but before American organizations that are as amended, 42 U.S.C. 2991b and funding decisions are complete. (Legal otherwise eligible to apply’’. 2991b–3; 45 CFR 1336.33(b)(5)) authority: Sections 803(a) and (d) and Response: The policy statement read Correction: The agency noted that the 803C of the Native Americans Programs in its entirety allows for consortia to wording of the funding restriction Act of 1974, as amended, 42 U.S.C. provide technical assistance in support ‘‘Project activities that do not further the 2991b and 2991b–3) of project objectives to its membership. three interrelated ANA goals of Discussion of Comment: The writer The policy will remain intact. economic development, social expressed concern with the policy • The purchase of real property or development, governance or meet the statement on award determination. If construction because those activities are purpose of this program announcement’’ ANA is going to consider whether the not authorized by the Native American should have read as ‘‘Project activities proposed project is essentially identical Programs Act of 1974, as amended. that do not further the three interrelated or similar, in whole or in part, to (Legal authority: Sections 803(a) and (d) ANA goals of economic development or

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social development or governance, or is representative of the community to be 803C of the Native Americans Programs meet the purpose of this program served. To establish compliance, an Act of 1974, as amended, 42 U.S.C. announcement’’. The technical applicant should provide supporting 2991b and 2991b–3; 45 CFR 1336.33(a)) correction allows the applicant to documentation and assurance that its 9. DUNS Numbers indicate on the ANA abstract form duly elected or appointed board of which one of the three inter-related directors is majority Native American. (New Requirement to receive grant ANA goals is primarily being addressed. (Legal authority: Sections 803(a) and (d) awards) and 803C of the Native Americans 8. Administrative Policies Programs Act of 1974, as amended, 42 On June 27, 2003, the Office of Applicants must comply with the U.S.C. 2991b and 2991b–3; 45 CFR Management and Budget published in following Administrative Policies: 1336.33(a)) the Federal Register a new Federal • An applicant must provide a 20% • Applicants must describe how the policy applicable to all Federal grant non-federal match of the approved proposed project objectives and applicants, after giving notice in the project costs. Applications originating activities relate to a locally determined Federal Register on June 27, 2002 and from American Samoa, Guam, or the strategy. (Legal authority: Sections providing opportunity for public Commonwealth of the Northern Mariana 803(a) and (d) and 803C of the Native comment. The policy requires all Islands are covered under section 501(d) Americans Programs Act of 1974, as Federal grant applicants to provide a of Pub. L. 95–134, as amended (48 amended, 42 U.S.C. 2991b and 2991b– Dun and Bradstreet Data Universal U.S.C. 1469a), under which HHS waives 3) Numbering System (DUNS) number any requirement for matching funds • Proposed projects must consider the when applying for Federal grants or under $200,000 (including in-kind maximum use of all available cooperative agreements on or after contributions). (Legal authority: community-based resources. (Legal October 1, 2003. The DUNS number will Sections 803(a) and (d) and 803C of the authority: Sections 803(a) and (d) and be required whether an applicant is Native Americans Programs Act of 1974, 803C of the Native Americans Programs submitting a paper application or using as amended, 42 U.S.C. 2991b and Act of 1974, as amended, 42 U.S.C. the government-wide electronic portal 2991b–3; 45 CFR 1336.50(b)) 2991b and 2991b–3) (http://www.Grants.Gov). A DUNS • An application from a Tribe, Alaska Discussion of Comment: The writer number will be required for every Native Village or Native American expressed concern with the statement application for a new award or renewal/ organization must be from the governing ‘‘Proposed projects must consider the continuation of an award, including body. (Legal authority: Sections 803(a) maximum use of all available applications or plans under mandatory and (d) and 803C of the Native community-based resources.’’ It is grant programs, submitted on or after Americans Programs Act of 1974, as interpreted by the writer that this policy October 1, 2003. A DUNS number may amended, 42 U.S.C. 2991b and 2991b– will create a hardship for Native be acquired at no cost by calling the 3) communities with limited community dedicated toll-free DUNS number • A non-profit organization resources. request line on 1–866–705–5711 or you submitting an application must submit Response: This statement is intended may request a number on-line at http:// proof of its non-profit status at the time to ensure that the applicant assesses the www.dnb.com. of submission. The non-profit availability of other community organization shall submit one of the resources and any opportunities and 10. Community and Faith-Based following verifiable documents: (i) A options to partner with other Organizations copy of the applicant’s listing in the community-based programs. Applicants The Administration for Children and Internal Revenue Service’s(IRS) most with scarce community resources will Families through the Administration for recent list of tax exempt organizations not be penalized. The policy statement Native Americans supports and fosters described in Section 501(c)(3) of the IRS will remain intact. code or (ii) a copy of the currently valid • Proposed projects must present a strong families and healthy IRS tax exemption certificate, or (iii) a strategy to overcome the challenges that communities under four initiatives. copy of the articles of incorporation hinder movement toward self- ANA encourages applications from bearing the seal of the State or federally- sufficiency in the community. (Legal eligible community and faith-based recognized Tribe in which the authority: Sections 803(a) and (d) and organizations that (1) provide services corporation or association is domiciled. 803C of the Native Americans Programs directly to Native American people; (2) Organizations incorporating in Act of 1974, as amended, 42 U.S.C. organizations that support rural American Samoa are cautioned that the 2991b and 2991b–3) communities; (3) provide prevention Samoan government relies exclusively • Applicants proposing an Economic and intervention programs for youth upon IRS determination of non-profit Development project should address the and families; and (4) promote healthy status; therefore, articles of project’s viability. A business plan, if relationships to strengthen families. incorporation approved by the Samoan applicable, must be included to describe 11. Community-Based Projects government do not establish non-profit the project’s feasibility, cash flow, and status for the purpose of ANA approach for the implementation and ANA’s program announcements will eligibility. (Legal Authority: Sections marketing of the business. (Legal emphasize partnerships and 803(a) and (d) and 803C of the Native authority: Sections 803(a) and (d) and community-based projects. The intent of Americans Programs Act of 1974, as 803C of the Native Americans Programs this change is to increase the number of amended, 42 U.S.C. 2991b and 2991b– Act of 1974, as amended, 42 U.S.C. grants to local community 3) 2991b and 2991b–3) organizations, to encourage new • If the applicant, other than a Tribe • ANA will not accept applications partnerships with public and private or an Alaska Native Village government, from tribal components, which are community-based organizations. (Legal is proposing a project benefiting Native tribally authorized divisions of a larger authority: Sections 803(a) and (d) and Americans or Native Alaskans, or both, Tribe, which are not approved by the 803C of the Native Americans Programs it must provide assurance that its duly governing body of the Tribe. (Legal Act of 1974, as amended, 42 U.S.C. elected or appointed board of directors authority: Sections 803(a) and (d) and 2991b and 2991b–3)

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12. Funding Thresholds achieve the objectives and activities 16. Policy on Training and Technical The ANA will increase funding outlined in the Objective Work Plan; (3) Assistance ceilings under the Native Language ANA’s continued belief that the project To reduce geographic disparities, program for Category I Planning and is in the public interest; and (4) the ANA’s training and technical assistance Category II Design and Implementation grantee is in compliance with applicable curriculum and all associated handouts grants. The minimum grant amount for statutory and grant reporting will be standardized. ANA’s contracted Native Language grants will be $25,000. requirements. Multi-year grant awards training and technical assistance The ceiling amount for Category I grants are subject to the availability of funds providers may provide training in pre- will increase from $60,000 to $100,000. and a determination by ANA that the application and project development. The ceiling amount for Category II grantee has successfully completed its Training will be advertised in advance, grants will increase from $150,000 to prior year objectives. Exception: Native to ensure prospective applicants have $175,000. The increase in funding Language Category I: Planning Grants the opportunity to attend. All potential amounts for Native Language grants will will remain 12 or 17 month projects. ANA applicants are eligible to receive support the effective assessment of (Legal authority: Sections 803(a) and (d) free training and technical assistance in native languages. It will also provide and 803C of the Native Americans the SEDS, Language or Environmental applicants the opportunity to Programs Act of 1974, as amended, 42 program areas. (Legal authority: Sections incorporate new technologies necessary U.S.C. 2991b and 2991b–3) 804 of the Native Americans Programs to design, implement, and preserve 14. Applications From Multiple Act of 1974, as amended, 42 U.S.C. Native language and culture. Grants Organizations in the Same Geographic 2991c) awarded under the Native Language Area 17. Application Review Criteria program that produce audio or print media will now include a stipulation ANA will accept applications for ANA has improved the competitive that a copy of the product be provided funding and award grants to multiple review process and will now use six to ANA for the Language Repository. organizations located in the same criteria that will evenly distribute Federally-recognized Tribes have the geographic area, provided the activities evaluation points. The use of six criteria option to not submit project products. are not duplicative of previously funded will standardize the review of each The funding ceiling for Social and ANA projects in the same geographic application and distribute the number of Economic Development Strategies area or to the same grantee. Previously, points more equitably. ANA’s criteria (SEDS) will be reduced from $1 million under each competitive program area, categories are: Project Introduction; to $500,000. The minimum grant award ANA accepted one application that Objectives and Need for Assistance; amount will be $25,000. This served or impacted a reservation, Tribe Project Approach; Organizational adjustment of the minimum and or Native American community. The Capacity; Results and Benefits Expected; maximum funding levels is due to the reason for this change is to expand and and Budget and Budget Justification. demand for SEDS project funding. support large Native American rural and (Legal authority: Sections 803(a) and (d) These changes will result in additional urban communities that provide a and 803C of the Native Americans community-based social and economic variety of services in the same Programs Act of 1974, as amended, 42 development project grant awards under geographic area. Although Tribes are U.S.C. 2991b and 2991b–3) the SEDS program. The Environmental limited to three simultaneous ANA Discussion of Comment: The Program announcement includes a grants (one each under SEDS, Native comments submitted by the individual suggested threshold and ceiling on Language and Environmental programs) suggested ANA modify its sentence proposed projects. For FY 2004 these at any one time, this clarification allows structure, and increase the point weight amounts will be considered as other community-based organizations to on the budget section to emphasize its importance. guidelines only. (Legal authority: apply for ANA funding to support on- Response: ANA has determined that Sections 803(a) and (d) and 803C of the going community-based efforts, the editorial and suggested re-wording Native Americans Programs Act of 1974, provided the activities do not duplicate did not change the intent of the as amended, 42 U.S.C. 2991b and currently funded projects serving the information being requested and 2991b–3) same geographic area. (Legal authority: therefore incorporated a majority of the Sections 803(a) and (d) and 803C of the 13. Availability of Multi-Year Funding recommended edits in the ANA Native Americans Programs Act of 1974, Applicants may apply for projects of evaluation criteria section of the as amended, 42 U.S.C. 2991b and up to 36 months in duration. A multi- program announcement. The ACF year project, one extending more than 2991b–3) Uniform Project Description requires the 12 months or 17 months, affords 15. Program Specific Program use of specific text in program grantees the opportunity to undertake Announcements announcements and the ANA program more complex and in-depth projects. announcement adheres to those Applicants are encouraged to develop ANA’s FY 2004 program requirements. The edits provided more multi-year projects. However, applicants announcements will now be program clarity and cohesiveness to this section should note that a multi-year project is specific. ANA will release separate of the program announcement without a project on a single theme that requires program announcements for funding changing content or intent. more than 12 or 17 months to complete. opportunities under SEDS, for Language Response: The comment to increase It is not a series of unrelated projects Preservation and Maintenance, the point value of the ANA Budget presented in chronological order over a Environmental Regulatory criteria would result in a subsequent three-year period. Funding after the first Enhancement, and for special decrease in assigned point value in budget period of a multi-year project initiatives. (Legal authority: Sections another criterion. ANA determined that will be non-competitive. However, 803(a) and (d) and 803C of the Native it would not be beneficial to the overall multi-year funding will be contingent Americans Programs Act of 1974, as project presentation as outlined to upon: (1) The availability of Federal amended, 42 U.S.C. 2991b and 2991b– increase the point value for the budget funds; (2) the grantee’s progress to 3) section. The assignment of point values

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to evaluation criteria provides the Community Involvement: How the application should identify the role and applicant with an indication as to which community participated in the responsibility of each participating criteria have more merit in the overall development of the proposed project, consortia member and a copy of the development of an application. ANA how the community will be involved consortia legal agreement or Memoranda has determined the budget criteria point during the project implementation and of Agreement to support the proposed value is suitable in relation to the other after the project is completed. Evidence project. (Legal authority: Sections 803(a) merit criteria and will remain as of community involvement can include, and (d) and 803C of the Native initially established. but is not limited to, certified petitions, Americans Programs Act of 1974, as Technical Correction: The ANA public meetings minutes, surveys, needs amended, 42 U.S.C. 2991b and 2991b– evaluation criteria title ‘‘Introduction assessments, newsletters, special 3) and Project Summary/Abstract’’ was re- meetings, public Council meetings, Construction: The initial building of a written to state ‘‘Introduction and public committee meetings, public facility. (Legal authority: Sections 803(a) Project Summary/Project Abstract’’. hearings, and annual meetings with and (d) and 803C of the Native This change was added to provide representatives from the community. Americans Programs Act of 1974, as clarity and indicate to the applicant that The applicant should document the amended, 42 U.S.C. 2991b and 2991b– the information requested should be community’s support of the proposed 3) indicated on the ANA Project Abstract project. Applications from National and Core Administration: Salaries and form (OMB No. 0980–0204). Regional Indian and Native other expenses for those functions that support the applicant’s organization as 18. Definitions organizations should clearly demonstrate a need for the project, a whole or for purposes that are The following definitions will be used explain how the project originated, unrelated to the actual management or in all ANA program announcements. In identify the beneficiaries, and describe implementation of the ANA project. the FY 2004 Program Announcement, and relate the actual project benefits to However, salaries and activities that are ANA clarifies many areas that have the community and organization. clearly related to the ANA project are previously prompted numerous National Indian and Native eligible for grant funding. (Legal questions and application mistakes from organizations should also identify their authority: Sections 803(a) and (d) and applicants. The ANA program membership and specifically discuss 803C of the Native Americans Programs announcement will now include how the organization operates and Act of 1974, as amended, 42 U.S.C. definitions for the following terms: impacts Native American people and 2991b and 2991b–3; 45 CFR Authorized Representative: The communities. (Legal authority: Sections 1336.33(b)(4).) person or person(s) authorized by Tribal 803(a) and (d) and 803C of the Native Economic Development: Involves the or Organizational resolution to execute Americans Programs Act of 1974, as promotion of the physical, commercial, documents and other actions required amended, 42 U.S.C. 2991b and 2991b– technological, industrial, and/or by outside agencies. (Legal authority: 3) agricultural capacities necessary for a Sections 803(a) and (d) and 803C of the Completed Project: A completed sustainable local community. Economic Native Americans Programs Act of 1974, project means that the program funded development includes activities and as amended, 42 U.S.C. 2991b and by ANA is finished, self-sustaining, or actions that develop sustainable, stable, 2991b–3) funded by other than ANA funds, and and diversified private sector local Budget Period: The interval of time the results and outcomes are achieved economies. For example, initiatives that into which the project period is divided by the end of the project period. (Legal support employment options, business for budgetary or funding purposes, and authority: Sections 803(a) and (d) and opportunities, development and for which a grant is made. A budget 803C of the Native Americans Programs formation of a community’s economic period usually lasts one year in a multi- Act of 1974, as amended, 42 U.S.C. infrastructure, laws and policies that year project period. (Legal authority: 2991b and 2991b–3) result in the creation of businesses and Sections 803(a) and (d) and 803C of the Consortia—Tribal/Village: A group of employment options and opportunities Native Americans Programs Act of 1974, Tribes or villages that join together that provide for the foundation of as amended, 42 U.S.C. 2991b and either for long-term purposes or for the healthy communities and strong 2991b–3) purpose of an ANA project. Applicant families. (Legal authority: Sections Community: A group of people must identify Consortia membership. 803(a) and (d) and 803C of the Native residing in the same geographic area The Consortia applicant must be the Americans Programs Act of 1974, as that can apply their own cultural and recipient of the funds. A Consortia amended, 42 U.S.C. 2991b and 2991b– socio-economic values in implementing applicant must be an ‘‘eligible entity’’ as 3) ANA’s program objectives and goals. In defined by this program announcement Equipment: Tangible, non-expendable discussing the applicant’s community, and the ANA regulations. Consortia personal property, including exempt the following information should be applicants should include property, charged directly to the award provided. (1) A description of the documentation (a resolution adopted having a useful life of more than one population segment within the pursuant to the organization’s year and an acquisition cost of $5,000 or community to be served or impacted; (2) established procedures and signed by an more per unit. However, consistent with the size of the community; (3) authorized representative) from all recipient policy, lower limits may be geographic description or location, consortia members supporting the ANA established. (Legal authority: Sections including the boundaries of the application. An application from a 803(a) and (d) and 803C of the Native community; (4) demographic data on consortium should have goals and Americans Programs Act of 1974, as the target population; and (5) the objectives that will create positive amended, 42 U.S.C. 2991b and 2991b– relationship of the community to any impacts and outcomes in the 3; 45 CFR 1336.50(a); 45 CFR 74.2 and larger group or tribe. (Legal authority: communities of its members. ANA will 92.3) Sections 803(a) and (d) and 803C of the not fund activities by a consortium of Governance: Involves assistance to Native Americans Programs Act of 1974, tribes which duplicates activities for tribal and Alaska Native village as amended, 42 U.S.C. 2991b and which member Tribes also receive government leaders to increase their 2991b–3) funding from ANA. The consortium ability to execute local control and

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decision-making over their resources. required for an ANA grant. Such Act of 1974, as amended, 42 U.S.C. (Legal authority: Sections 803(a) and (d) resources may include any natural, 2991b and 2991b–3) and 803C of the Native Americans financial, and physical resources Objective(s): Specific outcomes or Programs Act of 1974, as amended, 42 available within the tribe, organization, results to be achieved within the U.S.C. 2991b and 2991b–3) or community to assist in the successful proposed project period that are Implementation Plan: The guidebook completions of the project. An example specified in the Objective Work Plan. the applicant will use in meeting the would be a written letter of commitment Completion of objectives must result in results and benefits expected for the from an organization that agrees to specific, measurable, outcomes that project. The Implementation Plan provide a supportive action, product, would benefit the community and provides detailed descriptions of how, and service, human or financial directly contribute to the achievement when, where, by whom and why contribution that will add to the of the stated community goals. activities are proposed for the project potential success of the project. (Legal Applicants should relate their proposed and is complemented and condensed by authority: Sections 803(a) and (d) and project objectives to outcomes that the Objective Work Plan. (Legal 803C of the Native Americans Programs support the community’s long-range authority: Sections 803(a) and (d) and Act of 1974, as amended, 42 U.S.C. goals. (Legal authority: Section 803(a) 803C of the Native Americans Programs 2991b and 2991b–3) and (d) and 803C of the Native Act of 1974, as amended, 42 U.S.C. Multi-purpose Organization: A Americans Programs Act of 1974, as 2991b and 2991b–3) community-based corporation whose amended, 42 U.S.C. 2991b and 2991b– In-kind Contributions: In-kind charter specifies that the community 3) contributions are property or services designates the Board of Directors and/or Partnerships: Agreements between which benefit a federally assisted officers of the organization through an two or more parties that will support the development and implementation of the project or program and which are elective procedure and that the contributed by the grantee, non-Federal proposed project. Partnerships include organization functions in several third parties without charge to the other community-based organizations or different areas of concern to the grantee, or a cost-type contractor under associations, Tribes, federal and state members of the local Native American the grant agreement. Any proposed in- agencies and private or non-profit community. These areas are specified in kind match must meet the applicable organizations. (Legal authority: Sections the by-laws and/or policies adopted by requirements found in 45 CFR Parts 74 803(a) and (d) and 803C of the Native the organization. They may include, but and Part 92. (Legal authority: Sections Americans Programs Act of 1974, as need not be limited to, economic, 803(a) and (d) and 803C of the Native amended, 42 U.S.C. 2991b and 2991b– artistic, cultural, and recreational Americans Programs Act of 1974, as 3) activities, and the delivery of human amended, 42 U.S.C. 2991b and 2991b Performance Indicators: Measurement and 2991b–3) services such as day care, education, descriptions used to identify the Letter of Commitment: A third party and training. (Legal authority: Sections outcomes or results of the project. statement to document the intent to 803(a) and (d) and 803C of the Native Outcomes or results must be measurable provide specific in-kind contributions Americans Programs Act of 1974, as to determine that the project has or cash to support the applicant. The amended, 42 U.S.C. 2991b and 2991b– achieved its desired objective and can Letter of Commitment must state the 3) be independently verified through dollar amount (if applicable), the length Multi-year Project: Encompasses a monitoring and evaluation. Legal of time the commitment will be single theme and requires more than 12 authority: Sections 803(a) and (d) and honored, and the conditions under or 17 months to complete. A multi-year 803C of the Native Americans Programs which the organization will support the project affords the applicant or Act of 1974, as amended, 42 U.S.C. proposed ANA project. If a dollar opportunity to develop and address 2991b and 2991b–3) amount is included, the amount must be more complex and in-depth strategies Real Property: Land, including land based on market and historical rates that cannot be completed in one year. A improvements, structures, and charged and paid. The resources to be multi-year project is a series of related appurtenances thereto, excluding committed may be human, natural, objectives with activities presented in movable machinery and equipment. physical, or financial, and may include chronological order over a two or three- (Legal authority: Sections 803(a) and (d) other Federal and non-Federal year period. Prior to funding the second and 803C of the Native Americans resources. For example, a notice of or third year, of a multi-year grant, ANA Programs Act of 1974, as amended, 42 award from another Federal agency will require verification and support U.S.C. 2991b and 2991b–3) committing $200,000 in construction documentation for the grantee that Renovation or Alteration: The work funding to complement a proposed objectives and outcomes proposed in required to change the interior ANA funded pre-construction activity is the preceding year were accomplished. arrangements or other physical evidence of a commitment. Statements Applicants proposing multi-year characteristics of an existing facility, or about resources which have been projects must complete and submit an install equipment so that it may be more committed to support a proposed Objective Work Plan (OWP) and budget effectively used for the project. project made in the application without with narrative for each project year, and Alteration and renovation may include supporting documentation will be fully described objectives to be work referred to as improvements, disregarded. (Legal authority: Sections accomplished, outcomes to be achieved, conversion, rehabilitation, remodeling, 803(a) and (d) and 803C of the Native and the results and benefits to or modernization, but is distinguished Americans Programs Act of 1974, as determine the successful outcomes of from construction. (Legal authority: amended, 42 U.S.C. 2991b and 2991b– each budget period. ANA will review Sections 803(a) and (d) and 803C of the 3) the quarterly and annual reports of Native Americans Programs Act of 1974, Leveraged Resources: The total dollar grantees to determine if the grantee is as amended, 42 U.S.C. 2991b and value of all non-ANA resources that are meeting its goals, objectives and 2991b–3) committed to a proposed ANA project activities identified in the OWP. (Legal Resolution: Applicants are required to and are supported by documentation authority: Sections 803(a) and (d) and include a current signed Resolution (a that exceed the 20% non-federal match 803C of the Native Americans Programs formal decision voted on by the official

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governing body) in support of the are reviewed, analyzed, and scored by the Agency will consider whether the project for the entire project period. The qualified professionals in the respective project is essentially identical or Resolution should indicate who is program area. This organizational similar, in whole or significant part, to authorized to sign documents and efficiency will ensure that each projects in the same community negotiate on behalf of the Tribe or application receives appropriate previously funded or being funded organization. The Resolution should consideration and that the panel review under the same competition. The indicate that the community was teams have the appropriate and Agency will also consider whether the involved in the project planning necessary credentials to analyze, grantee is already receiving funding for process, and indicate the specific dollar evaluate, and score applications. For a SEDS project or for another project amount of any non-federal matching example, readers with education and from ANA. The Agency will also take funds (if applicable). (Legal authority: work experience in Environmental into account in making funding Sections 803(a) and (d) and 803C of the Regulatory Enhancement will be decisions whether a proposed project Native Americans Programs Act of 1974, selected to review environmental would require funding on an indefinite as amended, 42 U.S.C. 2991b and applications. Readers with education or recurring basis. (Legal authority: 2991b–3) and work experience in Language Sections 803(a) and (d) and 803C of the Sustainable Project: A sustainable Preservation and Maintenance will be Native Americans Programs Act of 1974, project is an on-going program or selected to review language as amended, 42 U.S.C. 2991b and service that can be maintained without applications. (Legal authority: Sections 2991b–3) additional ANA funds. (Legal authority: 803(a) and (d) and 803C of the Native Correction: Added an additional pre- Sections 803(a) and (d) and 803C of the Americans Programs Act of 1974, as screening element (f) applicants must Native Americans Programs Act of 1974, amended, 42 U.S.C. 2991b and 2991b– submit a DUNS number on their SF 424 as amended, 42 U.S.C. 2991b and 3) form. This element was added per the 2991b–3) Office of Management and Budget Self-Sufficiency: The ability to 19. (a) Initial Screening policy published in the Federal Register generate resources to meet a Each application submitted under an on October 1, 2003. This section was community’s needs in a sustainable ANA program announcement will further edited to read as follows: ‘‘An manner. A community’s progress undergo a pre-review screening to application that does not meet one of toward self-sufficiency is based on its determine if (a) The application was the above elements will be considered efforts to plan, organize, and direct received by the program announcement incomplete and excluded from the resources in a comprehensive manner closing date; (b) the application was competitive review process. Applicants, that is consistent with its established submitted in accordance with with incomplete applications, will be long-range goals. For a community to be Application Submission Requirements; notified by mail within 30 business days self-sufficient, it must have local access (c) the applicant is eligible for funding; from the closing date of this program to, control of, and coordination of (d) the applicant has submitted the announcement.’’ This amendment was services and programs that safeguard the proper support documentation such as inserted to clarify and make a health, well-being, and culture of the proof of non-profit status, resolutions, distinction between incomplete people that reside and work in the and required government forms; and (e) applications, which do not have community. (Legal authority: Sections an authorized representative has signed recourse to appeal, and the 803(a) and (d) and 803C of the Native the application. An application that determination of ineligibility, which has Americans Programs Act of 1974, as does not meet one of the above elements recourse to an appeal process. amended, 42 U.S.C. 2991b and 2991b– will be excluded from the competitive 19. (b) Automation of the Panel Review 3) review process. Ineligible applicants Social Development: Investment in will be notified by mail within 30 Process human and social capital for advancing business days from the closing date of In FY 2004, ANA will automate its the well-being of members of the Native this program announcement. ANA staff application receipt and panel review American community served. Social cannot respond to requests for process to comply with the Paperwork development is the action taken to information regarding funding decisions Reduction Act of 1995 and to support support the health, education, culture, prior to the official applicant the ACF Electronic Grant Application and employment options that expand an notification. After the Commissioner has Submission Initiative. The automation individual’s capabilities and made funding decisions, unsuccessful of document management will provide opportunities, and that promote social applicants will be notified in writing program operation efficiency. For inclusion and combat social ills. (Legal within 90 days. Applicants are not example, when an application is authority: Sections 803(a) and (d) and ranked based on general financial need. submitted to ANA it is logged into an 803C of the Native Americans Programs Applicants, who are initially excluded automated system and given an Act of 1974, as amended, 42 U.S.C. from competition because of identification number. After the 2991b and 2991b–3) ineligibility, may appeal the Agency’s program announcement closing date, decision. Likewise, applicants may also ANA randomly assigns each application 19. Competitive Panel Review Process appeal an ANA decision that an to a peer review panel for evaluation ANA will consolidate the peer panel applicants’ proposed activities are and scoring. During the review process, review process. ANA is required by ineligible for funding consideration. The panel reviewer comments are statute to provide a peer panel review appeals process is stated in the final downloaded into data files. These for each eligible application. Panel rule published in the Federal Register comments are then matched and stored reviewers are selected nationally for on August 19, 1996 (61 FR 42817 and with the application data file. This their education, experience, and 45 CFR part 1336, subpart C). ANA has process consolidates all applications working knowledge in ANA program a policy of not funding duplicative and review information, protects the areas. In FY 2003, ANA began the projects or allowing any one community confidentiality of the panel reviewers, process of expanding and rotating the to receive a disproportionate share of and allows applicants to obtain pool of panel reviewers. This process the funds available for award. When comments in a timely manner. (Legal will ensure that applications for funding making decisions on awards of grants authority: Sections 803(a) and (d), 803C

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and 806 of the Native Americans amount, the duration of the project, and DEPARTMENT OF HEALTH AND Programs Act of 1974, as amended, 42 a synopsis of the project. Posting this HUMAN SERVICES U.S.C. 2991b, 2991b–3 and 2991d–1) information will provide prospective Food and Drug Administration 19. (c) Panel Reviews and Funding applicants with examples of Decisions successfully funded projects, inform the [Docket No. 2003P–0266] public how and where ANA is ANA values the knowledge and expending its funds, and share Determination That LOVENOX expertise of individual reviewers. information with other HHS, ACF, (Enoxaparin Sodium) 90 Milligrams/0.6 Applications for funding are randomly Milliliter, Was Not Withdrawn From assigned to panel review teams. Each federal and state agencies. The ANA Sale for Reasons of Safety or panel reviewer is responsible for website will also include profiles of Effectiveness reading the program announcement successful ANA community projects, and it will provide links to other Federal Register and scoring each AGENCY: Food and Drug Administration, application in accordance with the funding sources, information on special HHS. HHS, ACF and ANA initiatives, and published review criteria. Each ACTION: Notice. application is reviewed and scored provide an opportunity for ANA independently by a panel reviewer. applicants to tract the review and SUMMARY: The Food and Drug After the panel review process, ANA approval process of submitted Administration (FDA) is announcing its conducts due diligence on each applications for funding. (Legal determination that LOVENOX application in the funding range. The authority: Sections 803(a) and (d) and (enoxaparin sodium) 90 milligrams ANA Commissioner determines the 803C of the Native Americans Programs (mg)/0.6 milliliter (mL) was not final action on each grant application Act of 1974, as amended, 42 U.S.C. withdrawn from sale for reasons of received under ANA program 2991b and 2991b–3) safety or effectiveness. This announcements. The Commissioner’s determination will allow FDA to funding decision is based on an analysis 21. New OMB Format Requirements approve abbreviated new drug of the application by each peer review The Office of Management and Budget applications (ANDAs) for enoxaparin panel, the review and recommendations has changed the format for program sodium 90 mg/0.6 mL. of ANA staff, panel review scores, FOR FURTHER INFORMATION CONTACT: comments of State and Federal agencies announcements published in the Federal Register. ANA has modified its Nicole Mueller, Center for Drug having contract and grant performance Evaluation and Research (HFD–7), Food related information, and other interested normal program announcement format to comply with these changes. and Drug Administration, 5600 Fishers parties. The Commissioner makes grant Lane, Rockville, MD 20857, 301–594– awards consistent with the purpose of Additional Information 2041. the Native American Programs Act (NAPA), all relevant statutory and Reporting Requirements SUPPLEMENTARY INFORMATION: In 1984, regulatory requirements, this program Congress enacted the Drug Price announcement, and the availability of Correction: The Social and Economic Competition and Patent Term appropriated funds. (Legal authority: Development Strategies program Restoration Act of 1984 (Public Law 98– Sections 803(a) and (d), 803C and 806 announcement included in the 417) (the 1984 amendments), which of the Native Americans Programs Act November Federal Register Notice has a authorized the approval of duplicate of 1974, as amended, 42 U.S.C. 2991b, typographical error in one of the versions of drug products approved 2991b–3 and 2991d–1) references to the Reporting under an ANDA procedure. ANDA Requirements. The Financial Status sponsors must, with certain exceptions, 19. (d) Award Notification Information reports (SF269) will be submitted on a show that the drug for which they are Successful applicants are notified quarterly basis and not semi-annually as seeking approval contains the same through an official Financial Assistance incorrectly stated on 68 FR 64685, active ingredient in the same strength Award (FAA) document. The FAA will 64707 (November 14, 2003). Under 45 and dosage form as the ‘‘listed drug,’’ which is a version of the drug that was state the amount of Federal funds CFR 74.52(a)(1)(iii) and 45 CFR previously approved under a new drug awarded, the purpose of the grant, the 92.41(b)(3), HHS awarding agencies are application (NDA). Sponsors of ANDAs terms and conditions of the grant award, authorized to require grantees to submit do not have to repeat the extensive the effective date of the award, the Form 269s as frequently as quarterly. project period, the budget period, and clinical testing otherwise necessary to the amount of the non-ACF matching Dated: February 12, 2004. gain approval of an NDA. The only share requirement. Unsuccessful Quanah Crossland Stamps, clinical data required in an ANDA are applicants should expect notification Commissioner, Administration for Native data to show that the drug that is the within 90 days after the closing Americans. subject of the ANDA is bioequivalent to deadline date. (Legal authority: Sections [FR Doc. 04–5043 Filed 3–5–04; 8:45 am] the listed drug. The 1984 amendments include what 803(a) and (d) and 803C of the Native BILLING CODE 4184–01–M Americans Programs Act of 1974, as is now section 505(j)(7) of the Federal amended, 42 U.S.C. 2991b and 2991b– Food, Drug, and Cosmetic Act (21 U.S.C. 3) 355(j)(7)), which requires FDA to publish a list of all approved drugs. 20. Web Site Information FDA publishes this list as part of the In FY 2004, ANA may make public on ‘‘Approved Drug Products With its web site information associated with Therapeutic Equivalence Evaluations,’’ successfully funded applications. Such which is generally known as the information will include the name of ‘‘Orange Book.’’ Under FDA regulations, the grant recipient, type of award such drugs are withdrawn from the list if the as SEDS, Language, Environmental agency withdraws or suspends approval

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of the drug’s NDA or ANDA for reasons to LOVENOX (enoxaparin sodium) 90 document for electronic access to the of safety or effectiveness or if FDA mg/0.6 mL may be approved by the searchable database for the current list determines that the listed drug was agency. of ‘‘FDA Recognized Consensus withdrawn from sale for reasons of Dated: February 27, 2004. Standards,’’ including Recognition List safety or effectiveness (21 CFR 314.162). Number: 009 modifications and other Jeffrey Shuren, Under § 314.161(a)(1) (21 CFR standards related information. Assistant Commissioner for Policy. 314.161(a)(1)), the agency must FOR FURTHER INFORMATION CONTACT: determine whether a listed drug was [FR Doc. 04–5106 Filed 3–5–04; 8:45 am] Carol L. Herman, Center for Devices and withdrawn from sale for reasons of BILLING CODE 4160–01–S Radiological Health (CDRH) (HFZ–84), safety or effectiveness before an ANDA Food and Drug Administration, 2094 that refers to that listed drug may be Gaither Rd., Rockville, MD 20850, 301– DEPARTMENT OF HEALTH AND approved. FDA may not approve an 594–4766, ext.156. ANDA that does not refer to a listed HUMAN SERVICES drug. I. Background Food and Drug Administration LOVENOX (enoxaparin sodium) 90 Section 204 of the Food and Drug mg/0.6 mL, is the subject of approved [Docket No. 1997D–0530] Administration Modernization Act of NDA 20–164 held by Aventis 1997 (FDAMA) (Public Law 105–115) Pharmaceuticals, Inc. (Aventis). Food and Drug Adminstration amended section 514 of the Federal LOVENOX (enoxaparin sodium) 90 mg/ Modernization Act of 1997: Food, Drug, and Cosmetic Act (the act) 0.6 mL, approved June 2, 2000, is an Modifications to the List of Recognized (21 U.S.C. 360d). Amended section 514 anticoagulant indicated for the Standards, Recognition List Number: allows FDA to recognize consensus prophylaxis of deep vein thrombosis, 009 standards, developed by international which may lead to pulmonary AGENCY: Food and Drug Administration, and national organizations, for use in embolism. Aventis never marketed the HHS. satisfying portions of device premarket 90mg/0.6 mL presentation of review submissions or other ACTION: Notice. LOVENOX. On June 10, 2003, Olsson, requirements. Frank and Weeda, P.C. submitted a SUMMARY: The Food and Drug In a notice published in the Federal citizen petition (Docket No. 2003P– Administration (FDA) is announcing a Register of February 25, 1998 (63 FR 0266) under § 314.161 and 21 CFR publication containing modifications 9561), FDA announced the availability 10.21(a) and 10.30, requesting that the the agency is making to the list of of guidance entitled ‘‘Recognition and agency determine whether LOVENOX standards FDA recognizes for use in Use of Consensus Standards.’’ This (enoxaparin sodium) 90 mg/0.6 mL was premarket reviews (FDA Recognized notice described how FDA will withdrawn from sale for reasons of Consensus Standards). This publication, implement its standard recognition safety or effectiveness. The agency has entitled ‘‘Modifications of the List of program and provided the initial list of determined that, for purposes of § Recognized Standards, Recognition List recognized standards. 314.161(a) and (c), never marketing an Number: 009’’ (Recognition List In Federal Register notices published on October 16, 1998 (63 FR 55617), July approved drug product is equivalent to Number: 009), will assist manufacturers 12, 1999 (64 FR 37546), November 15, withdrawing the drug from sale. who elect to declare conformity with The agency has determined that 2000 (65 FR 69022), May 7, 2001 (66 FR consensus standards to meet certain Aventis’ LOVENOX (enoxaparin 23032), January 14, 2002 (67 FR 1774), requirements for medical devices. sodium) 90 mg/0.6 mL was not October 2, 2002 (67 FR 61893), and withdrawn from sale for reasons of DATES: Submit written or electronic April 28, 2003 (68 FR 22391), FDA safety or effectiveness. In support of this comments concerning this document at modified its initial list of recognized finding, we note that Aventis continues any time. See section VII of this standards. These notices described the to market other presentations of document for the effective date of the addition, withdrawal, and revision of LOVENOX that are the same recognition of standards announced in certain standards recognized by FDA. concentration as LOVENOX 90 mg/0.6 this document. The agency maintains ‘‘hypertext mL. FDA has independently evaluated ADDRESSES: Submit written requests for markup language (HTML)’’ and relevant literature and data for adverse single copies on a 3.5’’ diskette of ‘‘portable document format (PDF)’’ event reports and has found no ‘‘Modification to the List of Recognized versions of the list of ‘‘FDA Recognized information that would indicate this Standards, Recognition List Number: Consensus Standards.’’ Both versions product was withdrawn for reasons of 009’’ to the Division of Small are publicly accessible at the agency’s safety or effectiveness. Manufacturers Assistance, Center for Internet site. See section VI of this After considering the citizen petition Devices and Radiological Health (HFZ– document for electronic access and reviewing its records, FDA 220), Food and Drug Administration, information. Interested persons should determines that, for the reasons outlined 1350 Piccard Dr., Rockville, MD 20850. review the supplementary information previously, Aventis’ LOVENOX Send two self-addressed adhesive labels sheet for the standard to understand (enoxaparin sodium) 90 mg/0.6 mL was to assist that office in processing your fully the extent to which FDA not withdrawn from sale for reasons of requests, or fax your request to 301– recognizes the standard. safety or effectiveness. Accordingly, the 443–8818. Submit written comments agency will continue to list LOVENOX concerning this document or to II. Modifications to the List of (enoxaparin sodium) 90 mg/0.6 mL in recommend additional standards for Recognized Standards, Recognition List the ‘‘Discontinued Drug Product List’’ recognition to the contact person (see Number: 009 section of the Orange Book. The FOR FURTHER INFORMATION CONTACT). FDA is announcing the addition, ‘‘Discontinued Drug Product List’’ Submit electronic comments by e-mail: withdrawal, correction, and revision of delineates, among other items, drug [email protected]. This document certain consensus standards the agency products that have been discontinued may also be accessed on FDA’s Internet will recognize for use in satisfying from marketing for reasons other than site at http://www.fda.gov/cdrh/ premarket reviews and other safety or effectiveness. ANDAs that refer fedregin.html. See section VI of this requirements for devices. FDA will

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incorporate these modifications in the withdrawal of standards and their In section III of this document, FDA list of ‘‘FDA Recognized Consensus replacement by others, (2) the correction lists modifications the agency is making Standards’’ in the agency’s searchable of errors made by FDA in listing that involve the initial addition of database. FDA will use the term previously recognized standards, and (3) standards not previously recognized by ‘‘Recognition List Number: 009’’ to the changes to the supplementary FDA. identify these current modifications. information sheets of recognized In the following table, FDA describes standards that describe revisions to the A. Biocompatibility modifications that involve: (1) The applicability of the standards.

Replacement Item Old Item No. Standard Change No.

36 ASTM F1408–02e1, Standard Practice for Subcutaneous Withdrawn and replaced with newer 71 Screening Test for Implant Materials version.

16 ASTM F1439–02, Standard Guide for Performance of Withdrawn and replaced with newer 72 Lifetime Bioassay for the Tumorigenic Potential of Im- version. plant Materials

65 ASTM F2065–00e1, Standard Practice for Testing for Al- Withdrawn and replaced with newer 73 ternative Pathway Complement Activation in Serum by version. Solid Materials

58 USP 26–NF 21 <87≤, Biological Reactivity Test, In Withdrawn and replaced with newer 74 Vitro—Direct Contact Test version.

59 USP 26–NF 21 <87≤, Biological Reactivity Test, In Withdrawn and replaced with newer 75 Vitro—Elution Test version.

60 USP 26–NF 21<88≤, Biological Reactivity Tests, In Withdrawn and replaced with newer 76 Vivo—Procedure—Preparation of Sample version.

61 USP 26–NF 21<88≤, Biological Reactivity Test, In Vivo— Withdrawn and replaced with newer 77 Intracutaneous Test version.

62 USP 26–NF 21<88≤, Biological Reactivity Tests, In Withdrawn and replaced with newer 78 Vivo—Systemic Injection Test version

B. Dental/ENT

Replacement Item Old Item No. Standard Change No.

46 ANSI/ADA Specification No. 14:1998, Dental Base Metal Withdrawn and replaced with newer 94 Casting Alloys version; Contact person

49 ANSI/ADA Specification No. 17:1999, Denture Base Withdrawn and replaced with newer 95 Temporary Relining Resin version.

53 ANSI/ADA Specification No. 30:2002, Dental Zinc Oxide- Withdrawn and replaced with newer 96 Eugenol and Zinc Oxide Non-Eugenol Cements version.

56 ANSI/ADA Specification No. 57:2000, Endodontic Seal- Withdrawn and replaced with newer 97 ing Materials version.

60 ANSI/ADA Specification No. 96:2000, Dental Water- Withdrawn and replaced with newer 98 Based Cements version.

66 ISO 4049:2000, Dentistry—Polymer-Based Filling, Re- Withdrawn and replaced with newer 99 storative and Luting Materials version.

71 ISO 6876:2001, Dental Root Canal Sealing Materials Withdrawn and replaced with newer 100 version.

77 ISO 8891:1998, Dental Casting Alloys with Noble Metal Withdrawn and replaced with newer 101 Content of At Least 25% but less than 75% version; Contact person

79 ISO 9693, Metal-Ceramic Dental Restorative Systems Withdrawn and replaced with newer 102 version; Contact person

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C. General Hospital/General Plastic Surgery

Replacement Item Old Item No. Standard Change No.

82 USP 26, Nonabsorbable Surgical Sutures Withdrawn and replaced with newer 97 version

88 USP 26 <11≤, Sterile Sodium Chloride for Irrigation Withdrawn and replaced with newer 98 version

89 USP 26, Absorbable Surgical Sutures Withdrawn and replaced with newer 99 version

90 USP 26 <881≤, Tensile Strength Withdrawn and replaced with newer 100 version

91 USP 26 <861≤, Sutures—Diameter Withdrawn and replaced with newer 101 version

92 USP 26<871≤, Sutures Needle Attachment Withdrawn and replaced with newer 102 version

93 USP 26, Sterile Water for Irrigation Withdrawn and replaced with newer 103 version

94 USP 26, Heparin Lock Flush Solution Withdrawn and replaced with newer 104 version

95 USP 26, Sodium Chloride Injection Withdrawn and replaced with newer 105 version

33 ASTM D3772–01, Standard Specification for Rubber Fin- Withdrawn and replaced with newer 106 ger Cots version

5 ASTM F882–84 (2002), Standard Performance and Safe- Withdrawn and replaced with newer 107 ty Specification for Cryosurgical Medical Instrumenta- version tion

D. In Vitro Diagnostic

Replacement Item Old Item No. Standard Change No.

14 NCCLS C24–A2 Statistical Quality Control for Quan- Withdrawn and replaced with newer 85 titative Measurements: Principles and Definitions: Ap- version proved Guideline—Second Edition

17 NCCLS C29–A2 Standardization of Sodium and Potas- Withdrawn and replaced with newer 86 sium Ion Selective Electrode Systems to the Flame version Photometric Reference Method; Approved Standard— Second Edition

19 NCCLS C31–A2 Ionized Calcium Determinations: Withdrawn and replaced with newer 87 Precollection Variables, Specimen Choice, Collection version and Handling: Approved Guideline—Second Edition

2 NCCLS EP09–A2 Method Comparison and Bias Esti- Withdrawn and replaced with newer 92 mation Using Patient Samples; Approved Guideline— version Second Edition

66 NCCLS EP10–A2 Preliminary Evaluation of Quantitative Withdrawn and replaced with newer 93 Clinical Laboratory Methods; Approved Guideline— version Second Edition

E. Materials

Replacement Item Old Item No. Standard Change No.

1 ASTM F67–00, Standard Specification for Unalloyed Ti- Update ‘‘Process(es) Impacted’’ to in- 1 tanium for Surgical Implant Applications (UNS R50250, clude Design Controls. UNS R50550, UNS R50700)

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Replacement Item Old Item No. Standard Change No.

2 ASTM F75–01, Standard Specification for Cobalt–28 Update ‘‘Process(es) Impacted’’ to in- 2 Chromium–6 Molybdenum Alloy Castings and Casting clude Design Controls. Alloy for Surgical Implants (UNS R30075)

3 ASTM F90–01, Standard Specification for Wrought Co- Update ‘‘Process(es) Impacted’’ to in- 3 balt–20 Chromium–15 Tungsten–10 Nickel Alloy for clude Design Controls. Surgical Implant Applications (UNS R30605)

5 ASTM F138–00, Standard Specification for Wrought 18 Update ‘‘Process(es) Impacted’’ to in- 5 Chromium–14 Nickel–2.5 Molybdenum Stainless Steel clude Design Controls. Bar and Wire for Surgical Implants (UNS S31673)

6 ASTM F139–00, Standard Specification for Wrought 18 Update ‘‘Process(es) Impacted’’ to in- 6 Chromium–14 Nickel–2.5 Molybdenum Stainless Steel clude Design Controls. Sheet and Strip for Surgical Implants (UNS S31673)

7 ASTM F560–98, Standard Specification for Unalloyed Update ‘‘Process(es) Impacted’’ to in- 7 Tantalum for Surgical Implant Applications (UNS clude Design Controls. R05200, UNS R05400)

9 ASTM F563–00, Standard Specification for Wrought Co- Update ‘‘Process(es) Impacted’’ to in- 9 balt–20 Nickel–20 Chromium–3.5 Molybdenum–3.5 clude Design Controls. Tungsten–5 Iron Alloy for Surgical Implant Applications (UNS R30563)

10 ASTM 603–00, Standard Specification for High-Purity Update ‘‘Process(es) Impacted’’ to in- 10 Dense Aluminum Oxide for Surgical Implant Applica- clude Design Controls. tion

11 ASTM 620–00, Standard Specification for Titanium–6 Update ‘‘Process(es ) Impacted’’ to in- 11 Aluminum–4 Vanadium ELI Alloy Forgings for Surgical clude Design Controls. Implants (UNS R56401)

13 ASTM F648–00, Standard Specification for Ultra-High- Update ‘‘Process(es) Impacted’’ to in- 13 Molecular-Weight Polyethylene Powder and Fabricated clude Design Controls. Form for Surgical Implants

14 ASTM 688–00, Standard Specification for Wrought Co- Update ‘‘Process(es) Impacted’’ to in- 14 balt–35 Nickel–20 Chromium–10 Molybdenum Alloy clude Design Controls. Plate, Sheet, and Foil for Surgical Implants

15 ASTM F745–00, Standard Specification for 18 Chro- Update ‘‘Process(es) Impacted’’ to in- 15 mium–12.5 Molybdenum Stainless Steel for Cast and clude Design Controls. Solution-Annealed Surgical Implant Applications

16 ASTM F746–87 (1999), Standard Test Method for Pitting Update ‘‘Process(es) Impacted’’ to in- 16 or Crevice Corrosion of Metallic Surgical Implant Mate- clude Design Controls. rials

19 ASTM F961–96, Standard Specification for Cobalt–35 Update ‘‘Process(es) Impacted’’ to in- 19 Nickel–20 Chromium–10 Molybdenum Alloy Forgings clude Design Controls. for Surgical Implants (UNS R30035)

21 ASTM F1088–87(1992)e1, Standard Specification for Update ‘‘Process(es) Impacted’’ to in- 21 Beta-Tricalcium Phosphate for Surgical Implantation clude Design Controls.

25 ASTM F1295–01, Standard Specification for Wrought Ti- Update ‘‘Process(es) Impacted’’ to in- 25 tanium–6 Aluminum–7 Niobium Alloy for Surgical Im- clude Design Controls. plant Applications

26 ASTM F1314–01, Standard Specification for Wrought Ni- Update ‘‘Process(es) Impacted’’ to in- 26 trogen Strengthened–22 Chromium–12.5 Nickel–5 clude Design Controls. Manganese–2.5 Molybdenum Stainless Steel Bar and Wire for Surgical Implants

27 ASTM F1341–99, Standard Specification for Unalloyed Update ‘‘Process(es) Impacted’’ to in- 27 Titanium Wire for Surgical Implant Applications clude Design Controls.

30 ASTM F1537–00, Standard Specification for Wrought Update ‘‘Process(es) Impacted’’ to in- 30 Cobalt–28–Chromium–6–Molybdenum Alloy for Sur- clude Design Controls. gical Implants

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Replacement Item Old Item No. Standard Change No.

32 ASTM F1586–02, Standard Specification for Wrought Ni- Update ‘‘Process(es) Impacted’’ to in- 32 trogen Strengthened–21 Chromium–10 Nickel–3 Man- clude Design Controls. ganese–2.5 Molybdenum Stainless Steel Bar for Sur- gical Implants

33 ASTM F1609–95, Standard Specification for Calcium Update ‘‘Process(es) Impacted’’ to in- 33 Phosphate Coatings for Implantable Materials clude Design Controls.

34 ASTM F1659–95, Standard Test Method for Bending and Update ‘‘Process(es) Impacted’’ to in- 34 Shear Testing of Calcium Phosphate Coatings on clude Design Controls. Solid Metallic Substrates

35 ASTM F1713–96, Standard Specification for Wrought Ti- Clarification of Extent of Recognition; 35 tanium–13 Niobium–13 Zirconium Alloy for Surgical Update ‘‘Process(es) Impacted’’ to in- Implant Applications clude Design Controls.

36 ASTM F1801–97, Standard Practice for Corrosion Fa- Update ‘‘Process(es) Impacted’’ to in- 36 tigue Testing of Metallic Implant Materials clude Design Controls.

37 ASTM F1813–01, Standard Specification for Wrought Ti- Clarification of Extent of Recognition; 37 tanium—12 Molybdenum–6 Zirconium–2 Iron Alloy for Update ‘‘Process(es) Impacted’’ to in- Surgical Implant (UNS R58120) clude Design Controls.

38 ASTM F2005–00, Standard Terminology for Nickel-Tita- Update ‘‘Process(es) Impacted’’ to in- 38 nium Shape Memory Alloys clude Design Controls.

39 ASTM F2052–00, Standard Test Method for Measure- Update ‘‘Process(es) Impacted’’ to in- 39 ment of Magnetically Induced Displacement Force on clude Design Controls. Passive Implants in the Magnetic Resonance Environ- ment

40 ASTM F2063–00, Standard Specification for Wrought Cardiovascular contact person. Clari- 40 Nickel-Titanium Shape Memory Alloys for Medical De- fication to Extent of Recognition with vices and Surgical Implants regard to biocompatibility require- ments.

41 ASTM F2066–01, Standard Specification for Wrought Ti- Cardiovascular contact person; Clari- 41 tanium–15 Molybdenum Alloy for Surgical Implant Ap- fication to Extent of Recognition plications (UNS R58150)

43 ASTM F2146–01, Standard Specification for Wrought Ti- Cardiovascular contact person; Clari- 43 tanium–3Aluminum–2.5Vanadium Alloy Seamless Tub- fication to Extent of Recognition ing for Surgical Implant Applications (UNS R56320)

44 ASTM F136–02, Standard Specification for Wrought Tita- Update ‘‘Process(es) Impacted’’ to in- 44 nium–6 Aluminum–4 Vanadium ELI (Extra Low Intersti- clude Design Controls. tial) Alloy for Surgical Implant Applications (UNS R56401)

45 ASTM F562–02, Standard Specification for Wrought Update ‘‘Process(es) Impacted’’ to in- 45 35Cobalt–35Nickel–20Chromium–10Molybdenum Alloy clude Design Controls. for Surgical Implant Applications (UNS R30035)

46 ASTM F621–02, Standard Specification for Stainless Update ‘‘Process(es) Impacted’’ to in- 46 Steel Forgings for Surgical Implants clude Design Controls

47 ASTM F799–02, Standard Specification for Cobalt–28 Update ‘‘Process(es) Impacted’’ to in- 47 Chromium–6 Molybdenum Alloy Forgings for Surgical clude Design Controls. Implants (UNS R31537, R31538, R31539)

48 ASTM F899–02, Standard Specification for Stainless Update ‘‘Process(es) Impacted’’ to in- 48 Steel for Surgical Instruments clude Design Controls.

49 ASTM F1058–02, Standard Specification for Wrought Update ‘‘Process(es) Impacted’’ to in- 49 40Cobalt–20Chromium–16Iron–15Nickel– clude Design Controls. 7Molybdenum Alloy Wire and Strip for Surgical Implant Applications (UNS R30003 and UNS R30008)

50 ASTM F1091–02, Standard Specification for Wrought Update ‘‘Process(es) Impacted’’ to in- 50 Cobalt–20 Chromium–15 Tungsten–10 Nickel Alloy clude Design Controls. Surgical Fixation Wire (UNS R30605)

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Replacement Item Old Item No. Standard Change No.

51 ASTM 1108–02, Standard Specification for Titanium Update ‘‘Process(es) Impacted’’ to in- 51 -6Aluminum -4Vanadium Alloy Castings for Surgical clude Design Controls. Implants (UNS R56406)

52 ASTM F1350–02, Standard Specification for Wrought 18 Update ‘‘Process(es) Impacted’’ to in- 52 Chromium–14 Nickel–2.5 Molybdenum Stainless Steel clude Design Controls. Surgical Fixation Wire (UNS S31673)

53 ASTM F1472–02, Standard Specification for Wrought Ti- Update ‘‘Process(es) Impacted’’ to in- 53 tanium -6Aluminum -4Vanadium Alloy for Surgical Im- clude Design Controls. plant Applications (UNS R56400)

54 ASTM F1580–01, Standard Specification for Titanium Update ‘‘Process(es) Impacted’’ to in- 54 and Titanium–6 Aluminum–4 Vanadium Alloy Powders clude Design Controls. for Coatings of Surgical Implants

55 ASTM F2182–02, Standard Test Method for Measure- Update ‘‘Process(es) Impacted’’ to in- 55 ment of Radio Frequency Induced Heating Near Pas- clude Design Controls. sive Implants During Magnetic Resonance Imaging

Dental 30 Ortho 62 ISO 5832–1:1997, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 56 rials—Part 1: Wrought stainless steel orthopaedics.

Dental 31 Ortho 117 ISO 5832–2:1999, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 57 rials—Part 2: Unalloyed Titanium orthopaedics.

Dental 32 Ortho 64 ISO 5832–3:1996, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 58 rials—Part 3: Wrought titanium 6–aluminium 4–vana- orthopaedics. dium alloy

Dental 33 Ortho 65 ISO 5382–4:1996, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 59 rials—Part 4: Cobalt-chromium-molybdenum casting orthopaedics. alloy

Dental 34 Ortho 66 ISO 5832–5:1993, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 60 rials—Part 5: Wrought cobalt-chromium-tungsten-nickel orthopaedics. alloy

Dental 35 Ortho 67 ISO 5832–6:1997, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 61 rials—Part 6: Wrought cobalt-nickel-chromium-molyb- orthopaedics. denum alloy

Dental 36 Ortho 118 ISO 5832–9: 1992, Implants for Surgery—Metallic Mate- Transferred from dental/ENT and 62 rials—Part 9: Wrought high nitrogen stainless steel orthopaedics.

Dental 38 Ortho 70 ISO 5832–11: 1994, Implants for Surgery—Metallic Ma- Transferred from dental/ENT and 63 terials—Part 11: Wrought titanium 6–aluminium 7–nio- orthopaedics. bium alloy

Dental 39 Ortho 71 ISO 5832–12: 1996, Implants for Surgery—Metallic Ma- Transferred from dental/ENT and 64 terials—Part 12: Wrought cobalt-chromium-molyb- orthopaedics. denum alloy

Ortho 119 ISO 5834–2: 1998, Implants for Surgery—Ultra-High-Mo- Transferred from orthopaedics. 65 lecular-Weight Polyethylene—Part 2: Moulded Forms

Ortho 76 ISO 6474:1994, Implants for Surgery—Ceramic materials Transferred from orthopaedics. 66 based on high purity alumina

Ortho 143 ISO 7153–1:1991/Amd 1:1999, Surgical Instruments— Transferred from orthopaedics. 67 Metallic Materials—Part 1: Stainless steel

Ortho 84 ISO 13782: 1996, Implants for Surgery—Metallic Mate- Transferred from orthopaedics. 68 rials—Unalloyed tantalum for surgical implant applica- tions

Dental 37 ISO 5832–10:1996, Implants for Surgery—Metallic Mate- Transferred from dental/ENT. 69 rials—Part 10: Wrought titanium 5–aluminium 2,5–iron

F. Ophthalmic

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Replacement Item Old Item No. Standard Change No.

30 ANSI Z80.7–2002: Ophthalmics—Intraocular Lenses Correction in publication date 30

G. Orthopaedics

Replacement Item Old Item No. Standard Change No.

58 ASTM F1781–97, Standard Specification for Elastomeric Added ‘‘Design Controls’’ to Proc- 58 Flexible Hinge Finger Total Joint Implants ess(es) Impacted

62 ISO 5832–1:1997, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 62 rials—Part 1: Wrought stainless steel

64 ISO 5832–3:1996, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 64 rials—Part 3: Wrought titanium 6–aluminum 4–vana- dium alloy

65 ISO 5832–4:1996, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 65 rials—Part 4: Cobalt-chromium-molybdenum casting alloy

66 ISO 5832–5:1993, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 66 rials—Part 5: Wrought cobalt-chromium-tungsten-nickel alloy

67 ISO 5832–6:1997, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 67 rials—Part 6: Wrought cobalt-nickel-chromium-molyb- denum alloy

70 ISO 5832–11:1994, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 70 rials—Part 11: Wrought titanium 6–aluminum 7–nio- bium alloy

71 ISO 5832–12:1996, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials 71 rials—Part 12: Wrought cobalt-chromium-molybdenum alloy

73 ISO 5838–1:1995, Implants for Surgery—Skeletal Pins Added ‘‘Design Controls’’ to Proc- 73 and Wires—Part 1: Material and Mechanical Require- ess(es) Impacted ments

74 ISO 5838–2:1991, Implants for Surgery—Skeletal Pins Added ‘‘Design Controls’’ to Proc- 74 and Wires—Part 2: Steinmann Skeletal Pins—Dimen- ess(es) Impacted sions

75 ISO 5838–3:1993, Implants for Surgery—Skeletal Pins Added ‘‘Design Controls’’ to Proc- 75 and Wires—Part 3: Kirschner Skeletal Wires ess(es) Impacted

76 ISO 6474–94, Implants for surgery—Ceramic materials Withdrawn and transferred to Materials based on high purity alumina

78 ISO 7206–4:2002, Implants for Surgery—Partial and Withdrawn and replaced with newer 165 Total Hip Joint Prostheses—Part 4: Determination of version; Title change; Added ‘‘Design Endurance Properties of Stemmed Femoral Compo- Controls’’ to Process(es) Impacted nents

79 ISO 7206–8:1995, Implants for Surgery—Partial and Added ‘‘Design Controls’’ to Proc- 79 Total Hip Joint Prostheses—Part 8: Endurance Per- ess(es) Impacted formance of Stemmed Femoral Components with Ap- plication of Torsion

83 ISO 13402–95, Surgical and Dental Hand Instruments— Added ‘‘Design Controls’’ to Proc- 83 Determination of Resistance Against Autoclaving, Cor- ess(es) Impacted rosion and Thermal Exposure

84 ISO 13782:1996, Implants for Surgery—Metallic mate- Withdrawn and transferred to Materials rials—Unalloyed tantalum for surgical implant applica- tions

85 ISO 14630:1997, Non-Active Surgical Implants—General Added ‘‘Design Controls’’ to Proc- 85 Requirements ess(es) Impacted

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Replacement Item Old Item No. Standard Change No.

101 ASTM F897–02, Standard Test Method for Measuring Withdrawn and replaced with newer 166 Fretting Corrosion of Osteosynthesis Plates and version; Added ‘‘Design Controls’’ to Screws Process(es) Impacted

104 ASTM F1089–02, Standard Test Method for Corrosion of Withdrawn and replaced with newer 167 Surgical Instruments version; Added ‘‘Design Controls’’ to Process(es) Impacted

107 ASTM F1147–99, Standard Test Method for Tension Added ‘‘Design Controls’’ to Proc- 107 Testing of Calcium Phosphate and Metallic Coatings ess(es) Impacted

111 ASTM F1814–97a, Standard Guide for Evaluating Mod- Added ‘‘Design Controls’’ to Proc- 111 ular Hip and Knee Joint Components ess(es) Impacted

113 ASTM F1377–98a, Standard Specification for Cobalt–28 Added ‘‘Design Controls’’ to Proc- 113 Chromium–6 Molybdenum Powder for Coating of Or- ess(es) Impacted thopedic Implants (UNS R30075)

114 ASTM F1798–97, Standard Guide for Evaluating the Added ‘‘Design Controls’’ to Proc- 114 Static and Fatigue Properties of Interconnection Mech- ess(es) Impacted anisms and Subassemblies Used in Spinal Arthrodesis Implants

115 ASTM F1800–97, Standard Test Method for Cyclic Fa- Added ‘‘Design Controls’’ to Proc- 115 tigue Testing of Metal Tibial Tray Components of Total ess(es) Impacted Knee Joint Replacements

117 ISO 5832–2:1999, Implants for Surgery—Metallic Mate- Withdrawn and transferred to Materials rials—Part 2: Unalloyed Titanium

118 ISO 5832–9:1992, Implants for Surgery—Metallic Mate- Withdrawn and transferred to Materials rials—Part 9: Wrought High Nitrogen Stainless Steel

119 ISO 5834–2:1998, Implants for Surgery—Ultra-High-Mo- Withdrawn and transferred to Materials lecular Weight Polyethylene—Part 2: Moulded Forms

120 ASTM F382–99, Standard Specification and Test Method Added ‘‘Design Controls’’ to Proc- 120 for Metallic Bone Plates ess(es) Impacted

121 ISO 7207–1:1994, Implants for Surgery—Components Added ‘‘Design Controls’’ to Proc- 121 for partial and total knee joint prostheses—Part 1: ess(es) Impacted Classification, definitions and designation of dimen- sions

126 ASTM F366–82(2000), Standard Specification for Fixa- Added ‘‘Design Controls’’ to Proc- 126 tion Pins and Wires ess(es) Impacted

131 ASTM F1044–99, Standard Test Method for Shear Test- Added ‘‘Design Controls’’ to Proc- 131 ing of Calcium Phosphate Coatings and Metallic Coat- ess(es) Impacted ings

140 ASTM F1582–98, Standard Terminology Relating to Spi- Added ‘‘Design Controls’’ to Proc- 140 nal Implants ess(es) Impacted

141 ASTM F1612–95(2000), Standard Practice for Cyclic Fa- Added ‘‘Design Controls’’ to Proc- 141 tigue Testing of Metallic Stemmed Hip Arthroplasty ess(es) Impacted Femoral Components With Torsion

142 ASTM F1672–95(2000), Standard Specification for Re- Added ‘‘Design Controls’’ to Proc- 142 surfacing Patellar Prosthesis ess(es) Impacted

143 ISO 7153–1:1991/Amd. 1:1999, Surgical Instruments— Withdrawn and transferred to Materials 143 Metallic Materials—Part 1: Stainless steel

152 ASTM F1160–00e1, Standard Test Method for Shear Added ‘‘Design Controls’’ to Proc- 152 and Bending Fatigue Testing of Calcium Phosphate ess(es) Impacted and Metallic Medical and Composite Calcium Phos- phate/Metallic Coatings

155 ISO 7207–2:1998, Implants for Surgery—Components Added ‘‘Design Controls’’ to Proc- 155 for partial and total knee joint prostheses—Part 2: Ar- ess(es) Impacted ticulating surfaces made of metal, ceramic and plastics materials

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Replacement Item Old Item No. Standard Change No.

159 ASTM F1717–01, Standard Test Methods for Spinal Im- Added ‘‘Design Controls’’ to Proc- 159 plant Constructs in a Vertebrectomy Model ess(es) Impacted

161 ASTM F1264–01, Standard Specification and Test Meth- Added ‘‘Design Controls’’ to Proc- 161 ods for Intramedullary Fixation Devices ess(es) Impacted

162 ASTM F564–02, Standard Specification and Test Meth- Added ‘‘Design Controls’’ to Proc- 162 ods for Metallic Bone Staples ess(es) Impacted

163 ASTM F543–02 Standard Specification and Test Meth- Added ‘‘Design Controls’’ to Proc- 163 ods for Metallic Medical Bone Screws ess(es) Impacted

164 ASTM F1541–02, Standard Specification and Test Meth- Added ‘‘Design Controls’’ to Proc- 164 ods for External Skeletal Fixation Devices ess(es) Impacted

H. Radiology

Replacement Item Old Item No. Standard Change No.

38 IEC 60601–2–15, Medical Electrical Equipment—Part 2: Withdrawn Particular Requirements for the Safety of Capacitor Discharge X-ray Generators (1988)

43 IEC 60601–2–33: Medical Electrical Equipment—Part 2, Withdrawn and replaced with newer 86 Particular Requirements for the Safety of Magnetic version Resonance Equipment for Medical Diagnosis (2002– 2005)

60 IEC 61217 (2002–03), Radiotherapy Equipment—Coordi- Withdrawn and replaced with newer 87 nates, movements, and scales version

64 IEC 60601–2–45, Ed. 2.0, (2001–05): Medical Electrical Correction date inserted 64 Equipment—Part 2–45: Particular Requirements for the Safety of Mammographic X-ray Equipment and Mammographic Stereotactic Devices

78 NEMA PS 3.1 through PS 3.16 2000, Digital Imaging Correction Parts inserted in title 78 and Communications in Medicine (DICOM)

I. Sterility

Replacement Item Old Item No. Standard Change No.

1 AOAC 6.2.01:2000, Official Method 955.14, Testing Dis- Withdrawn and replaced with newer 94 infectants Against Salmonella choleraesuis, Use-Dilu- version tion Method

2 AOAC 6.2.02:2000, Official Method 991.47, Testing Dis- Withdrawn and replaced with newer 95 infectants Against Salmonella choleraesuis, Hard Sur- version face Carrier Test Method

3 AOAC 6.2.03:2000, Official Method 99l.48, Testing Dis- Withdrawn and replaced with newer 96 infectants Against Staphylococcus aureus, Hard Sur- version. face Carrier Test Method

4 AOAC 6.2.04:2000, Official Method 955.15, Testing Dis- Withdrawn and replaced with newer 97 infectants Against Staphylococcus aureus, Use-Dilution version Method

5 AOAC 6.2.05:2000, Official Method 99l.49, Testing Dis- Withdrawn and replaced with newer 98 infectants Against Pseudomonas aeruginosa, Hard version Surface Carrier Test Method

6 AOAC 6.2.06:2000, Official Method 964.02, Testing Dis- Withdrawn and replaced with newer 99 infectants Against Pseudomonas aeruginosa, Use-Dilu- version tion Method

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Replacement Item Old Item No. Standard Change No.

7 AOAC 6.3.02, Official Method 955.17, Fungicidal Activity Withdrawn and replaced with newer 100 of Disinfectants Using Trichophyton mentagrophytes version

8 AOAC 6.3.05:2000, Official Method 966.04, Sporicidal Withdrawn and replaced with newer 101 Activity of Disinfectants version

9 AOAC 6.3.06:2000, Official Method 965.12, Withdrawn and replaced with newer 102 Tuberculocidal Activity of Disinfectants version

24 ANSI/AAMI/ISO 11134:1993, Sterilization of Health Care Contact person 24 Products—Requirements for Validation and Routine Control-Industrial Moist Heat Sterilization

25 ANSI/AAMI/ISO 11135–1994, Medical Devices—Valida- Contact person 25 tion and Routine Control of Ethylene Oxide Steriliza- tion

27 AAMI/ANSI/ISO 11607:2000, Packaging for Terminally Withdrawn and replaced with newer 103 Sterilized Medical Devices version; Add to Extent of Recognition

51 ANSI/AAMI ST58:1996, Safe Use and Handling of Withdrawn and replaced with newer 104 Glutaraldehyde-Based Products in Health Care Facili- version ties and ANSI/AAMI ST58:1996/Amendment 1 2002

52 ANSI/AAMI ST59:1999, Sterilization of Health Care Prod- Updated Relevant Guidance 52 ucts—Biological Indicators Part 1: General Require- ments

73 ANSI/AAMI ST46:2002, Steam Sterilization and Sterility Withdrawn and replaced with newer 105 Assurance in Health Care Facilities version

75 ANSI/AAMI/ISO 11137:1994, Sterilization of Health Care Title Correction; Additional Relevant 75 Products-Requirements for Validation and Routine Guidance; Contact person Control-Radiation Sterilization and ISO11137:1995 (Amendment 1:2002)

76 AAMI/ANSI/ISO 10993–7:1995 (R) 2001, Biological Eval- Delete (e.g. hemodialyzers) from the 76 uation of Medical Devices—Part 7: Ethylene Oxide Extent of Recognition Sterilization Residuals

78 USP 26:2003, Biological Indicator for Dry Heat Steriliza- Withdrawn and replaced with newer 106 tion, Paper Carrier version

79 USP 26:2003, Biological Indicator for Ethylene Oxide Withdrawn and replaced with newer 107 Sterilization, Paper Carrier version

80 USP 26:2003, Biological Indicator for Steam Sterilization, Withdrawn and replaced with newer 108 Paper Carrier version

81 USP 26:2003, <61≤ Microbial Limits Test Withdrawn and replaced with newer 109 version

82 USP 26:2003, <71≤, Microbiological Tests, Sterility Tests Withdrawn and replaced with newer 110 version

83 USP 26:2003, <85≤ Biological Tests and Assays, Bac- Withdrawn and replaced with newer 111 terial Endotoxin Test (LA) version

84 USP 26:2003, <151≤ Pyrogen Test (USP Rabbit Test) Withdrawn and replaced with newer 112 version

85 USP 26:2003 <1211≤ Sterilization and Sterility Assur- Withdrawn and replaced with newer 113 ance of Compendial Articles version

87 USP 26:2003, Transfusion and Infusion Assemblies and Withdrawn and replaced with newer 114 Similar Medical Devices <161≤ version

93 USP 26:2003, Biological Indicator for Steam Sterilization Withdrawn and replaced with newer 115 version

III. Listing of New Entries

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The listing of new entries and consensus standards added as ‘‘Modifications to the List of Recognized Standards’’, under Recognition List Number: 009,’’ is as follows:

A. Anesthesia

Item No. Title of Standard Reference No. and Date

45 Standard Specification for Ventilators Intended for use F1101–90 (1996) During Anesthesia

46 Breathing Tubes Intended for use with Anesthetic Ap- ISO 5367:2000 paratus and Ventilators

B. Biocompatibility

Item No. Title of Standard Reference No. and Date

79 Standard Practice for Extraction of Medical Plastics ASTM F619–02

80 Standard Practice for Characterization of Particles ASTM F1877–98

81 Standard Practice for Selecting Tests for Determining the ASTM F1905–98 Propensity of Materials to Cause Immunotoxicity

82 Standard Practice for Evaluation of Immune Responses In ASTM F2147–01 Biocompatibility Testing Using ELISA Tests, Lym- phocyte, Proliferation, and Cell Migration

C. Cardiovascular/Neurology

Item No. Title of Standard Reference No. and Date

50 Cardiac Defibrillator Devices ANSI/AAMI DF2–1996 (Revision of ANSI/AAMI DF2–1989)

51 Automatic External Defibrillators and Remote-Control ANSI/AAMI DF39–1993 Defibrillators

D. Dental/ENT

Item No. Title of Standard Reference No. and Date

103 Denture Base Polymers ANSI/ADA Specification No. 12:1999

104 Pit and Fissure Sealants ANSI/ADA Specification No. 39: 1999

105 Resilient Lining Materials for Removable Dentures, Part 2: ANSI/ADA Specification No. 75: 1997 Short-Term Materials

106 Dental Reversible/Irreversible Hydrocolloid Impression Ma- ANSI/ADA Specification No. 82: 1998 terial System

107 Dental, Water-Based Cements ISO 9917–2:1998

108 Dentistry, Resilient Lining Materials for Removable Den- ISO 10139–1:1991 tures—Part 1: Short-Term Materials

109 Dentistry, Reversible-Irreversible Hydrocolloid Impression ISO 13716: 1999 Material Systems

E. In Vitro Diagnostic

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Item No. Title of Standard Reference No. and Date

88 Preparation and Validation of Commutable Frozen Human NCCLS C37–A:1999 Serum Pools as Secondary Reference Materials for Cholesterol Measurement Procedures: Approved Guide- line

89 A Designated Comparison Method for the Measurement of NCCLS C39–A:2000 Ionized Calcium in Serum; Approved Standard

90 Clinical Application of Flow Cytometry: NCCLS H43–A:1998 Immunophenotyping of Leukemic Cells; Approved Guideline

91 Interference Testing in Clinical Chemistry; Approved NCCLS EP7–A:2002 Guideline

94 User Protocol for Evaluation of Qualitative Test Perform- NCCLS EP12–A:2002 ance; Approved Guideline

95 User Demonstration of Performance for Precision and Ac- NCCLS EP15–A:2001 curacy; Approved Guideline

96 Quality Management for Unit-Use Testing; Approved NCCLS EP18–A:2002 Guideline

97 Urinalysis and Collection, Transportation, and Preservation NCCLS GP16–A2:2001 of Urine Specimens—Second Edition; Approved Guide- line

F. OB–GYN/Gastroenterology

Item No. Title of Standard Reference No. and Date

28 Hemodialyzers ANSI/AAMI RD 16:1996/A1:2002 Amendment 1 to ANSI/AAMI RD 16:1996

29 Hemodialyzer Blood Tubing ANSI/AAMI RD 17:1994/A1:2002 Amendment 1 to ANSI/AAMI RD 17:1994

G. Ophthalmic

Item No. Title of Standard Reference No. and Date

31 Optics and Optical Instruments—Lasers and Laser-related ISO 11810:2002 Equipment—Test Method for the Laser-resistance of Surgical Drapes and/or Patient-protective Covers

32 Optics and Optical Instruments—Lasers and Laser-related ISO 11990:2003 Equipment—Determination of Laser Resistance of Tra- cheal Tube Shafts

H. Radiology

Item No. Title of Standard Reference No. and Date

88 Medical Electrical Equipment—Part 2: Particular Require- IEC 60601–2–17 (1989) ments for the Safety of Remote-Controlled Automati- cally-Driven Gamma-Ray Afterloading Equipment (1989)

89 Optics and optical instruments—Lasers and Laser-Related ISO 11810:2002 Equipment—Test Method for the Laser-Resistance of Surgical Drapes and/or Patient-Protective Covers

90 Medical Electrical Equipment—Part 2: Particular Require- IEC 60601–2–1 Amendment 1—Ed. 2.0 ments for Medical Electron Accelerators (2002–05)

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Item No. Title of Standard Reference No. and Date

91 Medical Electrical Equipment—Part 2: Particular Require- IEC 60601–2–8 Amendment 1 (1997– ments for the Safety of Therapeutic X-ray Equipment 98) Operating in the Range 10 kV to 1 MV

92 Medical Electrical Equipment—Dosimeters with Ionization IEC 61674 (1997–10) Chambers and/or Semi-Conductor Detectors as used in X-ray Diagnostic Imaging

93 Medical Electrical Equipment—Dosimeters with Ionization IEC 61674 Amendment 1 (2002–06) Chambers and/or Semi-Conductor Detectors as used in X-ray Diagnostic Imaging

94 Medical Electrical Equipment—Dosimeters with Ionization IEC 60731 Amendment 1 (2002–06) Chambers as used in Radiotherapy

I. Sterility

Item No. Title of Standard Reference No. and Date

116 Bacterial Endotoxins—Test Methodologies, Routine Moni- ANSI/AAMI ST72:2002 toring, and Alternatives to Batch Testing

J. Tissue Engineering

Item No. Title of Standard Reference No. and Date

3 Standard Guide for Characterization of Type 1 Collagen ASTM F2212–2002 as a Starting Material for Surgical Implants and Sub- strates for Tissue Engineered Medical Products

IV. List of Recognized Standards international standards development Federal Register, this notice FDA maintains the agency’s current organization, (4) a proposed list of announcing ‘‘Modification to the List of list of ‘‘FDA Recognized Consensus devices for which a declaration of Recognized Standards, Recognition List Standards’’ in a searchable database that conformity to this standard should Number: 009’’ will be available on the may be accessed directly at FDA’s routinely apply, and (5) a brief CDRH home page. You may access the Internet site at http:// identification of the testing or CDRH home page at http://www.fda.gov/ www.accessdata.fda.gov/scripts/cdrh/ performance or other characteristics of cdrh. You may access ‘‘Guidance on the cfdocs/cfStandards/search.cfm. FDA the device(s) that would be addressed Recognition and Use of Consensus will incorporate the modifications and by a declaration of conformity. Standards,’’ and the searchable database for ‘‘FDA Recognized Consensus minor revisions described in this notice VI. Electronic Access into the database and, upon publication Standards,’’ through hyperlink at http:// in the Federal Register, this recognition In order to receive ‘‘Guidance on the www.fda.gov/cdrh/stdsprog.html. This of consensus standards will be effective. Recognition and Use of Consensus Federal Register notice of modifications FDA will announce additional Standards’’ via your fax machine, call in FDA’s recognition of consensus modifications and minor revisions to the CDRH Facts-On-Demand system at standards will be available, upon the list of recognized consensus 800–899–0381 or 301–827–0111 from a publication, at http://www.fda.gov/ standards, as needed, in the Federal touch-tone telephone. Press 1 to enter cdrh/fedregin.html. the system. At the second voice prompt Register once a year, or more often, if VII. Submission of Comments and necessary. press 1 to order a document. Enter the document number 321 followed by the Effective Date V. Recommendation of Standards for pound sign (ι). Follow the remaining Interested persons may submit to the Recognition by FDA voice prompts to complete your request. contact person (see FOR FURTHER Any person may recommend You may obtain a copy of ‘‘Guidance INFORMATION CONTACT) written or consensus standards as candidates for on the Recognition and Use of electronic comments regarding this recognition under the new provision of Consensus Standards’’ by using the document. Two copies of any mailed section 514 of the act by submitting Internet. CDRH maintains a site on the comments are to be submitted, except such recommendations, with reasons for Internet for easy access to information that individuals may submit one paper the recommendation, to the contact including text, graphics, and files that copy. Comments are to be identified person (See FOR FURTHER INFORMATION you may download to a personal with the docket number found in CONTACT). To be properly considered computer with access to the Internet. brackets in the heading of this such recommendations should contain, Updated on a regular basis, the CDRH document. FDA will consider any at a minimum, the following home page includes the guidance as comments received in determining information: (1) Title of the standard, (2) well as the current list of recognized whether to amend the current listing of any reference number and date, (3) standards and other standards related ‘‘Modifications to the List of Recognized name and address of the national or documents. After publication in the Standards, Recognition List Number:

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009.’’ These modifications to the list or I. Background be identified with the docket number recognized standards are effective upon FDA is announcing the availability of found in brackets in the heading of this publication of this notice in the Federal a guidance for Federal agencies and document. The guidance and received Register. State and local governments entitled comments are available for public Dated: February 13, 2004. ‘‘Potassium Iodide Tablets Shelf Life examination in the Division of Dockets Beverly Chernaik Rothstein, Extension.’’ This guidance is intended Management between 9 a.m. and 4 p.m., Acting Deputy Director for Policy and to provide Federal agencies and State Monday through Friday. Regulations, Center for Devices and and local governments with information III. Electronic Access Radiological Health. on testing to extend the shelf life of [FR Doc. E4–479 Filed 3–5–04; 8:45 am] stockpiled KI tablets. The agency has Persons with access to the Internet BILLING CODE 4160–01–S developed this document in response to may obtain the document at either several State inquiries on this topic. http://www.fda.gov/cder/guidance/ On December 11, 2001 (66 FR 64046), index.htm or http://www.fda.gov/ DEPARTMENT OF HEALTH AND FDA provided guidance on the safe and ohrms/dockets/default.htm. HUMAN SERVICES effective use of KI tablets as an adjunct to other public health protective Dated: February 28, 2004. Food and Drug Administration measures in the event that radioactive Jeffrey Shuren, [Docket No. 2003D–0111] iodine is released into the environment. Assistant Commissioner for Policy. The guidance entitled ‘‘Potassium [FR Doc. 04–5107 Filed 3–5–04; 8:45 am] Guidance for Federal Agencies and Iodide as a Thyroid Blocking Agent in BILLING CODE 4160–01–S State and Local Governments; Radiation Emergencies’’ updated FDA’s Potassium Iodide Shelf Life Extension; 1982 recommendations for the use of KI Availability tablets to reduce the risk of thyroid DEPARTMENT OF HEALTH AND cancer in radiation emergencies AGENCY: Food and Drug Administration, HUMAN SERVICES involving the release of radioactive HHS. iodine. The recommendations in that Health Resources and Services ACTION: Notice. guidance addressed KI dosage and the Administration SUMMARY: The Food and Drug projected radiation exposure at which Administration (FDA) is announcing the the drug should be used. Agency Information Collection availability of a guidance for Federal On April 2, 2003 (68 FR 16063), FDA Activities: Proposed Collection: agencies and State and local made available a draft guidance entitled Comment Request governments entitled ‘‘Potassium Iodide ‘‘Potassium Iodide Tablets Shelf Life Tablets Shelf Life Extension.’’ This Extension.’’ This guidance discussed In compliance with the requirement document is intended to provide FDA recommendations on the testing for for opportunity for public comment on guidance to Federal agencies and to shelf life extensions, the qualifications proposed data collection projects State and local governments on testing of laboratories suitable to conduct the (section 3506(c)(2)(A) of title 44, United to extend the shelf life of stockpiled tests, and issues regarding notification States Code, as amended by the potassium iodide (KI) tablets. of holders of stockpiled KI tablets and Paperwork Reduction Act of 1995, Pub. end users about changes to batch shelf DATES: Submit written or electronic L. 104–13), the Health Resources and life once testing has been successfully comments on agency guidances at any Services Administration (HRSA) conducted. The comment period for that time. publishes periodic summaries of draft guidance closed on June 2, 2003. proposed projects being developed for ADDRESSES: Submit written requests for Although the agency received no submission to the Office of Management single copies of this guidance to the written comments on the draft guidance, Division of Drug Information (HFD– we (FDA) have revised the guidance and Budget under the Paperwork 240), Center for Drug Evaluation and slightly to recommend confirmatory Reduction Act of 1995. To request more Research, Food and Drug testing after 2 years, monitoring for information on the proposed project or Administration, 5600 Fishers Lane, discoloration and recordkeeping. to obtain a copy of the data collection Rockville, MD 20857. Send one self- This guidance is being issued plans and draft instruments, call the addressed adhesive label to assist that consistent with FDA’s good guidance HRSA Reports Clearance Officer on office in processing your requests. practices regulation (21 CFR 10.115). (301) 443–1129. Submit written comments on the The guidance represents the agency’s Comments are invited on: (a) Whether guidance to the Division of Dockets current thinking on this topic. It does Management (HFA–305), Food and Drug the proposed collection of information not create or confer any rights for or on is necessary for the proper performance Administration, 5630 Fishers Lane, rm. any person and does not operate to bind 1061, Rockville, MD 20852. Submit of the functions of the Agency, FDA or the public. An alternative including whether the information shall electronic comments to http:// approach may be used if such approach www.fda.gov/dockets/ecomments. See have practical utility; (b) the accuracy of satisfies the applicable statues and the Agency’s estimate of the burden of the SUPPLEMENTARY INFORMATION section regulations. for electronic access to the guidance the proposed collection of information; document. II. Comments (c) ways to enhance the quality, utility, FOR FURTHER INFORMATION CONTACT: Interested persons may submit to the and clarity of the information to be Richard Adams, Center for Drug Division of Dockets Management (see collected; and (d) ways to minimize the Evaluation and Research (HFD–643), ADDRESSES) written or electronic burden of the collection of information Food and Drug Administration, 7500 comments on the guidance at any time. on respondents, including the use of Standish Pl., Rockville, MD 20855, 301– Two copies of mailed comments are to automated collection techniques or 827–5849. be submitted, except that individuals other forms of information technology. SUPPLEMENTARY INFORMATION: may submit one copy. Comments are to

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Proposed Project: Progress Reports for satisfactory progress to warrant data for its Title VII and VIII programs. Continuation Training Grants (OMB continuation of funding. Part II collects An outcome based performance system No. 0915–0061)—Extension information on activities specific to a is critical for measuring whether The HRSA Progress Reports for given program. And Part III, program support is meeting national Continuation Training Grants are used Comprehensive Performance health workforce objectives. At the core for the preparation and submission of Management System, collects data on of the performance measurement system continuation applications for title VII overall project performance related to are found cross-cutting goals with and VIII health professions and nursing the Bureau of Health Profession’s respect to workforce quality, supply, education and training programs. The strategic goals, objectives, outcomes and diversity and distribution of the health Uniform Progress Report measures indicators. Progress will be measured professions workforce. A demonstration grantee success in meeting (1) the based on the objectives of the grant project to assess availability of the data objectives of the grant project and (2) project and outcome measures and needed to support the indicators was the cross-cutting outcomes developed indicators developed by the Bureau to conducted, and data from this project for the Bureau’s education and training meet requirements of the Government are currently being analyzed. programs. Part I of the progress report is Performance and Results Act (GPRA). The grantees were able to obtain, and designed to collect information to To respond to the requirements of submit progress reports electronically determine whether sufficient progress GPRA, the Bureau developed goals, for fiscal year 2001. has been made on the approved project outcomes and indicators that provide a Estimates of annualized reporting objectives, as grantees must demonstrate framework for collection of outcome burden are as follows:

Responses Type of Number of per Total Hours per Total burden respondent respondents respondent responses response hours

Health Care Professionals ...... 1,550 1 1,550 21.5 33,325

Send comments to Susan G. Queen, Name of Committee: National Institute on is hereby given of the following Ph.D., HRSA Reports Clearance Officer, Drug Abuse Special Emphasis Panel, Program meeting. Room 11A–33, Parklawn Building, 5600 Projects. Date: March 31, 2004. The meetings will be closed to the Fishers Lane, Rockville, MD 20857. Time: 8:30 a.m. to 6 p.m. public in accordance with the Written comments should be received Agenda: To review and evaluate grant provisions set forth in sections within 60 days of this notice. applications. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Dated: February 27, 2004. Place: Residence Inn Bethesda, 7335 as amended. The grant applications and Wisconsin Avenue, Bethesda, MD 20814. the discussions could disclose Tina M. Cheatham, Contact Person: Elaine Lazar-Wesley, PhD, Director, Division of Policy Review and Health Scientist Administrator, Office of confidential trade secrets or commercial Coordination. Extramural Affairs, National Institute on property such as patentable material, [FR Doc. 04–5046 Filed 3–5–04; 8:45 am] Drug Abuse, NIH, DHHS, Room 220, MSC and personal information concerning 8401, 6101 Executive Boulevard, Bethesda, BILLING CODE 4165–15–P individuals associated with the grant MD 20892–8401, 301–451–4530. applications, the disclosure of which (Catalogue of Federal Domestic Assistance would constitute a clearly unwarranted DEPARTMENT OF HEALTH AND Program Nos. 93.277, Drug Abuse Scientist invasion of personal privacy. HUMAN SERVICES Development Award for Clinicians, Scientist Development Awards, and Research Scientist Name of Committee: National Institute of Awards; 93.278, Drug Abuse National Arthritis and Musculoskeletal and Skin National Institutes of Health Research Service Awards for Research Diseases Special Emphasis Panel, Review of Training; 93.279, Drug Abuse Research Research Program Project Applications. National Institute on Drug Abuse; Programs, National Institutes of Health, Date: March 2, 2004. Notice of Closed Meeting HHS.) Time: 8:30 a.m. to 5 p.m. Dated: March 1, 2004. Agenda: To review and evaluate grant Pursuant to section 10(d) of the LaVerne Y. Stringfield, applications. Federal Advisory Committee Act, as Director, Office of Federal Advisory Place: Double Tree Hotel, 1750 Rockville amended (5 U.S.C. Appendix 2), notice Committee Policy. Pike, Rockville, MD 20852. is hereby given of the following [FR Doc. 04–5060 Filed 3–5–04; 8:45 am] Contact Person: Aftab A. Ansari, PhD, meeting. Scientific Review Administrator, National BILLING CODE 4140–01–M The meeting will be closed to the Institute of Arthritis and Musculoskeletal and public in accordance with the Skin Diseases, 6701 Democracy Plaza, provisions set forth in sections DEPARTMENT OF HEALTH AND Bethesda, MD 20892, (301) 594–4952. 552b(c)(4) and 552b(c)(6), title 5 U.S.C., HUMAN SERVICES This notice is being published less than 15 as amended. The grant applications and days prior to the meeting due to the timing the discussions could disclose National Institutes of Health limitations imposed by the review and funding cycle. confidential trade secrets or commercial National Institute of Arthritis and (Catalogue of Federal Domestic Assistance property such as patentable material, Musculoskeletal and Skin Diseases; Program Nos. 93.846, Arthritis, and personal information concerning Notice of Closed Meeting individuals associated with the grant Musculoskeletal and Skin Diseases Research, applications, the disclosure of which Pursuant to section 10(d) of the National Institutes of Health, HHS) would constitute a clearly unwarranted Federal Advisory Committee Act, as invasion of personal privacy. amended (5 U.S.C. Appendix 2), notice

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Dated: March 1, 2004. DEPARTMENT OF HEALTH AND The meetings will be closed to the LaVerne Y. Stringfield, HUMAN SERVICES public in accordance with the Director, Office of Federal Advisory provisions set forth in sections Committee Policy. National Institutes of Health 552b(c)(4) and 552b(c)(6), title 5 U.S.C., [FR Doc. 04–5062 Filed 3–5–04; 8:45 am] as amended. The grant applications and National Institute of Child Health and the discussions could disclose BILLING CODE 4140–01–M Human Development; Notice of Closed confidential trade secrets or commercial Meeting property such as patentable material, DEPARTMENT OF HEALTH AND Pursuant to section 10(d) of the and personal information concerning HUMAN SERVICES Federal Advisory Committee Act, as individuals associated with the grant amended (5 U.S.C. Appendix 2), notice applications, the disclosure of which National Institutes of Health is hereby given of the following would constitute a clearly unwarranted meeting. invasion of personal privacy. National Institute of Mental Health; The meeting will be closed to the Name of Committee: Center for Scientific Notice of Closed Meeting public in accordance with the Review Special Emphasis Panel, Cognitive provisions set forth in sections Aspects of Parkinson’s Disease. Pursuant to section 10(d) of the 552b(c)(4) and 552b(c0(6), Title 5 Date: March 3, 2004. Federal Advisory Committee Act, as U.S.C., as amended. The grant Time: 2 p.m. to 3 p.m. Agenda: To review and evaluate grant amended (5 U.S.C. Appendix 2), notice applications and the discussions could disclose confidential trade secrets or applications. is hereby given of the following Place: National Institutes of Health, 6701 meeting. commercial property such as patentable Rockledge Drive, Bethesda, MD 20892 material, and personal information The meeting will be closed to the (Telephone conference call). concerning individuals associated with Contact Person: Mariela Shirley, PhD, public in accordance with the the grant applications, the disclosure of Scientific Review Administrator, Center for provisions set forth in sections which would constitute a clearly Scientific Review, National Institutes of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., unwarranted invasion of personal Health, 6701 Rockledge Drive, Room 3186, as amended. The grant applications and privacy. MSC 7848, Bethesda, MD 20892. 301–435– 0913; [email protected]. the discussions could disclose Name of Committee: National Institute of confidential trade secrets or commercial This notice is being published less than 15 Child Health and Human Development days prior to the meeting due to the timing property such as patentable material, Special Emphasis Panel, Genes, Aneuploidy limitations imposed by the review and and personal information concerning and Mamalian Development. funding cycle. Date: March 29, 2004. individuals associated with the grant Name of Committee: Center for Scientific Time: 9:30 a.m. to 5 p.m. applications, the disclosure of which Review Special Emphasis Panel, Fellowships Agenda: To review and evaluate grant in Psychopathology and Disorders of Aging. would constitute a clearly unwarranted applications. Date: March 8, 2004. invasion of personal privacy. Place: Ramada Inn Rockville, 1775 Time: 8 a.m. to 5 p.m. Name of Committee: National Institute of Rockville Pike, Rockville, MD 20852. Contact Person: Gopal M. Bhatnagar, Phd, Agenda: To review and evaluate grant Mental Health Special Emphasis Panel, HIV/ Scientific Review Administrator, National applications. AIDS and Mental Health. Institute of Child Health and Human Place: Holiday Inn Select Bethesda, 8120 Date: March 19, 2004. Development, National Institutes of Health, Wisconsin Ave., Bethesda, MD 20814. Time: 9 a.m. to 4 p.m. 6100 Bldg. Rm 5B01, Rockville, MD 20852, Contact Person: Mariela Shirley, PhD, Agenda: To review and evaluate grant (301) 435–6889, [email protected]. Scientific Review Administrator, Center for applications and/or proposals. Scientific Review, National Institutes of (Catalogue of Federal Domestic Assistance Health, 6701 Rockledge Drive, Room 3186, Place: Hyatt Regency Bethesda, One Program Nos. 93.864, Population Research; MSC 7848, Bethesda, MD 20892. 301–435– Bethesda Metro Center, 7400 Wisconsin 93.865, Research for Mothers and Children; 0913; [email protected]. Avenue, Bethesda, MD 20814. 93.929, Center for Medical Rehabilitation This notice is being published less than 15 Contact Person: Fred Altman, PhD, Research; 93.209, Contraception and days prior to the meeting due to the timing Scientific Review Administrator, National Infertility Loan Repayment Program, National limitations imposed by the review and Institute of Mental Health, NIH, Institutes of Health, HHS) funding cycle. Neuroscience Center, 6001 Executive Dated: March 1, 2004. Name of Committee: Center for Scientific Boulevard, Room 6220, MSC 9621, Bethesda, LaVerne Y. Stringfield, Review Special Emphasis Panel, Dentist- MD 20892–9621, 301–443–8962. Director, Office of Federal Advisory Initiated Interventions for Tobacco Control. This notice is being published less than 15 Committee Policy. Date: March 8, 2004. days prior to the meeting due to the timing [FR Doc. 04–5064 Filed 3–5–04; 8:45 am] Time: 1 p.m. to 2 p.m. limitations imposed by the review and Agenda: To review and evaluate grant BILLING CODE 4140–01–M applications. funding cycle. Place: National Institutes of Health, 6701 Dated: March 1, 2004. Rockledge Drive, Bethesda, MD 20892 DEPARTMENT OF HEALTH AND LaVerne Y. Stringfield, (Telephone conference call). HUMAN SERVICES Contact Person: Michael Micklin, PhD, Director, Office of Federal Advisory Chief, RPHB IRG, Center for Scientific Committee Policy. National Institutes of Health Review, National Institutes of Health, 6701 [FR Doc. 04–5063 Filed 3–5–04; 8:45 am] Rockledge Drive, Room 3136, MSC 7759, Center for Scientific Review; Notice of BILLING CODE 4140–01–M Bethesda, MD 20892. (301) 435–1258; Closed Meetings [email protected]. This notice is being published less than 15 Pursuant to section 10(d) of the days prior to the meeting due to the timing Federal Advisory Committee Act, as limitations imposed by the review and amended (5 U.S.C. Appendix 2), notice funding cycle. is hereby given of the following Name of Committee: Center for Scientific meetings. Review Special Emphasis Panel,

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Communication Disorders and Language This notice is being published less than 15 Contact Person: Thomas A. Tatham, PhD, Acquisition. days prior to the meeting due to the timing Scientific Review Administrator, Center for Date: March 9, 2004. limitations imposed by the review and Scientific Review, National Institutes of Time: 12 p.m. to 2 p.m. funding cycle. Health, 6701 Rockledge Drive, Room 3178, Agenda: To review and evaluate grant Name of Committee: Center for Scientific MSC 7848, Bethesda, MD 20892. (301) 594– applications. Review Special Emphasis Panel, Cervical 6836; [email protected]. Place: National Institutes of Health, 6701 Cancer Screening Research. This notice is being published less than 15 Rockledge Drive, Bethesda, MD 20892 Date: March 12, 2004. days prior to the meeting due to the timing (Telephone conference call). Time: 10 a.m. to 12 p.m. limitations imposed by the review and Contact Person: Karen Sirocco, PhD, Agenda: To review and evaluate grant funding cycle. Scientific Review Administrator, Center for applications. Name of Committee: Center for Scientific Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Urology Health, 6701 Rockledge Drive, Room 3176, Rockledge Drive, Bethesda, MD 20892, Small Business. MSC 7848, Bethesda, MD 20892. 301–435– (Telephone conference call). Date: March 16, 2004. 0676; [email protected]. Contact Person: Michael Micklin, PhD, Time: 10 a.m. to 1 p.m. This notice is being published less than 15 Chief, RPHB IRG, Center for Scientific Agenda: To review and evaluate grant days prior to the meeting due to the timing Review, National Institutes of Health, 6701 applications. limitations imposed by the review and Rockledge Drive, Room 3136, MSC 7759, Place: Holiday Inn Georgetown, 2101 funding cycle. Bethesda, MD 20892. (301) 435–1258; Wisconsin Avenue, NW., Washington, DC Name of Committee: Center for Scientific [email protected]. 20007. Review Special Emphasis Panel, Therapeutic This notice is being published less than 15 Contact Person: Shirley Hilden, PhD, Strategies in MDS. days prior to the meeting due to the timing Scientific Review Administrator, Center for Date: March 10, 2004. limitations imposed by the review and Scientific Review, National Institutes of Time: 9:30 a.m. to 10:30 a.m. funding cycle. Health, 6701 Rockledge Drive, Room 4218, Agenda: To review and evaluate grant Name of Committee: Center for Scientific MSC 7814, Bethesda, MD 20892. (301) 435– applications. Review Special Emphasis Panel, BMRD 1198; [email protected]. Place: National Institutes of Health, 6701 Member Applications. This notice is being published less than 15 Rockledge Drive, Bethesda, MD 20892 Date: March 12, 2004. days prior to the meeting due to the timing (Telephone conference call). Time: 1 p.m. to 2:30 p.m. limitations imposed by the review and Contact Person: Mary Bell, PhD, Scientific Agenda: To review and evaluate grant funding cycle. Review Administrator, Center for Scientific applications. Name of Committee: Center for Scientific Review, National Institutes of Health, 6701 Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Fish and Rockledge Drive, Room 6188, MSC 7804, Rockledge Drive, Bethesda, MD 20892 Flies. Bethesda, MD 20892. 301–451–8754; (Telephone conference call). Date: March 16, 2004. [email protected]. This notice is being published less than 15 Contact Person: Yvette M. Davis, MPH, Time: 1 p.m. to 3 p.m. days prior to the meeting due to the timing VMD, Scientific Review Administrator, Agenda: To review and evaluate grant limitations imposed by the review and Center for Scientific Review, National applications. funding cycle. Institutes of Health, 6701 Rockledge Drive, Place: National Institutes of Health, 6701 Room 3152, MSC 7770, Bethesda, MD 20892. Rockledge Drive, Bethesda, MD 20892 Name of Committee: Center for Scientific (301) 435–0906. (Telephone conference call). Review Special Emphasis Panel, CLHP This notice is being published less than 15 Contact Person: James P. Harwood, PhD, Member Applications. days prior to the meeting due to the timing Scientific Review Administrator, Center for Date: March 11, 2004. limitations imposed by the review and Scientific Review, National Institutes of Time: 1 p.m. to 3 p.m. funding cycle. Health, 6701 Rockledge Drive, RM 5168, Agenda: To review and evaluate grant MSC 7840, Bethesda, MD 20892. 301–435– applications. Name of Committee: Center for Scientific 1256; [email protected]. Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Urologic This notice is being published less than 15 Rockledge Drive, Bethesda, MD 20892, and Kidney Development and Genitourinary days prior to the meeting due to the timing (Telephone conference call). Diseases. limitations imposed by the review and Contact Person: Yvette M. Davis, MPH, Date: March 15–16, 2004. funding cycle. VMD, Scientific Review Administrator, Time: 8 a.m. to 10 a.m. Center for Scientific Review, National Agenda: To review and evaluate grant Name of Committee: Center for Scientific Institutes of Health, 6701 Rockledge Drive, applications. Review Special Emphasis Panel, Members Room 3152, MSC 7770, Bethesda, MD 20892. Place: Holiday Inn Georgetown, 2101 Conflicts in Language Perception and (301) 435–0906. Wisconsin Avenue, NW., Washington, DC Processing. This notice is being published less than 15 20007. Date: March 16, 2004. days prior to the meeting due to the timing Contact Person: Shirley Hilden, PhD, Time: 3 p.m. to 4:30 p.m. limitations imposed by the review and Scientific Review Administrator, Center for Agenda: To review and evaluate grant funding cycle. Scientific Review, National Institutes of applications. Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 4218, Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Member MSC 7814, Bethesda, MD 20892. (301) 435– Rockledge Drive, Bethesda, MD 20892 Conflicts in Autonomic Functioning During 1198; [email protected]. (Telephone conference call). Stress, Anxiety and Depression. This notice is being published less than 15 Contact Person: Luci Roberts, PhD, Date: March 11, 2004. days prior to the meeting due to the timing Scientific Review Administrator, Center for Time: 2:30 p.m. to 4 p.m. limitations imposed by the review and Scientific Review, National Institutes of Agenda: To review and evaluate grant funding cycle. Health, 6701 Rockledge Drive, RM 3188, applications. Name of Committee: Center for Scientific MSC 7848, Bethesda, MD 20892. 301–435– Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Human 0692; [email protected]. Rockledge Drive, Bethesda, MD 20892, Behavioral Pharmacology. This notice is being published less than 15 (Telephone conference call). Date: March 15, 2004. days prior to the meeting due to the timing Contact Person: Luci Roberts, PhD, Time: 3:15 p.m. to 4 p.m. limitations imposed by the review and Scientific Review Administrator, Center for Agenda: To review and evaluate grant funding cycle. Scientific Review, National Institutes of applications. Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 3188, Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Member MSC 7848, (301) 435–0692; Rockledge Drive, Bethesda, MD 20892, Conflict Panel for BSCH and BSPH. [email protected]. (Telephone conference call). Date: March 17, 2004.

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Time: 8 a.m. to 1 p.m. Name of Committee: Center for Scientific Scientific Review, National Institutes of Agenda: To review and evaluate grant Review Special Emphasis Panel, ZRG1: SRB Health, 6701 Rockledge Drive, Room 4172, applications. (301): RR03–009: Shared Instrumentation. MSC 7806, Bethesda, MD 20892. 301–435– Place: Churchill Hotel, 1914 Connecticut Date: March 18, 2004. 1727. Avenue, NW., Washington, DC 20009. Time: 8 a.m. to 5 p.m. Name of Committee: Center for Scientific Contact Person: Mark P. Rubert, PhD, Agenda: To review and evaluate grant Review Special Emphasis Panel, Scientific Review Administrator, Center for applications. Carcinogenesis Modeling. Scientific Review, National Institutes of Place: Holiday Inn Select Bethesda, 8120 Date: March 25, 2004. Health, 6701 Rockledge Drive, RM 5218, Wisconsin Ave, Bethesda, MD 20814 Time: 1 p.m. to 2 p.m. MSC 7852, Bethesda, MD 20892. 301–435– (Telephone conference call.) Agenda: To review and evaluate grant 1775; [email protected]. Contact Person: Arthur A. Petrosian, PhD, applications. This notice is being published less than 15 Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 Scientific Review, National Institutes of days prior to the meeting due to the timing Rockledge Drive, Bethesda, MD 20892. Health, 6701 Rockledge Drive, Room 5112, limitations imposed by the review and (Telephone conference call.) MSC 7854, Bethesda, MD 20892. 301–435– funding cycle. Contact Person: Victor A. Fung, PhD, 1259; [email protected]. Scientific Review Administrator, Center for Name of Committee: Center for Scientific Name of Committee: Center for Scientific Scientific Review, National Institutes of Review Special Emphasis Panel, ZRG1 VACC Review Special Emphasis Panel, ZRG1 Health, 6701 Rockledge Drive, Room 6178, (01): HIV/AIDS Vaccines. MABS 01 Q: Modeling and Analysis of MSC 7804, Bethesda, MD 20892. 301–435– Date: March 17–18, 2004. Biological Systems: Quorum. 3504; [email protected]. Time: 8 a.m. to 6 p.m. Date: March 22–23, 2004. Name of Committee: Center for Scientific Agenda: To review and evaluate grant Time: 8:30 a.m. to 5 p.m. Review Special Emphasis Panel, T Cell applications. Agenda: To review and evaluate grant Mediated Immuno Therapy. Place: Hyatt Regency Bethesda, One applications. Date: March 25, 2004. Bethesda Metro Center, 7400 Wisconsin Place: Holiday Inn Select Bethesda, 8120 Time: 1 p.m. to 3 p.m. Avenue, Bethesda, MD 20814. Wisconsin Ave, Bethesda, MD 20814. Agenda: To review and evaluate grant Contact Person: Mary Clare Walker, PhD, Contact Person: Malgorzata Klosek, PhD, applications. Scientific Review Administrator, Center for Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 Scientific Review, National Institutes of Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892. Health, 6701 Rockledge Drive, RM 5104, Health, 6701 Rockledge Drive, Room 4188, (Telephone conference call.) MSC 7852, Bethesda, MD 20892. 301–435– MSC 7849, Bethesda, MD 20892. 301–435– Contact Person: John L. Meyer, PhD, 1165; [email protected]. 2211; [email protected]. Scientific Review Administrator, Center for This notice is being published less than 15 Name of Committee: Center for Scientific Scientific Review; National Institutess of days prior to the meeting due to the timing Review Special Emphasis Panel, CLHP Health, 6701 Rockledge Drive, Room 6198, limitations imposed by the review and Member Applications. MSC 7804, Bethesda, MD 20892. (301) 435– funding cycle. Date: March 23, 2004. 1213; [email protected]. Name of Committee: Center for Scientific Time: 12:30 p.m. to 4 p.m. Name of Committee: Center for Scientific Review Special Emphasis Panel, AIDS Agenda: To review and evaluate grant Review Special Emphasis Panel, Behavioral Science Member Conflict applications. Thrombocytes in Zebrafish—Member Applications. Place: National Institutes of Health, 6701 Conflict. Date: March 17, 2004. Rockledge Drive, Bethesda, MD 20892. Date: March 25, 2004. Time: 1 p.m. to 3 p.m. (Telephone conference call.) Time: 2 p.m. to 4 p.m. Agenda: To review and evaluate grant Contact Person: Yvette M. Davis, MPH, Agenda: To review and evaluate grant applications. VMD, Scientific Review Administrator, applications. Place: Churchill Hotel, 1914 Connecticut Center for Scientific Review, National Place: National Institutes of Health, 6701 Avenue, NW., Washington, DC 20009. Institutes of Health, 6701 Rockledge Drive, Rocklege Drive, Bethesda, MD 20892 Contact Person: Mark P. Rubert, PhD, Room 3152, MSC 7770, Bethesda, MD 20892. (Telephone conference call). Scientific Review Administrator, Center for 301–435–0906; Contact Person: Robert T. Su, PhD, Scientific Review, National Institutes of Name of Committee: Center for Scientific Scientific Review Administrator, Center for Health, 6701 Rockledge Drive, RM 5218, Review Special Emphasis Panel, ZRG1 Scientific Review, National Institutess of Health, 6701 Rockledge Drive, Room 4134, MSC 7852, Bethesda, MD 20892. 301–435– BDCN–B 01M: Member Conflict: Brain MSC 7802, Bethesda, MD 20892. (301) 435– 1775; [email protected]. Disorders and Clinical Neurosciences IRG. 1195. This notice is being published less than 15 Date: March 25, 2004. days prior to the meeting due to the timing Time: 8 a.m. to 5 p.m. Name of Committee: Center for Scientific limitations imposed by the review and Agenda: To review and evaluate grant Review Special Emphasis Panel, Respiratory. funding cycle. applications. Date: March 25, 2004. Place: Holiday Inn Chevy Chase, 5520 Time: 2 p.m. to 3 p.m. Name of Committee: Center for Scientific Wisconsin Avenue, Chevy Chase, MD 20815. Agenda: To review and evaluate grant Review Special Emphasis Panel, Fellowship Contact Person: William C. Benzing, PhD, applications. Applications. Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 Date: March 17, 2004. Scientific Review, National Institutes of Rocklege Drive, Bethesda, MD 20892 Time: 3 p.m. to 6 p.m. Health, 6701 Rockledge Drive, Room 5206, (Telephone conference call). Agenda: To review and evaluate grant MSC 7846, Bethesda, MD 20892. 301–435– Contact Person: Bernard F. Driscoll, PhD, applications. 1254; [email protected]. Scientific Review Administrator, Center for Place: Churchill Hotel, 1914 Connecticut Name of Committee: Center for Scientific Scientific Review, National Institutess of Avenue, NW., Washington, DC 20009. Review Special Emphasis Panel, Health, 6701 Rockledge Drive, Room 5184, Contact Person: Mark P. Rubert, PhD, International Bioethics Education and MSC 7844, Bethesda, MD 20892. (301) 435– Scientific Review Administrator, Center for Development. 1242; [email protected]. Scientific Review, National Institutes of Date: March 25, 2004. Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 5218, Time: 8:30 a.m. to 5 p.m. Review Special Emphasis Panel, MSC 7852, Bethesda, MD 20892. 301–435– Agenda: To review and evaluate grant Epidemiology of Diabetes and Kidney 1775; [email protected]. applications. Diseases. This notice is being published less than 15 Place: Holiday Inn Select Bethesda, 8120 Date: March 26, 2004. days prior to the meeting due to the timing Wisconsin Ave, Bethesda, MD 20814. Time: 8:30 a.m. to 6 p.m. limitations imposed by the review and Contact Person: Donald L. Schneider, PhD, Agenda: To review and evaluate grant funding cycle. Scientific Review Administrator, Center for applications.

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Place: Embassy Suites Hotel, 4300 Military Date: March 26, 2004. MSC 7808, Bethesda, MD 20892. 301–435– Road, NW., Washington, DC 20015. Time: 1 p.m. to 2 p.m. 1151; [email protected]. Contact Person: Denise Wiesch, PhD, Agenda: To review and evaluate grant Scientific Review Administrator, Center for applications. (Catalogue of Federal Domestic Assistance Scientific Review, National Institutess of Place: National Institutes of Health, 6701 Program Nos. 93.306, Comparative Medicine; Health, 6701 Rockledge Drive, Room 3150, Rockledge Drive, Bethesda, MD 20892 93.333, Clinical Research, 93.306, 93.333, MSC 7770, Bethesda, MD 20892. (301) 435– (Telephone conference call). 93.337, 93.393–93.396, 93.837–93.844, 0684; [email protected]. Contact Person: Diane L. Stassi, PhD, 93.846–93.878, 93.892, 93.893, National Name of Committee: Center for Scientific Scientific Review Administrator, Center for Institutes of Health, HHS.) Review Special Emphasis Panel, MDCN Scientific Review, National Institutes of Dated: March 1, 2004. Fellowship Review Group–B Physiology, Health, 6701 Rockledge Drive, Room 3202, LaVerne Y. Stringfield, Pharmacology and Molecular Structure. MSC 7808, Bethesda, MD 20892. 301–435– Director, Office of Federal Advisory Date: March 26, 2004. 2514; [email protected]. Committee Policy. Time: 8:30 a.m. to 5 p.m. Name of Committee: Center for Scientific [FR Doc. 04–5061 Filed 3–5–04; 8:45 am] Agenda: To review and evaluate grant Review Special Emphasis Panel, Yeast applications. Environmental Adaptation. BILLING CODE 4140–01–M Place: The Fairmont Washington, DC, 2401 Date: March 26, 2004. M Street, NW., Washington, DC 20037. Time: 1:30 p.m. to 2:30 p.m. Contact Person: Carole L. Jelsema, PhD, Agenda: To review and evaluate grant DEPARTMENT OF HEALTH AND Scientific Review Administrator and Chief, applications. HUMAN SERVICES MDCN Scientific Review Group, Center for Place: National Institutes of Health, 6701 Scientific Review, National Institutess of Rockledge Drive, Bethesda, MD 20892 Substance Abuse and Mental Health Health, 6701 Rockledge Drive, Room 4146, (Telephone conference call). Services Administration MSC 7850, Bethesda, MD 20892. (301) 435– Contact Person: Melody Mills, PhD, 1248; [email protected]. Scientific Review Administrator, Center for Agency Information Collection Name of Committee: Center for Scientific Scientific Review, National Institutes of Activities: Proposed Collection; Review Special Emphasis Panel, Health, 6701 Rockledge Drive, Room 3204, Comment Request Epidemiology: Genetics, Mental Health, and MSC 7808, Bethesda, MD 20892. 301–435– Substance Abuse. 0903. In compliance with Section Date: March 26, 2004. Name of Committee: Center for Scientific 3506(c)(2)(A) of the Paperwork Time: 9 a.m. to 5 p.m. Agenda: To review and evaluate grant Review Special Emphasis Panel, Vision/ Reduction Act of 1995 concerning applications. Striatum. opportunity for public comment on Place: Melrose Hotel, 2430 Pennsylvania Date: March 26, 2004. proposed collections of information, the Ave., NW., Washington, DC 20037. Time: 2 p.m. to 4 p.m. Substance Abuse and Mental Health Contact Person: William N. Elwood, PhD, Agenda: To review and evaluate grant Services Administration will publish Scientific Review Administrator, Center for applications. Place: National Institutes of Health, 6701 periodic summaries of proposed Scientific Review, National Institutess of projects. To request more information Health, 6701 Rockledge Drive, Room 3162, Rockledge Drive, Bethesda, MD 20892 MSC 7770, Bethesda, MD 20892. (301) 435– (Telephone conference call). on the proposed projects or to obtain a 1503; [email protected]. Contact Person: Bernard F. Driscoll, PhD, copy of the information collection Name of Committee: Center for Scientific Scientific Review Administrator, Center for plans, call the SAMHSA Reports Review Special Emphasis Panel, Study of Scientific Review, National Institutes of Clearance Officer on (301) 443–7978. lkB/NF–kB Recognition Special Emphasis Health, 6701 Rockledge Drive, Room 5184, Comments are invited on: (a) Whether Panel. MSC 7844, Bethesda, MD 20892. 301–435– the proposed collections of information Date: March 26, 2004. 1242; [email protected]. are necessary for the proper Time: 9 a.m. to 5 p.m. Name of Committee: Center for Scientific performance of the functions of the Agenda: To review and evaluate grant Review Special Emphasis Panel, Pain: agency, including whether the Receptors and Behavior. applications. information shall have practical utility; Place: Double Tree Rockville, 1750 Date: March 26, 2004. Rockville Pike, Rockville, MD 20852. Time: 2 p.m. to 3:30 p.m. (b) the accuracy of the agency’s estimate Contact Person: Gopa Rakhit, PhD, Agenda: To review and evaluate grant of the burden of the proposed collection Scientific Review Administrator, Center for applications. of information; (c) ways to enhance the Scientific Review, National Institutess of Place: National Institutes of Health, 6701 quality, utility, and clarity of the Health, 6701 Rockledge Drive, Room 4154, Rockledge Drive, Bethesda, MD 20892 information to be collected; and (d) MSC 7806, Bethesda, MD 20892. (301) 435– (Telephone conference call). ways to minimize the burden of the 1721; [email protected]. Contact Person: John Bishop, PhD, collection of information on Name of Committee: Center for Scientific Scientific Review Administrator, Center for respondents, including through the use Review Special Emphasis Panel, Lung Cancer Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5180, of automated collection techniques or Genetics. other forms of information technology. Date: March 26, 2004. MSC 7844, Bethesda, MD 20892. 301–435– Time: 11 a.m. to 12 p.m. 1250. Proposed Project: 2004–2006 National Agenda: To review and evaluate grant Name of Committee: Center for Scientific Survey on Drug Use and Health: applications. Review Special Emphasis Panel, Functions of Methodological Field Tests—New—The Place: National Instiutes of Health, 6701 Herpes Tegument Proteins. National Survey on Drug Use and Rockledge Drive, Bethesda, MD 20892 Date: March 26, 2004. Health (NSDUH), formerly the National (Telephone conference call). Time: 3:30 p.m. to 4:30 p.m. Household Survey on Drug Abuse Contact Person: Zhiqiang Zou, MD, PhD, Agenda: To review and evaluate grant (NHSDA), is a survey of the civilian, Scientific Review Administrator, Center for applications. noninstitutionalized population of the Scientific Review, National Institutess of Place: National Institutes of Health, 6701 United States 12 years of age and older. Health, 6701 Rockledge Drive, Room 4112, Rockledge Drive, Bethesda, MD 20892 MSC 7804, Bethesda, MD 20892. (301) 435– (Telephone conference call). The data are used to determine the 8551; [email protected]. Contact Person: Joanna M. Pyper, PhD, prevalence of use of tobacco products, Name of Committee: Center for Scientific Scientific Review Administrator, Center for alcohol, illicit substances, and illicit use Review Special Emphasis Panel, Mycoplasma Scientific Review, National Institutes of of prescription drugs. The results are Disease. Health, 6701 Rockledge Drive, Room 3198, used by SAMHSA, ONDCP, Federal

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government agencies, and other given to minimizing the impact of These questionnaire modifications will organizations and researchers to design changes so that survey data also be pre-tested and the feasibility of establish policy, direct program continue to remain comparable over text-to-speech software determined. To activities, and better allocate resources. time. understand the effectiveness of the This will be a request for generic Field test activities are expected to current monetary incentive, a new approval for information collection for include validating new questions on incentive study will be conducted with NSDUH methodological field tests depression; examining data reliability varying incentive amounts. The designed to examine the feasibility, through the use of test-retest relationship between incentives and quality, and efficiency of new procedures; improving response rates veracity of reporting will also be procedures or revisions to the existing among persons residing in controlled examined. Lastly, there will be a test to survey protocol. These field tests will access communities (locked apartment determine the feasibility of selecting a examine ways to increase data quality, buildings, gated communities, college maximum of three persons per dwelling lower operating costs, and gain a better dormitories, etc.), persons aged 50 or unit instead of two (triad sampling). understanding of various sources of over, and other hard-to-reach Some of the above studies may be nonsampling error. If these tests provide populations; and conducting a combined to introduce survey successful results, current procedures nonresponse follow-up study. Cognitive efficiencies. may be revised and incorporated into laboratory testing will be conducted The average annual burden associated the main study (e.g., questionnaire prior to the implementation of with these activities over a three-year changes). Particular attention will be significant questionnaire modifications. period is summarized below.

Average Number of Responses burden per Total burden Activity respondents per response (hrs.) respondent (in hrs.)

a. Reliability/depression module validity study ...... 667 2 1 .5 2,000 b. Improving participation among controlled access and 50+ population, and other hard-to-reach populations ...... 417 1 1.0 417 c. Nonresponse follow-up ...... 417 1 1.0 417 d. Incentive/validity study ...... 417 1 1.0 417 e. Cognitive laboratory testing ...... 167 1 1 .0 167 f. Annual questionnaire pre-test ...... 333 1 1.0 333 g. Text-to-speech software for voices in computer-assisted interviewing ..... 83 1 1.0 83 h. Triad sampling ...... 333 1 1.0 333 Household screening for a–d, f, and h ...... 7,167 1 0 .083 595 Screening Verification for a–d, f, and h ...... 217 1 0.067 15 Interview Verification for a–d, f, and h ...... 400 1 0 .067 27

Total ...... 10,617 ...... 4,803

Send comments to Nancy Pearce, SUMMARY: The Substance Abuse and Funding Opportunity Title: Statewide SAMHSA Reports Clearance Officer, Mental Health Services Administration Consumer Network Grants (Short Title: Room 16–105, Parklawn Building, 5600 (SAMHSA), Center for Mental Health Statewide Consumer Networks). Fishers Lane, Rockville, MD 20857. Services (CMHS), announces the Announcement Type: Modification. Written comments should be received availability of FY 2004 funds for Funding Opportunity Number: SM by May 7, 2004. Statewide Consumer Network Grants. A 04–003. Catalog of Federal Domestic Dated: March 1, 2004. synopsis of this funding opportunity, as well as many other Federal Government Assistance (CFDA) Number: 93.243. Anna Marsh, Due Date for Applications: April 7, funding opportunities, is also available Executive Officer, SAMHSA. 2004. You will be notified by postal at the Internet site: http:// [FR Doc. 04–5068 Filed 3–5–04; 8:45 am] mail that your application has been www.grants.gov. BILLING CODE 4162–20–P received. For complete instructions, potential [Note: Letters from State Single Point of applicants must obtain a copy of the Contact (SPOC) in response to E.O. 12372 are DEPARTMENT OF HEALTH AND revised standard Infrastructure Grants due May 7, 2004.] HUMAN SERVICES Program Announcement [INF–04 PA Funding Instrument: Grant. (MOD)], and the PHS 5161–1 (Rev. 7/00) Substance Abuse and Mental Health Funding Opportunity Description: Services Administration application form before preparing and This is a republication of the Substance submitting an application. The INF–04 Abuse and Mental Health Services Fiscal Year (FY) 2004 Funding PA (MOD) describes the general Administration’s Notice of Funding Opportunity program design and provides Availability SM 04–003. The purpose of instructions for applying for all this republication is to revise the criteria ACTION: Notice of funding availability SAMHSA Infrastructure Grants, used to screen out applications from (NOFA) for Statewide Consumer including Statewide Consumer Network peer review. These revised criteria are Network Grants. Grants. Additional instructions and consistent with the standard grant requirements specific to Statewide announcement for Infrastructure Grants Authority: Section 520 A of the Public Consumer Network Grants are described INF–04 PA (MOD). Health Service Act, as amended and subject below. These revisions can be found in this to the availability of funds. document, in their entirety, in the

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section on Eligible Applicants and the the Final Report of the President’s New (MOD), will be made. Proposed budgets Checklist of Formatting Requirements Freedom Commission on Mental Health cannot exceed $70,000 in any year. The and Screenout Criteria for SAMHSA as it applies to mental health service actual amount available for the awards Grant Applications. delivery. Grantees are especially may vary, depending on unanticipated The deadline for applications has encouraged to utilize training capacity, program requirements and the number been extended to 30 days after the network development, organizational and quality of the applications received. publication of this NOFA. and community readiness, and policy All applicants are reminded that we The Statewide Consumer Networks development to support best practices cannot guarantee that sufficient funds program is one of SAMHSA’s but are not limited to these specific will be appropriated to permit SAMHSA Infrastructure Grants programs. activities. Examples of the types of to fund any applications. SAMHSA’s Infrastructure Grants community services that grantees will Eligible Applicants: Eligible provide funds to increase the capacity of work to improve include State planning applicants are limited to the following, mental health and/or substance abuse boards and councils, individualized rather than the Eligible Applicants service systems to support programs and plans of care, anti-stigma initiatives, listed in the INF–04 PA (MOD): services. SAMHSA’s Infrastructure interactions with the criminal justice domestic private, nonprofit entities, Grants are intended for applicants system, supported employment including faith-based entities and seeking Federal support to develop or programs, rights protection, cultural currently funded Statewide Consumer enhance their service system competence, outreach to people in rural Network Grantees that (1) are controlled infrastructure in order to support areas, people of color and older adults: and managed by mental health effective substance abuse and/or mental research on recovery, trauma and consumers; (2) are dedicated to the health service delivery. Statewide medication; evidence based improvement of mental health services Consumer Network Grants are intended determinations and applications; statewide; and (3) have a Board of for applicants seeking Federal support workforce development; tele-health and Directors comprised of more than 51 to act as ‘‘Agents of Transformation’’ in other on line supports including percent consumers. SAMHSA is developing or enhancing their service personal recovery pages. limiting eligibility to consumer- system infrastructure in order to support Background: The Statewide Consumer controlled organizations because the effective substance abuse and/or mental Network Grant Program builds on the goals of this grant program are: To health service delivery which is work of the Federal Community Support strengthen the capacity of consumers to consumer driven. The Statewide Program (CSP). The Center for Mental act as agents of transformation in Consumer Network Grant Program is a Health Services has supported the influencing the type and amount of critical part of the SAMHSA/CMHS development of accessible, responsive services and supports provided to efforts to implement the mental health treatment, rehabilitation, people with a serious mental illness and recommendations of the Final Report of and supportive services for people with to ensure that their mental health care the President’s New Freedom a serious mental illness through CSP. is consumer driven. Applicants will be Commission on Mental Health. The mission of CSP is to promote the required to complete and sign a The purpose of the Statewide development of systems of care which Certification of Eligibility and provide Consumer Networks program is to help adults with serious mental illness necessary supportive documentation. enhance State capacity and recover, live independently and This certification will be provided in infrastructure to be consumer-centered productively in the community, and the application kit, available from the and targeted toward recovery and avoid inappropriate use of institutions. National Mental Health Information resiliency and consumer-driven by CSP helped to establish consumer and Center, and will also be posted on the promoting the use of consumers as family organizations throughout the SAMHSA Web page along with the agents of transformation. The program country. Today, nearly every State has NOFA. goals are to (1) strengthen organizational an active consumer organization Additional information regarding relationships; (2) promote skill dedicated to promoting systems of care eligibility, including program development with an emphasis on that are responsive to the needs of requirements and formatting leadership and business management; people with a serious mental illness. By requirements, is provided in the INF–04 and (3) identify technical assistance providing appropriate training and tools PA (MOD). needs of consumers and provide in the development of individualized Period of Support: Awards will be training and support to ensure that they mental health plans, understanding the made for project periods of up to three are the catalysts for transforming the need and use of accountability and years, with annual continuations mental health and related systems in evaluation measures, and the many depending on the availability of funds, their State. To achieve this goal, the other self-help, self-management skills, grantee progress in meeting program program assists consumer organizations consumers can provide the guidance goals and objectives, and timely around the country to work with and foresight into changing the present submission of required data and reports. policymakers and services providers to system to a recover-oriented system for Is Cost Sharing or Matching Required: improve services for consumers with a all peers and thereby ensuring the No. serious mental illness. The Program is implementation of the goals of the Final Exceptions to the INF–04 PA (MOD) designed to strengthen coalitions among Report of the President’s New Freedom and Other Special Requirements: The consumers, policymakers and service Commission on Mental Health. following information describes providers, recognizing that the Estimated Funding Available/Number exceptions or limitations to the INF–04 consumers are the best and most of Awards: It is expected that $1.5 PA (MOD) and provides special effective change agents. million will be available in FY 2004 to requirements that pertain only to the The Statewide Consumer Network fund approximately 20–22 awards of up Statewide Consumer Network Grants: grants will support State-level to $70,000 per year in total costs (direct • Review Criteria/Project Narrative— consumer-run organizations to assist and indirect), with a limit of one award Applicants for Statewide Consumer consumers to participate in the per State. It is expected that only Networks grants are required to address development of policies, programs, and Category 1—Small Infrastructure Grant the following requirements in the quality assurance activities related to awards, as defined in the INF–04 PA Project Narrative of their applications,

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in addition to the requirements Opportunities’’) and the INF–04 PA applications. For this reason, SAMHSA specified in the INF–04 PA (MOD): (MOD) is available electronically at has established certain formatting (1) In Section B, applicants must http://www.samhsa.gov/grants/2004/ requirements for its applications. If you describe how the primary focus of the standard/Infrastructure/index.asp. do not adhere to these requirements, proposed project will include work to When submitting an application, be your application will be screened out transform the system through specific sure to type ‘‘SM 04–003, Statewide and returned to you without review. In training and capacity building activities, Consumer Networks’’ in Item Number addition to these formatting and network and policy development 10 on the face page of the application requirements, programmatic that reflects the goals of the Final Report form. Also, SAMHSA applicants are requirements (e.g., relating to eligibility) of the President’s New Freedom required to provide a DUNS number on may be stated in the specific NOFA and Commission on Mental Health. the face page of the application. To in Section III of the standard grant (2) In Section B, applications must obtain a DUNS Number, access the Dun announcement. Please check the entire describe the applicant’s collaborations and Bradstreet Web site at http:// NOFA and Section III of the standard with other family and consumer www.dunandbradstreet.com or call 1– grant announcement before preparing networks, the State Director of 866–705–5711. your application. Consumer Affairs in the State office of Intergovernmental Review: Applicants [ballot] Use the PHS 5161–1 mental health (if applicable), consumers for this funding opportunity must application. on the State Planning Council, and other comply with Executive Order 12372 [ballot] Applications must be received disability groups. (E.O. 12372). E.O. 12372, as by the application deadline. (3) In Section C, applicants must implemented through Department of Applications received after this date describe the applicant’s organizational Health and Human Services regulation must have a proof of mailing date from mission and how its scope of work at 45 CFR Part 100, sets up a system for the carrier dated at least 1 week prior to reflects statewide focus on consumers State and local review of applications the due date. Private metered postmarks with a serious mental illness and for Federal financial assistance. are not acceptable as proof of timely promotes the concepts of consumer self- Instructions for complying with E.O. mailing. Applications not received by help; management plan and staffing. 12372 are provided in the INF–04 PA the application deadline or not • Performance Measurement—All (MOD). A current listing of State Single postmarked at least 1 week prior to the SAMHSA grantees are required to Points of Contact (SPOCs) is included in application deadline will not be collect performance data so that the application kit and is available at reviewed. SAMHSA can meet its obligations under http://www.whitehouse.gov/omb/grants/ [ballot] Information provided must be the Government Performance and spoc.html. sufficient for review. Results Act (GPRA). In Section D of Public Health System Impact [ballot] Text must be legible. their applications, applicants for the Statement: The Public Health System • Type size in the Project Narrative Statewide Consumer Networks Program Impact Statement (PHSIS) is intended to cannot exceed an average of 15 must document their ability to collect keep State and local health officials characters per inch, as measured on the and report data on all the following informed of proposed health services physical page. (Type size in charts, indicators: grant applications submitted by tables, graphs, and footnotes will not be • An increase in the number of community-based, non-governmental considered in determining compliance.) consumers served; and organizations within their jurisdictions. • Text in the Project Narrative cannot • An increase in the number of State and local governments and Indian exceed 6 lines per vertical inch. consumers and family members in tribal government applicants are not [ballot] Paper must be white paper planning, policy, and service delivery subject to the Public Health System and 8.5 inches by 11.0 inches in size. decisions by (a) having policies in place; Reporting Requirements. Instructions [ballot] To ensure equity among and (b) data on consumers and family for completing the PHSIS are provided applications, the amount of space member participation. in the INF–04 PA (MOD). allowed for the Project Narrative cannot SAMHSA will work with grantees to Application Review Information: be exceeded. finalize a standard methodology related SAMHSA applications are peer- • Applications would meet this to these indicators shortly after award. reviewed. For those programs where the requirement by using all margins (left, The data collection tool has not yet been individual award is over $100,000, right, top, bottom) of at least one inch developed. Grantees will be required to applications must also be reviewed by each, and adhering to the page limit for report performance data to SAMHSA on the Appropriate National Advisory Project Narrative stated in the standard an annual basis. Council. Decisions to fund a grant are grant announcement. Application and Submission based on the strengths and weaknesses • Should an application not conform Information: Complete application kits of the application as identified by the to these margin or page limits, SAMHSA may be obtained from: The National peer review committee and approved by will use the following method to Mental Health Information Center at 1– the National Advisory Council, and the determine compliance: The total area of 800–789–2647. When requesting an availability of funds. Unless other the Project Narrative (excluding application kit, the applicant must specified, SAMHSA intends to make not margins, but including charts, tables, specify the funding opportunity title more than one award per organization graphs and footnotes) cannot exceed and number for which detailed per funding opportunity in any given 58.5 square inches multiplied by the information is desired. All information fiscal year. page limit. This number represents the necessary to apply, including where to full page less margins, multiplied by the submit applications and application Checklist for Application Formatting total number of allowed pages. deadline instructions, are included in Requirements: • Space will be measured on the the application kit. The PHS 5161–1 SAMHSA’s goal is to review all physical page. Space left blank within application form is also available applications submitted for grant the Project Narrative (excluding electronically via SAMHSA’s World funding. However, this goal must be margins) is considered part of the Wide Web Home Page: http:// balanced against SAMHSA’s obligation Project Narrative, in determining www.samhsa.gov (Click on ‘‘Grant to ensure equitable treatment of compliance.

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[ballot] The page limit for Appendices fasteners. Nothing should be attached, Grants. Additional instructions and stated in the standard grant stapled, folded, or pasted. Do not use requirements specific to the Statewide announcement cannot be exceeded. heavy or light-weight paper or any Family Network Grants are described To facilitate review of your material that cannot be copied using below. application, follow these additional automatic copying machines. Odd-sized Funding Opportunity Title: Statewide guidelines. Failure to adhere to the and oversized attachments such as Family Network Grants. following guidelines will not, in itself, posters will not be copied or sent to Announcement Type: Modification. result in your application being reviewers. Do not include videotapes, Funding Opportunity Number: SM screened out and returned without audiotapes, or CD–ROMs. 04–004. review. However, the information Award Administration: Award Catalog of Federal Domestic provided in your application must be information, including information Assistance (CFDA) Number: 93.243. sufficient for review. Following these about award notices, administrative Due Date for Applications: April 7, 2004. You will be notified by postal guidelines will help ensure your requirements and reporting mail that your application has been application is complete, and will help requirements, is included in the INF–04 received. reviewers to consider your application. PA (MOD). • The 10 application components FOR FURTHER INFORMATION CONTACT: Risa [Note: Letters from State Single Point of required for SAMHSA applications Contact (SPOC) in response to E.O. 12372 are Fox, SAMHSA/Center for Mental Health due May 7, 2004.] should be included. Services, 5600 Fishers Lane, Room 11C– These are: 22, Rockville, MD 20857; 301–443– Funding Instrument: Grant. • Face Page (Standard Form 424, 3653; E-mail: [email protected]. Funding Opportunity Description: This is a republication of the Substance which is in PHS 5161–1) Dated: February 26, 2004. • Abstract Abuse and Mental Health Services Daryl Kade, • Table of Contents Administration’s Notice of Funding • Budget Form (Standard Form 424A, Director, Office of Planning, Policy and Availability SM 04–004. The purpose of Budget, Substance Abuse and Mental Health this republication is to revise the criteria which is in PHS 5161–1) Services Administration. • Project Narrative and Supporting used to screen out applications from Documentation [FR Doc. 04–4688 Filed 3–5–04; 8:45 am] peer review. These revised criteria are • Appendices BILLING CODE 4162–20–P consistent with the standard grant • Assurances (Standard Form 424B, announcement for Infrastructure Grants which is in PHS 5161–1) INF–04 PA (MOD). DEPARTMENT OF HEALTH AND • Certifications (a form in PHS 5161– These revisions can be found in this HUMAN SERVICES 1) document, in their entirety, in the • Disclosure of Lobbying Activities section on Eligible Applicants and the Substance Abuse and Mental Health Checklist of Formatting Requirements (Standard Form LLL, which is in PHS Services Administration 5161–1) and Screenout Criteria for SAMHSA • Checklist (a form in PHS 5161–1) Grant Applications. Fiscal Year (FY) 2004 Funding The deadline for applications has [ballot] Applications should comply Opportunity been extended to 30 days after the with the following requirements: publication of this Notice. ACTION: Notice of funding availability • Provisions relating to The Statewide Family Networks (NOFA) for Statewide Family Network confidentiality, participant protection program is one of SAMHSA’s Grants. and the protection of human subjects Infrastructure Grants programs. specified in Section IV–2.4 of the FY SAMHSA’s Infrastructure Grants 2004 standard funding announcements. Authority: Section 520 A of the Public provide funds to increase the capacity of • Budgetary limitations as specified Health Service Act, as amended and subject mental health and/or substance abuse to the availability of funds. in Section I, II, and IV–5 of the FY 2004 service systems to support programs and standard funding announcements. SUMMARY: The Substance Abuse and services. SAMHSA’s Infrastructure • Documentation of nonprofit status Mental Health Services Administration Grants are intended for applicants as required in the PHS 5161–1. (SAMHSA), Center for Mental Health seeking Federal support to develop or [ballot] Pages should be typed single- Services (CMHS) announces the enhance their service system spaced with one column per page. availability of FY 2004 funds for infrastructure in order to support [ballot] Pages should not have Statewide Family Network Grants. A effective substance abuse and/or mental printing on both sides. synopsis of this funding opportunity, as health service delivery. Statewide [ballot] Please use black ink and well as many other Federal Government Family Network Grants are intended for number pages consecutively from funding opportunities, is also available applicants seeking Federal support to beginning to end so that information can at the Internet site: http:// act as ‘‘Agents of Transformation’’ in be located easily during review of the www.grants.gov. developing or enhancing their service application. The cover page should be For complete instructions, potential system infrastructure in order to support page 1, the abstract page should be page applicants must obtain a copy of the effective substance abuse and/or mental 2, and the table of contents page should revised standard Infrastructure Grants health service delivery which is be page 3. Appendices should be Program Announcement [INF–04 PA consumer and family driven. The labeled and separated from the Project (MOD)], and the PHS 5161–1 (Rev. 7/00) Statewide Family Network Program is a Narrative and budget section, and the application form before preparing and critical part of the SAMHSA/CMHS pages should be numbered to continue submitting an application. The INF–04 effort to implement the President’s New the sequence. PA (MOD) describes the general Freedom Commission on Mental Health [ballot] Send the original application program design and provides Report. and two copies to the mailing address instructions for applying for all The purpose of the Statewide Family in the funding announcement. Please do SAMHSA Infrastructure Grants, Networks program is to enhance State not use staples, paper clips, and including Statewide Family Network capacity and infrastructure to be more

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oriented to the needs of children and exceed $70,000 in any year. The actual in addition to the requirements adolescents with serious emotional amount available for the awards may specified in the INF–04 PA (MOD): disturbances and their families. The vary, depending on unanticipated (1) In Section B, applicants must programs goals are to: (1) Strengthen program requirements and the number describe how the primary focus of the organizational relationships; (2) foster and quality of the applications received. proposed project will be on training leadership and business management All applicants are reminded that we capacity, network development (i.e., skills among families of children and cannot guarantee that sufficient funds with other consumer and family adolescents with serious emotional will be appropriated to permit SAMHSA organizations), organizational and disturbance; and (3) identify and to fund any applications. community readiness, and policy address the technical assistance needs Period of Support: Awards will be development to support best practices. of children and adolescents with serious made for project periods of up to three (2) In Section B, applicants must emotional disturbances and their years, with annual continuations describe the applicant’s collaborations families. To achieve this goal, the depending on the availability of funds, with other family and consumer program assists family members around grantee progress in meeting program networks, the State Director of the country to work with policy makers goals and objectives, and timely Consumer Affairs (if applicable), family and service providers to improve submission of required data and reports. representatives on the State Planning services for children and adolescents Eligible Applicants: Eligible Council, and other disability groups. (3) In Section C, applicants must with serious emotional disturbances and applicants are limited to the following, describe the applicant’s organizational their families. The Statewide Family rather than the Eligible Applicants mission and how its scope of work Networks Program is designed to ensure listed in the INF–04 PA (MOD): reflects statewide focus on families who that families are the catalysts for domestic private, nonprofit entities, have children, youth and adolescents up transforming the mental health and including faith-based entities, tribal to age 18 with a serious emotional, related systems in their State by family organizations, and currently behavior or mental disorder and are strengthening coalitions among family funded Statewide Family Networks currently receiving services, or up to age members, and between family members grantees that: (1) Are controlled and and policymakers and service providers, 25 with a serious emotional, behavior or managed by family members; (2) are mental disorder and are receiving recognizing that family members are the dedicated to the improvement of mental best and most effective change agents. transitional services from children to health services statewide; and (3) have adult services. Background: The Statewide Family a Board of Directors comprised of no Network Program builds on the work of (4) In Section C, applicants must less than 51 percent family members. describe the extent to which the The Child, Adolescent and Services SAMHSA is limiting eligibility to Systems Program (CASSP), which applicant’s Board of Directors includes family-controlled organizations because helped to establish a child and family family members whose children up to the goals of this grant program are to: focus in programs serving children and age 18 with a serious emotional, strengthen the capacity of families to act adolescents with serious emotional behavior or mental disorder and are as agents of transformation in disturbances around the county. Today, currently receiving services, or up to age influencing the type and amount of nearly every State has active family 25 with a serious emotional, behavior or services provided to them and to their organizations dedicated to promoting mental disorder and are receiving children who have a serious emotional systems of care that are responsive to transitional services from children to disturbance and to ensure that their the needs of children and adolescents adult services. mental health care is consumer and with serious emotional disturbances and (5) Applicants must clearly indicate their families. Although significant family driven. Applicants will be in their applications whether or not a progress has been made, further support required to complete and sign a youth leadership component is included will ensure self-sufficient, empowered Certification of Eligibility and provide in the proposed project. Applicants that networks that will effectively participate necessary supportive documentation. include a youth leadership component in State and local mental health services This certification will be provided in must include relevant information about planning and health care reform the application kit, available from the the youth leadership component in all activities related to improving National Mental Health Information sections of the Project Narrative and community-based services for children Center, and will also be posted on the Supporting Documentation. For and adolescents with serious emotional SAMHSA Web page along with the example, Section A must address the disturbances and their families. NOFA. Additional information need for a youth leadership component Estimated Funding Available/Number regarding eligibility, including program in the State where the project will be of Awards: It is expected that $2.8 requirements and formatting located, Section B must include a million will be available to fund 43 requirements, is provided in the INF–04 description of the proposed approach awards in FY 2004, with a limit of one PA (MOD). for implementing a youth leadership award per State. Only Category 1-Small Is Cost Sharing or Matching Required: component, Section C must include a Infrastructure Grant awards, as defined No. description of the staff, management in the INF–04 PA (MOD), will be made. Exceptions to the INF–04 PA (MOD) and related experience for the youth In general, these Category 1 awards are and Other Special Requirements: The leadership component, and Section D expected to be up to $60,000 per year following information describes must include a description of evaluation in total costs (direct and indirect). Up to exceptions or limitations to the INF–04 and data activities for the youth 22 grantees with projects that include a PA (MOD) and provides special leadership component. The budget for youth leadership component may requirements that pertain only to the the youth leadership component receive an additional $10,000 per year. Statewide Family Network Grants: provided in Section E must be Proposed budgets for applications • Review Criteria/Project Narrative— separately justified and may not exceed without a youth leadership component Applicants for Statewide Family $10,000. cannot exceed $60,000 in any year. Networks grants are required to address Performance Measurement—All Proposed budgets for applications with the following requirements in the SAMHSA grantees are required to a youth leadership component cannot Project Narrative of their applications, collect performance data so that

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SAMHSA can meet its obligations under requirements of E.O. 12372. Instructions mailing. Applications not received by the Government Performance and for complying with E.O. 12372 are the application deadline or not Results Act (GPRA). In Section D of provided in the INF–04 PA (MOD). A postmarked at least 1 week prior to the their applications, applicants for the current listing of State Single Points of application deadline will not be Statewide Family Networks program Contact (SPOCs) is included in the reviewed. must document their ability to collect application kit and is available at http:// [squ] Information provided must be and report data on the following www.whitehouse.gov/omb/grants/ sufficient for review. indicators: spoc.html. [squ] Text must be legible. • An increase of families served; and Public Health System Impact • Type size in the Project Narrative • An increase in the number of Statement: The Public Health System cannot exceed an average of 15 grantees that demonstrate inclusion of Impact Statement (PHSIS) is intended to characters per inch, as measured on the consumers [adolescents and young keep State and local health officials physical page. (Type size in charts, adults transitioning to adult services] informed of proposed health services tables, graphs, and footnotes will not be and family members in planning, grant applications submitted by considered in determining compliance.) policy, and service delivery decisions community-based, non-governmental • Text in the Project Narrative cannot through (a) having policies in place; and organizations within their jurisdictions. exceed 6 lines per vertical inch. (b) data on consumers [adolescents and State and local governments and Indian [squ] Paper must be white paper and young adults transitioning to adult tribal government applicants are not 8.5 inches by 11.0 inches in size. services] and family member subject to the Public Health System [squ] To ensure equity among participation. Reporting Requirements. Instructions applications, the amount of space SAMHSA will work with grantees to for completing the PHSIS are provided allowed for the Project Narrative cannot finalize a standard methodology related in the INF–04 PA (MOD). be exceeded. to these indicators shortly after award. Application Review Information: • Applications would meet this The data collection tool is yet to be SAMHSA applications are peer- requirement by using all margins (left, developed. Grantees will be required to reviewed. For those programs where the right, top, bottom) of at least one inch report performance data to SAMHSA on individual award is over $100,000, each, and adhering to the page limit for an annual basis. applications must also be reviewed by Project Narrative stated in the standard Application and Submission the Appropriate National Advisory grant announcement. Information: Complete application kits Council. Decisions to fund a grant are • Should an application not conform may be obtained from: the National based on the strengths and weaknesses to these margin or page limits, SAMHSA Mental Health Information Center at 1– of the application as identified by the will use the following method to 800–789–2647. When requesting an peer review committee and approved by determine compliance: The total area of application kit, the applicant must the National Advisory Council, and the the Project Narrative (excluding specify the funding opportunity title availability of funds. Unless other margins, but including charts, tables, and number for which detailed specified, SAMHSA intends to make not graphs and footnotes) cannot exceed information is desired. All information more than one award per organization 58.5 square inches multiplied by the necessary to apply, including where to per funding opportunity in any given page limit. This number represents the submit applications and application fiscal year. full page less margins, multiplied by the deadline instructions, are included in total number of allowed pages. the application kit. The PHS 5161–1 Checklist for Application Formatting • Space will be measured on the application form is also available Requirements physical page. Space left blank within electronically via SAMHSA’s World SAMHSA’s goal is to review all the Project Narrative (excluding Wide Web Home Page: http:// applications submitted for grant margins) is considered part of the www.samhsa.gov (Click on ‘‘Grant funding. However, this goal must be Project Narrative, in determining Opportunities’’) and the INF–04 PA balanced against SAMHSA’s obligation compliance. (MOD) is available electronically at to ensure equitable treatment of [squ] The page limit for Appendices http://www.samhsa.gov/grants/2004/ applications. For this reason, SAMHSA stated in the standard grant standard/Infrastructure/index.asp. has established certain formatting announcement cannot be exceeded. When submitting an application, be requirements for its applications. If you To facilitate review of your sure to type ‘‘SM 04–004, Statewide do not adhere to these requirements, application, follow these additional Family Networks’’ in Item Number 10 your application will be screened out guidelines. Failure to adhere to the on the face page of the application form. and returned to you without review. In following guidelines will not, in itself, Also, SAMHSA applicants are required addition to these formatting result in your application being to provide a DUNS number on the face requirements, programmatic screened out and returned without page of the application. To obtain a requirements (e.g., relating to eligibility) review. However, the information DUNS Number, access the Dun and may be stated in the specific NOFA and provided in your application must be Bradstreet Web site at http:// in Section III of the standard grant sufficient for review. Following these www.dunandbradstreet.com or call 1– announcement. Please check the entire guidelines will help ensure your 866–705–5711. NOFA and Section III of the standard application is complete, and will help Intergovernmental Review: Applicants grant announcement before preparing reviewers to consider your application. for this funding opportunity must your application. — The 10 application components comply with Executive Order 12372 [squ] Use the PHS 5161–1 application. required for SAMHSA applications (E.O. 12372). E.O.12372, as [squ] Applications must be received should be included. These are: implemented through Department of by the application deadline. • Face Page (Standard Form 424, which Health and Human Services regulation Applications received after this date is in PHS 5161–1) at 45 CFR Part 100, sets up a system for must have a proof of mailing date from • Abstract State and local review of applications the carrier dated at least 1 week prior to • Table of Contents for Federal financial assistance. the due date. Private metered postmarks • Budget Form (Standard Form 424A, Grantees must comply with the are not acceptable as proof of timely which is in PHS 5161–1)

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• Project Narrative and Supporting Dated: February 26, 2004. warranted, Federal funding under that Documentation Daryl Kade, program will also be limited to 75 percent of the total eligible costs. • Director, Office of Policy, Planning and Appendices Further, you are authorized to make Budget, Substance Abuse and Mental Health • changes to this declaration to the extent Assurances (Standard Form 424B, Services Administration. allowable under the Stafford Act. which is in PHS 5161–1) [FR Doc. 04–4689 Filed 3–5–04; 8:45 am] • Certifications (a form in PHS 5161–1) BILLING CODE 4162–20–P The Federal Emergency Management Agency (FEMA) hereby gives notice that • Disclosure of Lobbying Activities pursuant to the authority vested in the (Standard Form LLL, which is in PHS Under Secretary for Emergency 5161–1) DEPARTMENT OF HOMELAND SECURITY Preparedness and Response, Department • Checklist (a form in PHS 5161–1) of Homeland Security, under Executive —Applications should comply with Federal Emergency Management Order 12148, as amended, William M. the following requirements: Agency Lokey, of FEMA is appointed to act as the Federal Coordinating Officer for this • Provisions relating to [FEMA–1510–DR] declared disaster. confidentiality, participant protection I do hereby determine the following Oregon; Major Disaster and Related and the protection of human subjects areas of the State of Oregon to have been Determinations specified in Section IV–2.4 of the FY affected adversely by this declared 2004 standard funding announcements. AGENCY: Federal Emergency major disaster: • Budgetary limitations as specified Management Agency, Emergency Baker, Benton, Clackamas, Clatsop, in Section I, II, and IV–5 of the FY 2004 Preparedness and Response Directorate, Columbia, Deschutes, Douglas, Gilliam, Hood standard funding announcements. Department of Homeland Security. River, Jefferson, Lake, Lane, Lincoln, Linn, • Documentation of nonprofit status ACTION: Notice. Malheur, Marion, Morrow, Multnomah, Polk, Sherman, Tillamook, Umatilla, Union, as required in the PHS 5161–1. SUMMARY: This is a notice of the Wallowa, Wasco, and Yamhill Counties for —Pages should be typed single- Presidential declaration of a major Public Assistance. spaced with one column per page. disaster for the State of Oregon (FEMA– All counties within the State of —Pages should not have printing on 1510–DR), dated February 19, 2004, and Oregon are eligible to apply for both sides. related determinations. assistance under the Hazard Mitigation —Please use black ink and number EFFECTIVE DATE: February 19, 2004. Grant Program. pages consecutively from beginning to FOR FURTHER INFORMATION CONTACT: (The following Catalog of Federal Domestic end so that information can be located Magda Ruiz, Recovery Division, Federal Assistance Numbers (CFDA) are to be used easily during review of the application. Emergency Management Agency, for reporting and drawing funds: 97.030, The cover page should be page 1, the Washington, DC 20472, (202) 646–2705. Community Disaster Loans; 97.031, Cora abstract page should be page 2, and the Brown Fund Program; 97.032, Crisis SUPPLEMENTARY INFORMATION: Notice is Counseling; 97.033, Disaster Legal Services table of contents page should be page 3. hereby given that, in a letter dated Program; 97.034, Disaster Unemployment Appendices should be labeled and February 19, 2004, the President Assistance (DUA); 97.046, Fire Management separated from the Project Narrative and declared a major disaster under the Assistance; 97.048, Individual and budget section, and the pages should be authority of the Robert T. Stafford Household Housing; 97.049, Individual and numbered to continue the sequence. Disaster Relief and Emergency Household Disaster Housing Operations; Assistance Act, 42 U.S.C. 5121–5206 97.050 Individual and Household Program— —Send the original application and Other Needs, 97.036, Public Assistance two copies to the mailing address in the (the Stafford Act), as follows: – Grants; 97.039, Hazard Mitigation Grant funding announcement. Please do not I have determined that the damage in Program) use staples, paper clips, and fasteners. certain areas of the State of Oregon, resulting Michael D. Brown, Nothing should be attached, stapled, from severe winter storms on December 26, Under Secretary, Emergency Preparedness folded, or pasted. Do not use heavy or 2003, through January 14, 2004, is of and Response, Department of Homeland light-weight paper or any material that sufficient severity and magnitude to warrant Security. a major disaster declaration under the Robert cannot be copied using automatic [FR Doc. 04–5090 Filed 3–5–04; 8:45 am] copying machines. Odd-sized and T. Stafford Disaster Relief and Emergency BILLING CODE 9110–01–P oversized attachments such as posters Assistance Act, 42 U.S.C. 5121–5206 (the Stafford Act). I, therefore, declare that such will not be copied or sent to reviewers. a major disaster exists in the State of Oregon. Do not include videotapes, audiotapes, In order to provide Federal assistance, you DEPARTMENT OF THE INTERIOR or CD–ROMs. are hereby authorized to allocate from funds Award Administration: Award available for these purposes, such amounts as Fish and Wildlife Service information, including information you find necessary for Federal disaster assistance and administrative expenses. Information Collection Submitted to about award notices, administrative You are authorized to provide Public requirements and reporting the Office of Management and Budget Assistance in the designated areas and (OMB) for Approval Under the requirements, is included in the INF–04 Hazard Mitigation throughout the State, and PA (MOD). any other forms of assistance under the Paperwork Reduction Act; NEPA Compliance Checklist For Further Information Contact: Stafford Act you may deem appropriate. Consistent with the requirement that Federal Elizabeth Sweet, SAMHSA/CMHS, AGENCY: Fish and Wildlife Service, assistance be supplemental, any Federal Child, Adolescent and Family Branch, funds provided under the Stafford Act for Interior. Center for Mental Health Services, 5600 Public Assistance and Hazard Mitigation will ACTION: Notice; request for comments. Fishers Lane, Room 11C–16, Rockville, be limited to 75 percent of the total eligible MD 20857; 301–443–1333; E-mail: costs. If Other Needs Assistance under SUMMARY: The U.S. Fish and Wildlife [email protected]. Section 408 of the Stafford Act is later Service (We) has submitted the

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collection of information listed below to Compliance Checklist. We are percent of the Service’s applicants for OMB for approval under the provisions requesting a 3-year term of approval for either a new grant or for an amendment of the Paperwork Reduction Act. If you this information collection activity. to an existing grant will meet the criteria wish to obtain copies of the proposed Federal agencies may not conduct or and need to complete the NEPA information collection requirement, sponsor, and a person is not required to Compliance Checklist. The checklist related forms, or explanatory material, respond to, a collection of information needs to be prepared when: (a) The contact the Service Information unless it displays a currently valid OMB proposed action is not completely Collection Clearance Officer at the control number. The OMB control covered by a categorical exclusion (e.g., address listed below. number for this collection of the proposal cannot meet the qualifying DATES: You must submit comments by information is 1018–0110. criteria in the categorical exclusion, and April 7, 2004. The Service administers several grant ‘‘is not’’ will be checked on the programs authorized by the Federal Aid ADDRESSES: Submit your comments on Checklist); (b) The proposed action in Wildlife Restoration Act (16 U.S.C. this information collection renewal to cannot be categorically excluded 669–669i), the Federal Aid in Sport Fish the Desk Officer for the Department of because an exception to the categorical Restoration Act (16 U.S.C. 777–777k), the Interior at OMB–OIRA via facsimile exclusion applies (e.g., a ‘‘Yes’’ will be the Anadromous Fish Conservation Act or e-mail using the following fax checked on the Checklist); (c) (16 U.S.C. 757a–757g), the Endangered number or e-mail address: (202) 395– Environmental conditions at or in the Species Act (7 U.S.C. 136), the Clean 6566 (fax); OIRA—DOCKET@omb. vicinity of the site have materially Vessel Act (33 U.S.C. 1322), the eop.gov (e-mail). Please provide a copy changed, affecting the consideration of Sportfishing and Boating Safety Act (16 of your comments to the Fish and alternatives and impacts (applicable to U.S.C. 777g), North American Wetlands Wildlife Service’s Information amendments and renewals); (d) There is Conservation Act (16 U.S.C. 4401– Collection Clearance Officer, 4401 N. a need to document a normally 4412), the Coastal Wetlands Planning, Fairfax Dr., MS 222 ARLSQ, Arlington, categorically excluded action that may Protection and Restoration Act (16 VA 22203; (703) 358–2269 (fax); or be controversial; or (e) Additional U.S.C. 3951 et seq.), and through other anissa—[email protected] (e-mail). internal review and/or documentation Acts and authorities. The Service uses of the NEPA administrative record are FOR FURTHER INFORMATION CONTACT: To the information collected on the NEPA desirable. request a copy of the information Compliance Checklist to determine We are proposing several changes to collection request, explanatory whether a grantee complies with the the NEPA Compliance Checklist to information, or related forms, contact National Environmental Policy Act make the checklist easier to understand Anissa Craghead at (703) 358–2445, or (NEPA) (42 U.S.C. 4321–4347, 40 CRF and easier for the respondent to electronically to anissa— 1500–1508). The State or other grantee complete and to update the checklist [email protected]. uses the checklist as a guide to general based on revisions to our Departmental SUPPLEMENTARY INFORMATION: The Office NEPA requirements, and the checklist Manual. of Management and Budget (OMB) becomes an administrative record to Title: NEPA Compliance Checklist. regulations at 5 CFR 1320, which meet their assurances requirements for OMB Control Number: 1018–0110. implement provisions of the Paperwork receiving a grant. Form Number: 3–2185. Reduction Act of 1995 (44 U.S.C. 3501 Certain grant applicants must provide Frequency of Collection: Annually. et seq.), require that interested members the information requested on the NEPA Description of Respondents: The 50 of the public and affected agencies have Compliance Checklist in order to qualify U.S. States, the Commonwealth of an opportunity to comment on to receive benefits in the form of grants Puerto Rico, the District of Columbia, information collection and for purposes outlined in the applicable the Commonwealth of the Northern recordkeeping activities (see 5 CFR law. This form is designed to cause the Mariana Islands, Guam, the Virgin 1320.8(d)). We have submitted a request minimum impact in the form of hourly Islands, and American Samoa. to OMB to renew its approval of the burden on respondents and still obtain collection of information for the NEPA all necessary information. Only about 3 Total Annual Burden Hours

Completion time Annual number of Form name per form responses Annual hour burden

Checklist ...... 1⁄2 hour 160 80

We again invite comments on: (1) collection techniques or other forms of DEPARTMENT OF THE INTERIOR Whether the collection of information is information technology. Fish and Wildlife Service necessary for the proper performance of Dated: March 2, 2004. the functions of the agency, including Anissa Craghead, whether the information will have Information Collection Renewal practical utility; (2) the accuracy of our Information Collection Officer. Submitted to the Office of Management estimate of the burden of the collection [FR Doc. 04–5142 Filed 3–5–04; 8:45 am] and Budget (OMB) for Approval Under of information; (3) ways to enhance the BILLING CODE 4310–55–P the Paperwork Reduction Act; OMB quality, utility, and clarity of the Control Number 1018–0093, information to be collected; and (4) Applications for Permits ways to minimize the burden of AGENCY: Fish and Wildlife Service, collection of information on Interior. respondents, including through the use of appropriate automated, electronic, ACTION: Notice; request for comments. mechanical, or other technological

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SUMMARY: The U.S. Fish and Wildlife through 3–200–66, and 3–200–73; and for the proper performance of the Service (we) has submitted the (4) the deletion of form 3–200–38. We functions of the agency, including collection of information described are requesting a 3-year term of approval whether the information will have below to OMB for approval under the for this information collection activity. practical utility; (2) the accuracy of the provisions of the Paperwork Reduction A previous 60-day notice on this agency’s estimate of the burden of the Act of 1995. A description of the information collection requirement was collection of information; (3) ways to information collection requirement is published in the March 31, 2003, enhance the quality, utility and clarity included in this notice. If you wish to Federal Register (68 FR 15474) inviting of the information to be collected; and obtain copies of the information public comment. Comments were (4) ways to minimize the burden of the collection requirements, related forms, received from the American Zoo and collection of information on those who or explanatory material, contact the Aquarium Association (AZA). Many of are to respond. The information Service Information Collection their comments and suggestions were collections in this program are part of a Clearance Officer at the address or incorporated into the forms. This notice system of record covered by the Privacy telephone number listed below. provides an additional 30 days in which Act (5 U.S.C. 552 (a)). DATES: OMB has up to 60 days to to comment on the information Dated: March 2, 2004. approve or disapprove information collection. Anissa Craghead, collection but may respond after 30 Federal agencies may not conduct or days. Therefore, to ensure maximum sponsor, and a person is not required to Service Information Collection Officer. consideration, you must submit respond to, a collection of information [FR Doc. 04–5143 Filed 3–5–04; 8:45 am] comments on or before April 7, 2004. unless it displays a currently valid OMB BILLING CODE 4310–55–P ADDRESSES: Submit your comments on number. The OMB control number for this collection is 1018–0093. this information collection renewal to DEPARTMENT OF THE INTERIOR the Desk Officer for the Department of The information collection the Interior at OMB-OIRA via facsimile requirements in this submission Bureau of Land Management or e-mail using the following fax implement the regulatory requirements number or e-mail address: (202) 395– of the Endangered Species Act (16 [ID–933–4310–ET; GPO–04–0002; IDI–34424] 6566 (fax); OIRA— U.S.C. 1531 et seq.), the Migratory Bird [email protected] (e-mail). Please Treaty Act (16 U.S.C. 703 et seq.), the Notice of Public Meetings for a provide a copy of your comments to the Lacey Act (16 U.S.C. 3371 et seq.), the Caribou-Targhee National Forest Fish and Wildlife Service’s Information Bald and Golden Eagle Protection Act Proposed Withdrawal; ID Collection Clearance Officer, 4401 N. (16 U.S.C. 668), the Convention on Fairfax Dr., MS 222 ARLSQ, Arlington, International Trade in Endangered AGENCY: Bureau of Land Management, VA 22203; (703) 358–2269 (fax); or Species of Wild Fauna and Flora Interior. anissa—[email protected] (e-mail). (CITES) (27 U.S.T. 1087), the Marine ACTION: Notice. FOR FURTHER INFORMATION CONTACT: To Mammal Protection Act (16 U.S.C. SUMMARY: This notice announces the request a copy of the information 1361–1407 et seq.), and the Wild Bird time and place for three public meetings collection request, explanatory Conservation Act (16 U.S.C. 4901–4916 to be held in conjunction with the information, or related forms, contact et seq.), and are contained in Service Caribou-Targhee National Forest’s Anissa Craghead, Information Collection regulations in chapter I, subchapter B of proposed withdrawal of 7,131,56 acres Clearance Officer, at 703–358–2445 or title 50 Code of Federal Regulations to protect and preserve the Yellowstone electronically at Anissa— (CFR) parts 15, 16, 17, and 23. Common Cutthroat trout and the area’s historic [email protected], or Amy Brisendine permit applications and record keeping mining features. at 703–358–2104 ext. 2441, requirements have been consolidated in electronically at Amy— 50 CFR part 13, and unique DATES: Public meetings will be held on [email protected]. requirements of the various statutes in Tuesday, April 27, 2004 in Afton, SUPPLEMENTARY INFORMATION: The Office the applicable part. Wyoming at the Grays River Ranger of Management and Budget (OMB) OMB Control Number: 1018–0093. District Office located at 125 Service Form Numbers: 3–200–19 regulations at 5 CFR 1320, which Washington Street; Wednesday, April through 3–200–37, 3–200–39 through 3– implement provisions of the Paperwork 28, 2004 at the Soda Springs Ranger 200–53, 3–200–58, 3–200–64 through 3– Reduction Act of 1995 (44 U.S.C. 3501 District Office conference room, located 200–66, and 3–200–73. et seq.), require that interested members at 410 East Hooper Avenue, Soda Frequency of Collection: On occasion. Springs, Idaho; and Thursday, April 29, of the public and affected agencies have Description of Respondents: an opportunity to comment on 2004 in the Caribou-Targhee National Individuals, biomedical companies, Forest Supervisor’s Office conference information collection and record circuses, zoological parks, botanical keeping activities (see 5 CFR 1320.8(d)). room, 1405 Hillipark Drive, Idaho Falls, gardens, nurseries, museums, Idaho. All three meetings will be held We have submitted a request to OMB to universities, scientists, antique dealers, renew its approval of the collection of from 6 p.m. to 9 p.m. mountain standard exotic pet industry, hunters, time. information for: (1) The Service’s taxidermists, commercial importers/ ADDRESSES: All persons who wish to license/permit application form exporters of wildlife and plants, freight submit comments in connection with numbers 3–200–19 through 3–200–25 forwarders/brokers, and local, State, the proposed withdrawal should do so and 3–200–27 through 3–200–53, which tribal and Federal governments. are all currently approved under OMB Total Annual Responses: 9,307. in writing and send them to the Idaho control number 1018–0093; (2) the Total Annual Burden Hours: 6,746. State Director, BLM, Idaho State Office, placement of Service form 3–200–26, Total Annual Non-Hour Dollar Cost 1387 S. Vinnell Way, Boise, Idaho which is currently approved under Burden: $955,625. 83709. OMB control number 1018–0092, under We again invite comments concerning FOR FURTHER INFORMATION CONTACT: OMB control number 1018–0093; (3) the this renewal on: (1) Whether the Jackie Simmons, BLM, Idaho State addition of forms 3–200–58, 3–200–64 collection of information is necessary Office, 1387 S. Vinnell Way, Boise,

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Idaho 83709, 208–373–3867, or Steve Barstow Road, Barstow, California DEPARTMENT OF THE INTERIOR Robison, Caribou-Targhee National 92311. Forest, 1405 Hollipark Drive, Idaho FOR FURTHER INFORMATION CONTACT: Bureau of Land Management Falls, Idaho 83401, 208–236–7573. Richard Rotte, Realty Specialist, at the [ID–076–1220–BA] SUPPLEMENTARY INFORMATION: The address above or by telephone at (760) Notice of Proposed Withdrawal was 252–6026. Notice of Closure to Off-Highway published in the Federal Register on SUPPLEMENTARY INFORMATION: The land Vehicle Use in the Bennett Hills May 23, 2003, (68 FR 28251–28252). is described as follows: AGENCY: Bureau of Land Management, Notice is hereby given that three public San Bernardino Meridian, California meetings as provided for by Section 204 Interior. of the Federal Land Policy and T. 4 N., R. 2 E., ACTION: Notice to the public of closure Sec. 18: E1⁄2SE1⁄4; Management Act of 1976, 43 U.S.C. on public lands administered by the Sec. 22: NE1⁄4; 1714, (2000) will be held at the dates Bureau of Land Management, Shoshone The area described contains 240 acres in Field Office, Idaho. and times specified above. San Bernardino County, California. All persons who wish to submit comments in connection with the By virtue of the authority vested in SUMMARY: Notice is hereby given of the proposed withdrawal may present their the Secretary of the Interior by the R&PP issuance of an emergency motorized views in writing at the public meeting Act of June 14, 1926, as amended (43 closure in the Bennett Hills. Certain or to the Idaho State Director of the U.S.C. 869 et seq.), it is ordered as lands administered by the Bureau of Bureau of Land Management at the follows: Land Management (BLM) Shoshone 1. Pursuant to the regulations in 43 address above within 30 days after the Field Office are closed to off-highway CFR 2091.7–1(b)(1) and the authority public meetings. A complete legal vehicle (OHV) use and over-the-snow delegated by BLM Manual Section 1203 description is available from the Idaho vehicles, with the exception of (43 FR 85), the classification decision of State Office at the address shown above designated routes. A description of the July 15, 1983, which classified 280 acres or at the Caribou-Targhee National closed area is provided below. The of public land as suitable for recreation Forest office, 1405 Hollipark Drive, closure will remain in effect until such and public purposes under the Act of Idaho Falls, Idaho 83401. Public time as the authorized officer of the June 14, 1926, as amended (43 U.S.C. scoping, as part of the environmental Shoshone Field Office determines the 869 et seq.), under Serial Number analysis process required by the closure may be lifted, after the CACA13189, that 240 acre portion National Environmental Policy Act of snowmelts in the spring and designated which was not patented is hereby 1969, will be conducted concurrently at roads are dry. The closure is in revoked. the meetings. accordance with 43 CFR 8364.1. 2. At 8 a.m. on April 7, 2004, the land The withdrawal will continue to be FOR FURTHER INFORMATION CONTACT: The will be opened to the operation of the processed in accordance with the BLM Shoshone Field Office, 400 West F. public land laws generally, subject to regulations set forth in 43 CFR 2310.4. Street, Shoshone, ID 83352, telephone: valid existing rights, the provisions of (208) 732–7200. Jimmie Buxton, existing withdrawals, other segregations SUPPLEMENTARY INFORMATION: An of record, and the requirements of Branch Chief for Lands and Minerals. emergency motorized closure has gone applicable law. All valid application [FR Doc. 04–5096 Filed 3–5–04; 8:45 am] into effect in the Bennett Hills. The received at or prior to 8 am on April 7, BILLING CODE 4310–66–P motorized closure area consists of all 2004, shall be considered as BLM administered land within King simultaneous filed at that time. Those Hill creek on the west, below 5,000 feet received thereafter shall be considered DEPARTMENT OF THE INTERIOR elevation on the north, Highway 93 on in the order of filing. Bureau of Land Management 3. At 8 a.m. on April 7, 2004, the land the east, and Highway 26 on the south. will be opened to location and entry Designated routes that remain are [CA–680–04–1430–ES; CACA–13189] under the United States mining laws, identified on a detailed map available at subject to valid existing rights; the the Shoshone Field Office. The BLM Termination of a Recreation and Public provisions of existing withdrawals; Shoshone Field Office coordinated with Purposes (R&PP) Classification and an other segregations of record; and the the Idaho Department of Fish and Game Order Providing for Opening of Land; requirements of applicable law. to identify crucial big game winter range California Appropriation of any of the land that is now closed to motorized travel. described in this order under the Due to the harsh winter and deep snow AGENCY: Bureau of Land Management pack, big game are congregating on (BLM), Interior. general mining laws prior to the date and time of restoration is unauthorized. historic winter range areas and ACTION: Order. State law governs acts required to experiencing additional stress. establish a location and to initiate a Throughout the Bennett Hills, SUMMARY: This order terminates a BLM motorized travel, including R&PP classification affecting 240 acres right of possession where not in conflict with Federal law. BLM will not snowmobiles, is restricted to designated of public land near Lucerne Valley, routes and county roads which enable California. Termination of the intervene in disputes between rival locators over possessory rights since motorized access to higher elevation classification will open the land to the areas, above 5,000 feet. These upper public land laws generally, including Congress has provided for such determinations in local courts. elevation areas are typically not used by the mining laws. The land has been and big game animals in the winter and remains open to mineral leasing. Dated: January 12, 2004. therefore can still be accessed and DATES: The termination/opening order is Harold E. Johnson, remain open to over-the-snow vehicles. effective April 7, 2004. Acting Field Manager, Barstow Field Office. The BLM advises public land users to ADDRESSES: Bureau of Land [FR Doc. 04–5095 Filed 3–5–04; 8:45 am] avoid wildlife if encountered in these Management, Barstow Field Office, 2601 BILLING CODE 4310–40–P open areas.

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The area of the closure includes BLM land use planning and would be in the DEPARTMENT OF THE INTERIOR lands, specifically described wholly or public interest. partially: The lease or patent, when issued, Bureau of Land Management Boise Meridian would be subject to the following terms, [ES–032–4–1430–ES] T. 3 S., to T. 5 S and R. 11 E., to R. 18 E. conditions, and reservations: The motorized closure area consists of 1. Provisions of the Recreation and Realty Action; Recreation and Public all BLM administered land within these Public Purposes Act and all applicable Purpose Act Classification; Benzie boundaries: King Hill creek on the west, regulations of the Secretary of the County, MI below 5,000 feet elevation on the north, Interior. AGENCY: Highway 93 on the east, and Highway 26 Bureau of Land Management, on the south. 2. A right-of-way for ditches and Interior. canals constructed by the authority of Detailed maps of the area closed to OHV ACTION: Notice of realty action; and recreational use are available at the the United States. Recreation and Public Purposes Act Shoshone Field Office at the address above. 3. All minerals shall be reserved to (R&PP) Classification; Michigan. the United States. Dated: January 13, 2004. SUMMARY: The following public lands 4. Any other valid and existing rights Bill Baker, near the community of Frankfort in of record not yet identified. Shoshone Field Manager. Benzie County, Michigan have been [FR Doc. 04–5093 Filed 3–5–04; 8:45 am] The land will be segregated from all examined and found suitable for BILLING CODE 4310–GG–P other forms of appropriation under the classification for lease or conveyance to public land laws, including the general Benzie County, under the provisions of mining laws and leasing under the the Recreation and Public Purposes DEPARTMENT OF THE INTERIOR mineral leasing laws, except for leasing (R&PP) Act of 1926, as amended (43 or conveyance under the Recreation and U.S.C. 869 et seq.). Therefore, in Bureau of Land Management Public Purposes Act on March 8, 2004. accordance with Section 7 of the Act of [AZ–010–03–1430–ES; AZA–31954] For a period until April 22, 2004, June 28, 1934, as amended (43 U.S.C. interested persons may submit 315f) and EO 6964, the following Notice of Realty Action; Recreation comments regarding the proposed described lands are hereby classified as and Public Purposes Classification; classification, leasing or conveyance of suitable for disposal under the Arizona the land to the Field Manager, Arizona provisions of the R&PP Act of 1926, as Strip Field Office Bureau of Land amended (43 U.S.C. 869 et seq.) and, AGENCY: Bureau of Land Management, Management, Arizona Strip Field Office, accordingly, opened for only that Interior. 345 E. Riverside Drive, St. George, UT purpose. ACTION: Notice of realty action. 84790. Classification Comments: Interested Michigan Meridian SUMMARY: The public land listed below, parties may submit comments involving T. 26 N., R. 16 W. located in Coconino County, Arizona, the suitability of the land for a shooting Lot 10 and Lot 12, Section 4. near the community of Fredonia has range facility. Comments on the The area described contains 4.05 acres in been examined and found suitable for classification are restricted to whether Benzie County classification for lease or conveyance to the land is physically suited for the the town of Fredonia under the Benzie County proposes to manage proposal, whether the use will the lands as a historic site. This action provisions of the Recreation and Public maximize the future use or uses of the Purposes Act. classifies the lands identified above for land, whether the use is consistent with disposal through the R&PP Act of 1926 FOR FURTHER INFORMATION CONTACT: You local planning and zoning, or if the use (43 U.S.C. 869 et seq.) to protect the may contact Linda Barwick, on (435) is consistent with State and Federal historic lighthouse, lighthouse related 688–3287. programs. structures and the surrounding lands. SUPPLEMENTARY INFORMATION: The Application Comments: Interested The subject land was identified in the following public land, located in parties may submit comments regarding Michigan Resource Management Plan Coconino County, Arizona, near the the specific use proposed in the Amendment, approved June 30, 1997, as community of Fredonia has been application, whether the BLM followed not needed for Federal purposes and examined and found suitable for proper administrative procedures in having potential for disposal to protect classification for lease or conveyance to reaching the decision, or any other the historic structures and surrounding the town of Fredonia under the factor not directly related to the lands. Lease or conveyance of the land provisions of the Recreation and Public suitability of the land for a shooting for recreational and public purpose use Purposes Act, as amended (43 U.S.C. range. would be in the public interest. Detailed 869 et. seq.): Any adverse comments will be information concerning this action is Gila and Salt River Meridian, Arizona reviewed by the State Director. In the available for review at the office of the T. 41 N., R. 2 W., absence of any adverse comments, the Bureau of Land Management, Sec. 22, W1⁄2NW1⁄4NE1⁄4NE1⁄4; NW1⁄4S classification will become effective May Milwaukee Field Office, Wisconsin. W1⁄4SW1⁄4NE1⁄4NE1⁄4; N1⁄2NW1⁄4NE1⁄4; 7, 2004. FOR FURTHER INFORMATION CONTACT: Paul N1⁄2 S1⁄2NW1⁄4NE1⁄4; N1⁄2 NE1⁄4NW1⁄4; J. Salvatore, Realty Specialist, Bureau of 1 1 1 1 SUPPLEMENTARY INFORMATION: A plan of N ⁄2S ⁄2 NE ⁄4NW ⁄4. Land Management (BLM), Milwaukee Containing 65.625 acres, more or less. development for the shooting range is on file in the Arizona Strip Field Office. Field Office, 626 East Wisconsin The town of Fredonia proposes to use Avenue, Suite 200, Milwaukee, the land to construct, operate and Roger G. Taylor, Wisconsin 53202, (414) 297–4413. maintain a shooting range. Leasing or Field Manager. SUPPLEMENTARY INFORMATION: Pursuant conveying title to the affected public [FR Doc. 04–5089 Filed 3–5–04; 8:45 am] to Executive Order dated July 24, 1875, land is consistent with current BLM BILLING CODE 4310–32–P a parcel of public land totaling 9.52

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acres located in Benzie County was Wisconsin Avenue, Suite 200, Manager, 1235 La Plata Highway, Suite reserved for lighthouse purposes. The Milwaukee, Wisconsin 53202. A, Farmington, New Mexico 87401 who parcel contained the Point Betsie Light Classification Comments: Interested may sustain, vacate, or modify this Station located on the eastern shore of parties may submit comments involving realty action, will review any adverse Lake Michigan near the city of the suitability of the land for R&PP Act comments. In the absence of any Frankfort. The original parcel has classification, and particularly, whether adverse comments, this realty action subsequently been resurveyed and the land is physically suited for becomes the final determination of the divided into three (3) separate lots: Lot management as a historic site, whether Department of the Interior and effective 10—1.70 acres, Lot 11—3.52 acres and the use will maximize future use or uses on May 7, 2004. Lot 12—2.35 acres. of the land, whether the use is FOR FURTHER INFORMATION CONTACT: The Department of Transportation, consistent with local planning and Kathy Ollom, Realty Specialist, at the United States Coast Guard, submitted a zoning, or if the use is consistent with Bureau of Land Management, Notice of Intent (NOI) to relinquish state and Federal programs. Farmington Field Office, (505) 599– custody, accountability and control of Application Comments: Interested 8914. Information related to this action, Lot 10 on January 6, 1984. A second parties may submit comments regarding including the environmental NOI to relinquish custody, the specific use proposed in the assessment, is available for review at the accountability and control was application, the development plan, the Bureau of Land Management, submitted for Lot 12 on August 12, management plan, whether the BLM Farmington Field Office, 1235 La Plata 1998. The BLM has recommended that followed proper administrative Highway, Farmington, NM 87401. Lot 10 and Lot 12 be determined procedures in reaching the decision, or SUPPLEMENTARY INFORMATION: The City suitable for return to their former status any other factor not directly related to of Farmington has proposed to use the as public lands, such determination to the suitability of the land for land for a neighborhood park. be made by the Secretary of the Interior management as a historic site. and accomplished by the issuance of a Any adverse comments will be New Mexico Principal Meridian public land order partially revoking the evaluated by the State Director who may T. 29 N., R. 14 W. Executive Order. Public land order 7249 sustain, vacate, or modify this realty Sec. 11, lots 1 and 3. dated March 18, 1997, returned Lot 10 action. In the absence of any adverse Containing 10.09 acres, more or less. to its former status as public land. A comments, the classification will Publication of this notice segregates proposed public land order to return Lot become effective 60 days from the date the public land described above from all 12 to its former status as public land of publication of this notice in the other forms of appropriation under the currently is pending and awaiting action Federal Register. public land laws, including the general within the Department. Dated: January 20, 2004. mining laws, except for leasing and Benzie County has applied for patent conveyance under the Recreation and to the land under the R&PP Act of 1926. Chris E. Hanson, The lease/patent when issued, will be Acting Milwaukee Field Manager. Public Purposes Act and leasing under the mineral leasing laws for a period subject to the following terms, [FR Doc. 04–5097 Filed 3–5–04; 8:45 am] until March 8, 2006. The segregative conditions and reservations: BILLING CODE 4310–PN–P 1. Provisions of the Recreation and effect will terminate upon issuance of Public Purposes Act of 1926, as the patent to City of Farmington, or amended and to all applicable DEPARTMENT OF THE INTERIOR March 8, 2006, whichever occurs first. The lease, when issued, will be regulations of the Secretary of the Bureau of Land Management subject to the following terms: Interior. 1. Provisions of the Recreation and 2. Valid existing rights. [NM–070–1430–01; NMNM 108654] 3. All minerals are reserved to the Public Purposes Act and to all applicable regulations of the Secretary United States, together with the right to Notice of Realty Action—Recreation of the Interior. prospect for, mine and remove the and Public Purpose (R&PP) Act 2. Provisions of the Resource minerals. Classification, San Juan County, NM Conservation and Recovery Act of 1976 4. Terms and conditions identified (RCRA) as amended, 42 U.S.C. 6901– through the site-specific environmental AGENCY: Bureau of Land Management, 6987 and the Comprehensive analysis. Interior. Environmental Response, Compensation 5. Any other rights or reservations ACTION: Notice of realty action. that the authorized officer deems and Liability Act of 1980 (CERCLA) as appropriate to ensure public access and SUMMARY: The following described amended, 42 U.S.C. 9601 and all proper management of Federal lands public lands in San Juan County, New applicable regulations. 3. Provisions of Title VI of the Civil and interest therein. Mexico have been examined and found Rights Act of 1964. Upon publication of this notice in the suitable for classification for lease or 4. Provisions that the lease be Federal Register, the above described conveyance to the City of Farmington operated in compliance with the lands will be segregated from all forms under the provisions of the Recreation and Public Purposes (R&PP) Act, as approved Development Plan. of disposal or appropriation under the The patent, when issued, will be amended (43 U.S.C. 869 et seq.). City of public land laws, except for lease or subject to the following terms: Farmington proposes to use the land for conveyance under the Recreation and 1. Reservation to the United States of Public Purposes Act and leasing under a neighborhood park. a right-of-way for ditches and canals in the mineral leasing laws. For a period of DATES: Interested parties may submit accordance with 43 U.S.C. 945. 45 days after issuance of this notice, comments regarding the proposed 2. Reservation to the United States of interested parties may submit comments leasing/conveyance or classification of all minerals. regarding the proposed conveyance or the lands to the Bureau of Land 3. All valid existing rights, e.g. rights- classification of the lands to the Field Management at the following address of-way and leases of record. Manager, Milwaukee Field Office, until April 22, 2004. The Bureau of 4. Provisions that if the patentee or its Bureau of Land Management, 626 East Land Management, Farmington Field successor attempts to transfer title to or

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control over the land to another or the FOR FURTHER INFORMATION CONTACT: supplementary rules under the authority land is devoted to a use other than that Nancy Anderson, Missoula Field Office, of 43 CFR 8365.1–6. for which the land was conveyed, 3255 Fort Missoula Road, Missoula, IV. Procedural Matters: Executive without the consent of the Secretary of Montana 59804, (406) 329–3914. Order 12866, Regulatory Planning and the Interior or his delegate, or prohibits SUPPLEMENTARY INFORMATION: Review or restricts, directly or indirectly, or I. Comments permits its agents, employees, II. Background These supplementary rules are not a contractors, or subcontractors, including III. Discussion of Supplementary Rules significant regulatory action and are not without limitation, lessees, sublessees IV. Procedural Matters subject to review by Office of Management and Budget under and permittees, to prohibit or restrict, I. Comments directly or indirectly, the use of any part Executive Order 12866. These of the patented lands or any of the No comments received. supplementary rules would not have an facilities whereon by any person II. Background effect of $100 million or more on the because of such person’s race, creed, economy. They are not intended to The Blackfoot River Recreation color, or national origin, title shall affect commercial activity, but contain Corridor is a multi-cooperative revert to the United States. rules of conduct for public use of certain partnership consisting of private Leasing and patenting is consistent recreational areas. They will not landowners, Montana Department of with current Bureau of Land adversely affect, in a material way, the Fish, Wildlife and Parks, and the Bureau Management policies and land use economy, productivity, competition, of Land Management (BLM). This planning. The proposal serves the jobs, the environment, public health or partnership was established in the public interest since it would provide a safety, or state, local, or tribal 1970s to provide protection of natural neighborhood park for the surrounding governments or communities. These resources and private property and to public use. supplementary rules would not create a provide public safety along 26 miles of serious inconsistency or otherwise Dated: October 23, 2003. free flowing Blackfoot River. interfere with an action taken or Joel E. Farrell, In its June 1997 Lower Blackfoot River planned by another agency. The Acting Field Office Manager. Assembled Land Exchange supplementary rules would not alter the [FR Doc. 04–5098 Filed 3–5–04; 8:45 am] Environmental Assessment (MT–074– budgetary effects of entitlements, grants, BILLING CODE 4310–FB–P 07–06), the BLM stated that ‘‘recreation user fees, or loan programs or the right along the Blackfoot River would or obligations of their recipients; nor do continue to be managed under the they raise novel legal or policy issues. DEPARTMENT OF THE INTERIOR existing Blackfoot River Recreation Corridor Landowner’s Agreement.’’ National Environmental Policy Act Bureau of Land Management In 1998, the BLM began acquiring The BLM has prepared an [MT–100–1220–AF] land within the corridor. The BLM now environmental assessment (EA) and has manages approximately 12,000 acres of found that the supplementary rules Final Supplementary Rules for the land upstream from Johnsrud Park. would not constitute a major Federal Lower Blackfoot River Corridor; Since 1999, the BLM has managed action significantly affecting the quality Montana this area under an interim restriction of the human environment under order (43 CFR 8364.1 (d). This order section 102(2)(C) of the Environmental AGENCY: Bureau of Land Management, contains prohibited acts related to Protection Act of 1969 (NEPA), 42 Interior. camping, motor vehicle use, public U.S.C. 4332(2)(C). The supplementary ACTION: Final supplementary rules for safety, and resource protection. rules merely contain rules of conduct recreation use of public lands along the In 2001, the BLM completed the for certain recreational lands in Blackfoot River and McNamara Road, Lower Blackfoot Corridor Montana. These rules are designed to Missoula County, Montana. Environmental Assessment. You may protect the environment and the public obtain the Environmental Assessment, health and safety. A detailed statement SUMMARY: This notice contains final upon which these supplementary rules under NEPA is not required. BLM has supplementary rules incorporating are based, from the Missoula Field placed the EA and the Finding of No restrictions on recreation use on public Office. Significant Impact (FONSI) on file in the lands located within one-quarter mile The lands affected by these rules are BLM Administrative Record at the on either side of the Blackfoot River public lands in Missoula County, address specified in the ADDRESSES and/or McNamara Road extending from Montana, in the following sections: section. Johnsrud Park upstream for approximately 10 miles. The final T. 14 N., R. 15 W., Secs. 18 and 19. Regulatory Flexibility Act T. 13 N., R. 16 W., Secs. 4, 5, and 6. supplementary rules are necessary to Congress enacted the Regulatory address resource protection needs T. 14 N., R. 16 W., Secs. 13 and 14, 20 to 29, inclusive, 32 and 33. Flexibility Act (RFA) of 1980, as identified in the Lower Blackfoot amended, 5 U.S.C. 601–612, to ensure Corridor Environmental Assessment, III. Discussion of Supplementary Rules that Government regulations do not MT–100–00–02. Implementing these supplementary unnecessarily or disproportionately EFFECTIVE DATE: The final rules are rules will establish consistency with the burden small entities. The RFA requires effective on April 7, 2004. existing Montana Department of Fish, a regulatory flexibility analysis if a rule ADDRESSES: Field Manager, Bureau of Wildlife and Parks’ Blackfoot River would have a significant economic Land Management, Missoula Field Recreation Corridor rules. The impact, either detrimental or beneficial, Office, 3255 Fort Missoula Road, supplementary rules are consistent with on a substantial number of small Missoula, Montana 59804. You may also the interim restriction order and are entities. The supplementary rules do not contact the BLM by internet e-mail at supported by the Lower Blackfoot pertain specifically to commercial or the following address: MT—Missoula— Corridor Environmental Assessment governmental entities of any size, but to [email protected]. MT–100–00–02. BLM is finalizing these public recreational use of specific

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public lands. Therefore, BLM has supplementary rules do not have Department of Fish, Wildlife and Parks), determined under the RFA that these sufficient Federalism implications to or engage in other recreational shooting proposed supplementary rules would warrant preparation of a Federalism including, but not limited to, plinking, not have a significant economic impact Assessment. target shooting, or shooting varmints, on a substantial number of small etc. Executive Order 12988, Civil Justice entities. f. Use of a firework. Reform g. Violate a posted regulation Small Business Regulatory Enforcement Under Executive Order 12988, the pertaining to the protection of natural Fairness Act (SBREFA) Office of the Solicitor has determined resources or public safety. These supplementary rules do not that these supplementary rules would h. Occupy or camp at an area longer constitute a ‘‘major rule’’ as defined at not unduly burden the judicial system than 7 days during any 30-day period. 5 U.S.C. 804(2). Again, the and that they meet the requirements of Sec. 2 Exemptions From the supplementary rules merely contain sections 3(a) and 3(b)(2) of the Order. rules of conduct for recreational use of Supplementary Rules certain public lands. The supplementary Executive Order 3175, Consultation and Persons who are exempt from these rules have no effect on business, Coordination With Indian Tribal supplementary rules include any commercial or industrial, use of the Governments Federal, state, or local officer, and public lands. In accordance with Executive Order members of any organized search and 13175, we have found that these rescue team or firefighting force in Unfunded Mandates Reform Act supplementary rules do not include performance of an official duty, BLM These supplementary rules would not policies that have tribal implications. employees on official administrative impose an unfunded mandate on state, The supplementary rules contain only business, and any person authorized by local, or tribal governments or the rules of conduct for recreation use of the BLM. private sector of more than $100 million certain public lands managed by BLM. per year; nor would these Sec. 3 Penalties supplementary rules have a significant Paperwork Reduction Act Under section 303(a) of the Federal or unique effect on state, local or tribal These supplementary rules do not Land Policy and Management Act of governments or the private sector. The contain information collection 1976 (43 U.S.C. 1733 (a)) and 43 CFR supplementary rules would not require requirements that the Office of 8360.0–7, any person who violates any anything of state, local, or tribal Management and Budget must approve of these supplementary rules on public governments. Therefore, BLM is not under the Paperwork Reduction Act, 44 lands within the boundaries established required to prepare a statement U.S.C. 3501 et. seq. in the rules may be tried before a United containing the information required by States Magistrate and fined no more Author the Unfunded Mandates Reform Act (2 than $1000 or imprisoned for no more U.S.C. 1531 et seq.). The principal author of these than 12 months, or both. Such supplementary rules is BLM Ranger violations may also be subject to the Executive Order 12630, Governmental Anthony Lue of the Missoula Field enhanced fines provided for by 18 Actions and Interference With Office, BLM, assisted by Ted Hudson of U.S.C. 3571. Constitutionally Protected Property the Regulatory Affairs Group, Dated: January 30, 2004. Rights (Takings) Washington Office, BLM. The supplementary rules do not Under the authority of 43 CFR Martin C. Ott, represent a government action capable 8365.1–6, BLM issues the following State Director, Montana State Office. of interfering with constitutionally supplementary rules on public lands of [FR Doc. 04–5094 Filed 3–5–04; 8:45 am] protected property rights. The the Blackfoot River Corridor one-quarter BILLING CODE 4310–$$–P supplementary rules do not address mile on either side of the Blackfoot property rights in any form, and do not River and/or McNamara Road. cause the impairment of anybody’s DEPARTMENT OF THE INTERIOR Sec. 1 Prohibited Acts property rights. Therefore, the Minerals Management Service Department of the Interior has On public lands in Secs. 18 and 19, determined that the supplementary T. 14 N., R. 15 W., Secs. 4, 5, and 6, T. Agency Information Collection rules would not cause a taking of private 13 N., R. 16 W., and Secs. 13 and 14, Activities: Proposed Collection; property or require further discussion of 20 to 29, inclusive, 32 and 33, T. 14 N., Comment Request takings implications under this R. 16 W., Principal Meridian, Montana, Executive Order. that are within one-quarter mile on AGENCY: Minerals Management Service either side of the Blackfoot River or (MMS), Interior. Executive Order 13132, Federalism McNamara Road, or both, you must not: ACTION: Notice of extension of an The supplementary rules would not a. Camp outside of designated sites or information collection (1010–0106). have a substantial direct effect on the areas. states, on the relationship between the b. Light or maintain a fire except in SUMMARY: To comply with the national government and the states, or designated areas or established by Paperwork Reduction Act of 1995 on the distribution of power and government fire rings. (PRA), MMS is inviting comments on a responsibilities among the various c. Operate a motor vehicle off a collection of information that we will levels of government. The designated trail, road or route. submit to the Office of Management and supplementary rules would affect land d. Collect firewood for other than on- Budget (OMB) for review and approval. in only one state, Montana, and do not site use. You may burn only dead and The information collection request (ICR) address jurisdictional issues involving down wood. concerns the paperwork requirements in the state government. Therefore, in e. Discharge a firearm or projectile the regulations under ‘‘30 CFR Part 253, accordance with Executive Order 13132, (except for legal game hunting purposes Oil Spill Financial Responsibility for BLM has determined that these as established by the Montana Offshore Facilities.’’

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DATES: Submit written comments by process; and persons to contact. To layer of insurance. The form provides May 7, 2004. collect most of the information, MMS pertinent information about the ADDRESSES: Mail or hand-carry developed standard forms. The forms insurer(s) and designates a U.S. agent comments to the Department of the and their purposes are: for service of process. This form must be Interior; Minerals Management Service; Form MMS–1016, Designated submitted at the beginning of the term Attention: Rules Processing Team; Mail Applicant Information Certification: of the insurance coverage for the Stop 4024; 381 Elden Street; Herndon, The designated applicant uses this form designated applicant’s COFs. Virginia 20170–4817. If you wish to e- to provide identifying information Form MMS–1020, Surety Bond: Each mail comments, the e-mail address is: (company legal name, address, contact bonding company that issues a surety [email protected]. Reference name and title, telephone numbers) and bond for the designated applicant must ‘‘Information Collection 1010–0106’’ in to summarize the OSFR evidence. This complete this form indicating the your e-mail subject line and mark your form is required for each new OSFR amount of surety and effective dates. message for return receipt. Include your Certification application. The form provides pertinent name and return address in your Form MMS–1017, Designation of information about the bonding company message. Applicant: When there is more than one and designates a U.S. agent for service responsible party for a COF, they must of process for the amount evidenced by FOR FURTHER INFORMATION CONTACT: select a designated applicant. Each the surety bond. This form must be Arlene Bajusz, Rules Processing Team, responsible party, as defined in the submitted at the beginning of the term (703) 787–1600. You may also contact regulations, must use this form to notify of the surety bond for the named Arlene Bajusz to obtain a copy, at no MMS of the designated applicant. This designated applicant. cost, of the regulations that require the form is also used to designate the U.S. Form MMS–1021, Covered Offshore subject collection of information. agent for service of process for the Facilities: The designated applicant SUPPLEMENTARY INFORMATION: responsible party(ies) should claims submits this form to identify the COFs Title: 30 CFR Part 253, Oil Spill from an oil-spill discharge exceed the to which the OSFR evidence applies. Financial Responsibility for Offshore amount evidenced by the designated The form identifies each COF by State Facilities. applicant; identifies and provides or OCS region; lease, permit, right of use OMB Control Number: 1010–0106. pertinent information about the and easement, or pipeline number; Abstract: Title I of the Oil Pollution responsible party(ies); and lists the aliquot section; area name; block Act of 1990 (OPA) (33 U.S.C. 2701 et covered offshore facilities for which the number; and potential worst case oil- seq.), as amended by the Coast Guard designated applicant is responsible for spill discharge. This form is required to Authorization Act of 1996 (Pub. L. 104– OSFR certification. The form identifies be submitted with each new OSFR 324), provides at section 1016 that oil each COF by State or OCS region; lease, Certification application which includes spill financial responsibility (OSFR) for permit, right of use and easement, or COFs. offshore facilities be established and pipeline number; aliquot section; area Form MMS–1022, Covered Offshore maintained according to methods name; and block number. This form Facility Changes: During the term of the determined acceptable to the President. must be submitted with each new issued OSFR Certification, the Section 1016 of OPA supersedes the OSFRC application in which there is at designated applicant submits changes to offshore facility OSFR provisions of the least one responsible party who is not the current COF listings on this form, Outer Continental Shelf Lands Act the designated applicant for a COF. including changes to the worst case oil- Amendments of 1978. These authorities Form MMS–1018, Self-insurance or spill discharge for a COF. This form and responsibilities are among those Indemnity Information: This form is must be submitted when identified delegated to MMS under which we used if the designated applicant is self- changes occur during the term of an issue regulations governing oil and gas insuring or using an indemnity as OSFR OSFR Certification. and sulphur operations in the OCS. This evidence. As appropriate, either the We will protect information from information collection request addresses designated applicant or the designated respondents considered proprietary the regulations at 30 CFR Part 253, Oil applicant’s indemnitor completes the under the Freedom of Information Act Spill Financial Responsibility for form to indicate the amount of OSFR (5 U.S.C. 552) and its implementing Offshore Facilities, and the associated coverage and effective and expiration regulations (43 CFR part 2) and under supplementary notices to lessees and dates. The form also provides pertinent regulations at 30 CFR 250.196, ‘‘Data operators intended to provide information about the self-insurer or and information to be made available to clarification, description, or explanation indemnitor and is used to designate a the public.’’ No items of a sensitive of these regulations. U.S. agent for service of process for nature are collected. Responses are The MMS will use the information claims up to the evidenced amount. mandatory. collected under 30 CFR part 253 to This form must be submitted each time Frequency: The frequency of verify compliance with section 1016 of new evidence of OSFR is submitted submission will vary, but most will OPA. The information is necessary to using either self-insurance or an respond at least once per year. confirm that applicants can pay for indemnity. Estimated Number and Description of cleanup and damages from oil-spill Form MMS–1019, Insurance Respondents: Some respondents are discharges from covered offshore Certificate: The designated applicant approximately 600 holders of leases, facilities (COFs). Routinely, the (representing himself as a direct permits, and rights of use and easement information will be used: (a) To purchaser of insurance) or his insurance in the OCS and in State coastal waters establish eligibility of applicants for an agent or broker and the named insurers who will appoint approximately 200 OSFR Certification; and (b) as a complete this form to provide OSFR designated applicants. Other reference source for clean-up and evidence using insurance. The number respondents will be the designated damage claims associated with oil-spill of forms to be submitted will depend applicants’ insurance agents and discharges from COFs; the names, upon the amount of OSFR required and brokers, bonding companies, and addresses, and telephone numbers of the number of layers of insurance to indemnitors. There are no owners, operators, and guarantors; evidence the total amount of OSFR recordkeeping requirements associated designated U.S. agents for service of required. One form is required for each with this collection.

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Estimated Annual Reporting and details the individual components of normal course of their activities. We Recordkeeping ‘‘Hour’’ Burden: The this burden and estimated burden per consider these to be usual and currently approved ‘‘hour’’ burden for response or record. In calculating the customary and took that into account in this information collection is a total of burden, we assumed that respondents estimating the burden. 19,504 hours. The following chart perform certain requirements in the

Hour Citation 30 CFR 253 Reporting requirement burden per response

Subpart B: 11(a)(1); Subpart D: 40; Form MMS–1016—Designated Applicant Information Certification ...... 1 41. Subpart B: 11(a)(1); Subpart D: 40; Form MMS–1017—Designation of Applicant ...... 9 41. Subpart C: 21; 22; 23; 24; 26; 27; 30; Form MMS–1018—Self-Insurance or Indemnity Information ...... 1 Subpart D: 40; 41. Subpart C: 29; Subpart D: 40; 41 ...... Form MMS–1019—Insurance Certificate ...... 120 Subpart C: 31; Subpart D: 40; 41 ...... Form MMS–1020 Surety Bond ...... 24 Subpart D: 40; 41 ...... Form MMS–1021—Covered Offshore Facilities ...... 3 Subpart D: 40; 41; 42 ...... Form MMS–1022—Covered Offshore Facility Changes ...... 1 Subpart B: 12 ...... Request for determination of OSFR applicability ...... 2 Subpart B: 15 ...... Notice of change in ability to comply ...... 1 Subpart B: 15(f) ...... Provide claimant written explanation of denial ...... 1 Subpart C: 32 ...... Proposal for alternative method to evidence OSFR (anticipate no proposals, but the 120 regs provide the opportunity). Subpart F ...... Claims: MMS will not be involved in the claims process. Assessment of the burden for claims against the Oil Spill Liability Trust Fund (30 CFR parts 135, 136, 137) should be responsibility of the U.S. Coast Guard. Subpart F: 60 ...... Claimant request to determine whether a guarantor may be liable for a claim ...... 2 1–62 ...... General departure and alternative compliance requests not specifically covered else- 1 where in 30 CFR 253.

Estimated Annual Reporting and you have costs to generate, maintain, withheld, you must state this Recordkeeping ‘‘Non-Hour Cost’’ and disclose this information, you prominently at the beginning of your Burden: We have identified no cost should comment and provide your total comment. MMS will honor this request burdens for this collection. capital and startup cost components or to the extent allowable by law; however, Public Disclosure Statement: The PRA annual operation, maintenance, and anonymous comments will not be (44 U.S.C. 3501, et seq.) provides that an purchase of service components. You considered. All submissions from agency may not conduct or sponsor a should describe the methods you use to organizations or businesses, and from collection of information unless it estimate major cost factors, including individuals identifying themselves as displays a currently valid OMB control system and technology acquisition, representatives or officials of number. Until OMB approves a expected useful life of capital organizations or businesses, will be collection of information, you are not equipment, discount rate(s), and the made available for public inspection in obligated to respond. period over which you incur costs. their entirety. Comments: Before submitting an ICR Capital and startup costs include, MMS Federal Register Liaison Officer: to OMB, PRA section 3506(c)(2)(A) among other items, computers and Denise Johnson (202) 208–3976. requires each agency ‘‘* * * to provide software you purchase to prepare for Dated: March 1, 2004. notice * * * and otherwise consult with collecting information, monitoring, and members of the public and affected record storage facilities. You should not E.P. Danenberger, agencies concerning each proposed include estimates for equipment or Chief, Engineering and Operations Division. collection of information * * *’’. services purchased: (i) Before October 1, [FR Doc. 04–5047 Filed 3–5–04; 8:45 am] Agencies must specifically solicit 1995; (ii) to comply with requirements BILLING CODE 4310–MR–U comments to: (a) Evaluate whether the not associated with the information proposed collection of information is collection; (iii) for reasons other than to necessary for the agency to perform its provide information or keep records for DEPARTMENT OF THE INTERIOR duties, including whether the the Government; or (iv) as part of Minerals Management Service information is useful; (b) evaluate the customary and usual business or private accuracy of the agency’s estimate of the practices. Agency Information Collection burden of the proposed collection of We will summarize written responses Activities: Proposed Collection, information; (c) enhance the quality, to this notice and address them in our Comment Request usefulness, and clarity of the submission for OMB approval. As a information to be collected; and (d) result of your comments, we will make AGENCY: Minerals Management Service minimize the burden on the any necessary adjustments to the burden (MMS), Interior. respondents, including the use of in our submission to OMB. ACTION: Notice of an extension of a automated collection techniques or Public Comment Policy: MMS’s currently approved information other forms of information technology. practice is to make comments, including collection (OMB Control Number 1010– Agencies must also estimate the ‘‘non- names and home addresses of 0120). hour cost’’ burdens to respondents or respondents, available for public review recordkeepers resulting from the during regular business hours. If you SUMMARY: To comply with the collection of information. Therefore, if wish your name and/or address to be Paperwork Reduction Act (PRA) of

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1995, we are inviting comments on a royalties due, and distribute the funds Minerals produced from Federal and collection of information that we will in accordance with those laws. Indian leases vary greatly in the nature submit to the Office of Management and The Secretary also has an Indian trust of occurrence, production and Budget (OMB) for review and approval. responsibility to manage Indian lands processing methods, and markets The information collection request (ICR) and seek advice and information from served. Also, lease terms, statutory is titled ‘‘30 CFR Part 206, Subparts F— Indian beneficiaries. MMS performs the requirements, and regulations vary Federal Coal and J—Indian Coal, Part royalty management functions and significantly among the different solid 210, Subpart E—Solid Minerals, assists the Secretary in carrying out minerals. MMS exercises flexibility in General, and Part 218, Subpart E—Solid DOI’s Indian trust responsibility. the types of data required to meet the Minerals—General, Solid Minerals The information collection request compliance and management process Compliance and Management Process 1010–0120 provides for the collection of strategy. The current requirements (Form MMS–4430, Solid Minerals solid minerals information. The lessees, provide MMS with the ability to verify Production and Royalty Report).’’ operators, or other directly-involved that revenue due the government has DATES: Submit written comments on or persons described at 30 U.S.C. 1713 are been paid correctly under applicable before May 7, 2004. required to make reports and provide laws, regulations, and lease terms. MMS reasonable information as defined by collects solid minerals production and ADDRESSES: Submit written comments the Secretary regarding solid minerals to Sharron L. Gebhardt, Lead Regulatory royalty data on Form MMS–4430, Solid production. Other citations supporting Specialist, Minerals Management Minerals Production and Royalty the reporting requirement include 30 Service, Minerals Revenue Management, Report, along with sales summaries, U.S.C. 189 pertaining to Public Lands, P.O. Box 25165, MS 320B2, Denver, facility data, and sales contracts. 30 U.S.C. 359 pertaining to Acquired Colorado 80225. If you use an overnight Submission of this information is Lands, 25 U.S.C. 396d pertaining to courier service, our courier address is mandatory. Proprietary information that Indian Lands, and 43 U.S.C. 1334 Building 85, Room A–614, Denver is submitted is protected, and there are pertaining to Outer Continental Shelf Federal Center, Denver, Colorado 80225. no questions of a sensitive nature Lands. You may also e-mail your comments to included in this information collection. When a company or an individual us at [email protected]. Include We have also changed the title of this enters into a lease to explore, develop, the title of the information collection ICR from ‘‘Solid Minerals Compliance produce, and dispose of minerals from and the OMB control number in the and Management Process’’ to ‘‘30 CFR Federal or Indian lands, that company ‘‘Attention’’ line of your comment. Also Part 206, Subparts F—Federal Coal and or individual agrees to pay the lessor a include your name and return address. J—Indian Coal, Part 210, Subpart E— share (royalty) of the value received Submit electronic comments as an Solid Minerals, General, and Part 218, from production from the leased lands. ASCII file avoiding the use of special Subpart E—Solid Minerals—General, The lease creates a business relationship characters and any form of encryption. Solid Minerals Compliance and between the lessor and the lessee. The If you do not receive a confirmation we Management Process (Form MMS–4430, lessee is required to report various kinds have received your email, contact Ms. Solid Minerals Production and Royalty of information to the lessor relative to Gebhardt at (303) 231–3211. Report),’’ to clarify the regulatory the disposition of the leased minerals. FOR FURTHER INFORMATION CONTACT: language we are covering under 30 CFR Such information is similar to data parts 206, 210, and 218. Sharron L. Gebhardt, telephone (303) reported to private and public mineral For further clarification, we are 231–3211, FAX (303) 231–3781 or email interest owners and is generally including citations in this ICR renewal [email protected]. available within the records of the that cover the compliance process, SUPPLEMENTARY INFORMATION: lessee or others involved in developing, although it is exempt from the PRA by Title: 30 CFR Part 206, Subparts F— transporting, processing, purchasing, or OMB’s Office of Regulatory Affairs Federal Coal and J—Indian Coal, Part selling of such minerals. The (ORA) and, therefore, no burden hours 210, Subpart E—Solid Minerals, information collected includes data are reported for these sections. For the General, and Part 218, Subpart E—Solid necessary to ensure the royalties are remaining sections, we are increasing Minerals—General, Solid Minerals paid appropriately. the burden hours. Over the past 3 years, Compliance and Management Process Specific lease language varies; lessees have advised MMS that it takes (Form MMS–4430, Solid Minerals however, respondents agree by the lease more time to report on Form MMS– Production and Royalty Report). terms to furnish statements providing 4430, and we are adjusting the burden OMB Control Number: 1010–0120. the details of all operations conducted hours accordingly. Bureau Form Number: Form MMS– on a lease and the quantity and quality 4430. of all production from the lease at such Frequency of Response: Annually. Abstract: The Secretary of the U.S. times and in such form as the Secretary Estimated Number and Description of Department of the Interior (DOI) is may prescribe. Currently, rules require Respondents: 210 Indian lessees. responsible for collecting royalties from respondents to provide accurate, Estimated Annual Reporting and lessees who produce minerals from complete, and timely reports for all Recordkeeping ‘‘Hour’’ Burden: 1,488 leased Federal and Indian lands. The minerals produced, in the manner and hours. Secretary is required by various laws to form prescribed by MMS in 30 CFR part The following chart shows the manage mineral resources production 206, subparts F and J; part 210, subpart breakdown of the estimated burden on Federal and Indian lands, collect the E, and part 218, subpart E. hours by CFR section and paragraph:

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RESPONDENT ANNUAL BURDEN HOUR CHART

Annual Annual 30 CFR section Reporting requirement Burden hours number of burden per response responses hours

Valuation Standards

206.254 ...... Quality and quantity measurement standards for reporting and 10 minutes ..... 12 2 paying royalties. * * * Coal quantity information shall be re- ported on appropriate forms required under 30 CFR part 216 and on the Solid Minerals Production and Royalty Re- port, Form MMS–4430, as required under 30 CFR part 210. 206.257(b)(1) ...... Valuation standards for ad valorem leases. (b)(1) * * * The Produce Records: The Office of Regulatory Af- lessee shall have the burden of demonstrating that its con- fairs (ORA) determined that the compliance proc- tract is arm’s length. * * * ess is exempt from the Paperwork Reduction Act because MMS staff ask non-standard questions to resolve exceptions. 206.257(b)(3) ...... Valuation standards for ad valorem leases. (3) * * * When Produce Records: ORA determined that the com- MMS determines that the value may be unreasonable, MMS pliance process is exempt from the PRA because will notify the lessee and give the lessee an opportunity to MMS staff ask non-standard questions to resolve provide written information justifying the lessee’s reported exceptions. coal value. 206.257(b)(4) ...... Valuation standards for ad valorem leases. (4) The MMS may Produce Records: ORA determined that the com- require a lessee to certify that its arm’s-length contract pro- pliance process is exempt from the PRA because visions include all of the consideration to be paid by the MMS staff ask non-standard questions to resolve buyer, either directly or indirectly, for the coal production. exceptions. 206.257(d)(2) ...... Valuation standards for ad valorem leases. (2) Any Federal Produce Records: ORA determined that the com- lessee will make available upon request to the authorized pliance process is exempt from the PRA because MMS or State representatives, to the Inspector General of MMS staff ask non-standard questions to resolve the Department of the Interior or other persons authorized exceptions. to receive such information, arm’s-length sales value and sales quantity data for like-quality coal sold, purchased, or otherwise obtained by the lessee from the area.

Washing Allowances

206.259(a)(1) ...... Determination of washing allowances. (a) Arm’s-length con- Produce Records: ORA determined that the com- tracts. (1) * * * The lessee shall have the burden of dem- pliance process is exempt from the PRA because onstrating that its contract is arm’s-length. * * * MMS staff ask non-standard questions to resolve exceptions. 206.259(a)(1) ...... Determination of washing allowances. (a) Arm’s-length con- 30 minutes ..... 12 6 tracts. (1) * * * The lessee must claim a washing allowance by reporting it as a separate line entry on the Form MMS– 4430. 206.259(a)(3) ...... Determination of washing allowances. (a) Arm’s-length con- Produce Records: ORA determined that the com- tracts. * * * (3) * * * When MMS determines that the value pliance process is exempt from the PRA because of the washing may be unreasonable, MMS will notify the MMS staff ask non-standard questions to resolve lessee and give the lessee an opportunity to provide written exceptions. information justifying the lessee’s washing costs. 206.259(b)(1) ...... Determination of washing allowances. (b) Non-arm’s-length or 1 hour ...... 12 12 no contract. (1) * * * The lessee must claim a washing al- lowance by reporting it as a separate line entry on the Form MMS–4430. * * *. 206.259(c)(1)(i) ...... Determination of washing allowances. (c) Reporting require- 5 minutes ...... 12 1 ments—(1) Arm’s-length contracts. (i) The lessee must no- tify MMS of an allowance based on incurred costs by using a separate line entry on the Form MMS–4430. 206.259(c)(1)(ii) ...... Determination of washing allowances. (c) Reporting require- Produce Records: ORA determined that the com- ments—(1) Arm’s-length contracts. * * * (ii) The MMS may pliance process is exempt from the PRA because require that a lessee submit arm’s-length washing contracts MMS staff ask non-standard questions to resolve and related documents. * * * exceptions. 206.259(c)(2)(i) ...... Determination of washing allowances. (c) Reporting require- 5 minutes ...... 12 1 ments—* * * (2) Non-arm’s-length or no contract. (i) The lessee must notify MMS of an allowance based on the in- curred costs by using a separate line entry on the Form MMS–4430. 206.259(c)(2)(iii) ...... Determination of washing allowances. (c) Reporting require- Produce Records: ORA determined that the com- ments—* * * (2) Non-arm’s-length or no contract.* * * (iii) pliance process is exempt from the PRA because Upon request by MMS, the lessee shall submit all data MMS staff ask non-standard questions to resolve used to prepare the allowance deduction. * * * exceptions. 206.259(e)(2) ...... Determination of washing allowances. (e) Adjustments. * * * 30 minutes ..... 4 2 (2) The lessee must submit a corrected Form MMS–4430 to reflect actual costs, together with any payment, in accord- ance with instructions provided by MMS.

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RESPONDENT ANNUAL BURDEN HOUR CHART—Continued

Annual Annual 30 CFR section Reporting requirement Burden hours number of burden per response responses hours

Transportation Allowances

206.262(a)(1) ...... Determination of transportation allowances. (a) Arm’s-length Produce Records: ORA determined that the com- contracts. (1) * * * The lessee shall have the burden of pliance process is exempt from the PRA because demonstrating that its contract is arm’s-length.* * * MMS staff ask non-standard questions to resolve exceptions. 206.262(a)(1) ...... Determination of transportation allowances. (a) Arm’s-length 30 minutes ..... 12 6 contracts. (1) * * * The lessee must claim a transportation allowance by reporting it as a separate line entry on the Form MMS–4430. 206.262(a)(3) ...... Determination of transportation allowances. (a) Arm’s-length Produce Records: ORA determined that the com- contracts.* * * (3) * * * When MMS determines that the pliance process is exempt from the PRA because value of the transportation may be unreasonable, MMS will MMS staff ask non-standard questions to resolve notify the lessee and give the lessee an opportunity to pro- exceptions. vide written information justifying the lessee’s transportation costs. 206.262(b)(1) ...... Determination of transportation allowances. (b) Non-arm’s- 1 hour ...... 12 12 length or no contract.—(1) * * * The lessee must claim a transportation allowance by reporting it as a separate line entry on the Form MMS–4430. * * *. 206.262(c)(1)(i) ...... Determination of transportation allowances. (c) Reporting re- 5 minutes ...... 12 1 quirements—(1) Arm’s-length contracts. (i) The lessee must notify MMS of an allowance based on incurred costs by using a separate line entry on the Form MMS–4430. 206.262(c)(1)(ii) ...... Determination of transportation allowances. (c) Reporting re- Produce Records: ORA determined that the com- quirements—(1) Arm’s-length contracts. * * * (ii) The MMS pliance process is exempt from the PRA because may require that a lessee submit arm’s-length transportation MMS staff ask non-standard questions to resolve contracts, production agreements, operating agreements, exceptions. and related documents. * * * 206.262(c)(2)(i) ...... Determination of transportation allowances. (c) Reporting re- 5 minutes ...... 12 1 quirements—(2) Non-arm’s-length or no contract. (i) The lessee must notify MMS of an allowance based on the in- curred costs by using a separate line entry on Form MMS– 4430. 206.262(c)(2)(iii) ...... Determination of transportation allowances. (c) Reporting re- Produce Records: ORA determined that the com- quirements—(2) Non-arm’s-length or no contract. * * * (iii) pliance process is exempt from the PRA because Upon request by MMS, the lessee shall submit all data MMS staff ask non-standard questions to resolve used to prepare the allowance deduction. * * * exceptions.

Valuation Standards

206.453 ...... Quality and quantity measurement standards for reporting and 10 minutes ..... 12 2 paying royalties. * * * Coal quantity information shall be re- ported on appropriate forms required under 30 CFR part 216 and on the Solid Minerals Production and Royalty Re- port, Form MMS–4430, as required under 30 CFR part 210. 206.456(b)(1) ...... Valuation standards for ad valorem leases. (b)(1) * * * The Produce Records: ORA determined that the com- lessee shall have the burden of demonstrating that its con- pliance process is exempt from the PRA because tract is arm’s-length. * * * MMS staff ask non-standard questions to resolve exceptions. 206.456(b)(3) ...... Valuation standards for ad valorem leases. (b)(3) * * * When Produce Records: ORA determined that the com- MMS determines that the value may be unreasonable, MMS pliance process is exempt from the PRA because will notify the lessee and give the lessee an opportunity to MMS staff ask non-standard questions to resolve provide written information justifying the lessee’s reported exceptions. coal value. 206.456(b)(4) ...... Valuation standards for ad valorem leases. (b)(4) MMS may Produce Records: ORA determined that the com- require a lessee to certify that its arm’s-length contract pro- pliance process is exempt from the PRA because visions include all of the consideration to be paid by the MMS staff ask non-standard questions to resolve buyer, either directly or indirectly, for the coal production. exceptions. 206.456(d)(2) ...... Valuation standards for ad valorem leases. (d)(2) An Indian Produce Records: ORA determined that the com- lessee will make available upon request to the authorized pliance process is exempt from the PRA because MMS or Indian representatives, or to the Inspector General MMS staff ask non-standard questions to resolve of the Department of the Interior or other persons author- exceptions. ized to receive such information, arm’s-length sales and sales quantity data for like-quality coal sold, purchased, or otherwise obtained by the lessee from the area.

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RESPONDENT ANNUAL BURDEN HOUR CHART—Continued

Annual Annual 30 CFR section Reporting requirement Burden hours number of burden per response responses hours

Washing Allowances

206.458(a)(1) ...... Determination of washing allowances. (a) Arms-length con- Burden covered under OMB Control Number tracts. (1) * * * However, before any deduction may be 1010–0074. taken, the lessee must submit a completed page one of Form MMS–4292, Coal Washing Allowance Report, in ac- cordance with paragraph (c)(1) of this section. A washing allowance may be claimed retroactively for a period of not more than 3 months prior to the first day of the month that Form MMS–4292 is filed with MMS, unless MMS approves a longer period upon a showing of good cause by the les- see. 206.458(a)(3) ...... Determination of washing allowances. (a) Arms-length con- Produce Records: ORA determined that the com- tracts. * * * (3) * * * When MMS determines that the value pliance process is exempt from the PRA because of the washing may be unreasonable, MMS will notify the MMS staff ask non-standard questions to resolve lessee and give the lessee an opportunity to provide written exceptions. information justifying the lessee’s washing costs. 206.458(b)(1) ...... Determination of washing allowances. (b) Non-arm’s-length or Burden covered under OMB Control Number no contract. (1) * * * However, before any estimated or ac- 1010–0074. See § 206.458(a)(1). tual deduction may be taken, the lessee must submit a completed Form MMS–4292 in accordance with paragraph (c)(2) of this section. A washing allowance may be claimed retroactively for a period of not more than 3 months prior to the first day of the month that Form MMS–4292 is filed with MMS, unless MMS approves a longer period upon a show- ing of good cause by the lessee. * * * 206.458(c)(1)(i) ...... Determination of washing allowances. (c) Reporting require- Burden covered under OMB Control Number ments. (1) Arm’s-length contracts. (i) With the exception of 1010–0074. See § 206.458(a)(1). those washing allowances specified in paragraphs (c)(1)(v) and (c)(1)(vi) of this section, the lessee shall submit page one of the initial Form MMS–4292 prior to, or at the same time, as the washing allowance determined pursuant to an arm’s-length contract is reported on Form MMS–4430, Solid Minerals Production and Royalty Report. * * * 206.458(c)(1)(iii) ...... Determination of washing allowances. (c) Reporting require- Burden covered under OMB Control Number ments. (1) Arm’s-length contracts. * * * (iii) After initial re- 1010–0074. See § 206.458(a)(1). porting period and for succeeding reporting periods, lessees must submit page one of Form MMS–4292 within 3 months after the end of the calendar year, or after the applicable contract or rate terminates or is modified or amended, whichever is earlier, unless MMS approves a longer period (during which period the lessee shall continue to use the al- lowance from the previous reporting period). 206.458(c)(1)(iv) ...... Determination of washing allowances. (c) Reporting require- Produce Records: ORA determined that the com- ments. (1) Arm’s-length contracts. * * * (iv) MMS may re- pliance process is exempt from the PRA because quire that a lessee submit arm’s-length washing contracts MMS staff ask non-standard questions to resolve and non-standard questions related documents * * * exceptions. 206.458(c)(2)(i) ...... Determination of washing allowances. (c) Reporting require- Burden covered under OMB Control Number ments. * * * (2) Non-arm’s-length or no contract. (i) With the 1010–0074. See § 206.458(a)(1). exception of those specified in paragraphs (c)(2)(v) and (c)(2)(vii) of this section, the lessee shall submit an initial Form MMS–4292 prior to, or at the same time as, the wash- ing allowance determined pursuant to a non-arm’s-length contract or no contract situation is reported on Form MMS– 4430, Solid Minerals Production and Royalty Report. * * * 206.458(c)(2)(iii) ...... Determination of washing allowances. (c) Reporting require- Burden covered under OMB Control Number ments. * * * (2) Non-arm’s-length or no contract. * * * (iii) 1010–0074. See § 206.458(a)(1). For calendar-year reporting periods succeeding the initial reporting period, the lessee shall submit a completed Form MMS–4292 containing the actual costs for the previous re- porting period. If coal washing is continuing, the lessee shall include on Form MMS–4292 its estimated costs for the next calendar year. * * * Form MMS–4292 must be received by MMS within 3 months after the end of the previous reporting period, unless MMS approves a longer period (during which period the lessee shall continue to use the allowance from the previous reporting period).

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RESPONDENT ANNUAL BURDEN HOUR CHART—Continued

Annual Annual 30 CFR section Reporting requirement Burden hours number of burden per response responses hours

206.458(c)(2)(vi) ...... Determination of washing allowances. (c) Reporting require- Produce Records: ORA determined that the com- ments. * * * (2) Non-arm’s-length or no contract. * * * (vi) pliance process is exempt from the PRAct be- Upon request by MMS, the lessee shall submit all data cause MMS staff ask non-standard questions to used by the lessee to prepare its Forms MMS–4292. * * * resolve exceptions. 206.458(c)(4) ...... Determination of washing allowances. (c) Reporting require- 5 minutes ...... 12 1 ments. * * * (4) Washing allowances must be reported as a separate line on the Form MMS–4430, unless MMS ap- proves a different reporting procedure 206.458(e)(2) ...... Determination of washing allowances. (e) Adjustments. * * * 30 minutes ..... 4 2 (2) The lessee must submit a corrected Form MMS–4430 to reflect actual costs, together with any payment, in accord- ance with instructions provided by MMS

Transportation Allowances

206.461(a)(1) ...... Determination of transportation allowances. (a) Arm’s-length Burden covered under OMB Control Number contracts. (1) * * * However, before any deduction may be 1010–0074. taken, the lessee must submit a completed page one of Form MMS–4293, Coal Transportation Allowance Report, in accordance with paragraph (c)(1) of this section. A transpor- tation allowance may be claimed retroactively for a period of not more than 3 months prior to the first day of the month that Form MMS–4293 is filed with MMS, unless MMS ap- proves a longer period upon a showing of good cause by the lessee 206.461(a)(3) ...... Determination of transportation allowances. (a) Arm’s-length Produce Records: ORA determined that the com- contracts. * * * (3) * * * When MMS determines that the pliance process is exempt from the PRA because value of the transportation may be unreasonable, MMS will MMS staff ask non-standard questions to resolve notify the lessee and give the lessee an opportunity to pro- exceptions. vide written information justifying the lessee’s transportation costs 206.461(b)(1) ...... Determination of transportation allowances. (b) Non-arm’s- Burden covered under OMB Control Number length or no contract. (1) * * * However, before any esti- 1010–0074. See § 206.461(a)(1). mated or actual deduction may be taken, the lessee must submit a completed Form MMS–4293 in accordance with paragraph (c)(2) of this section. A transportation allowance may be claimed retroactively for a period of not more than 3 months prior to the first day of the month that Form MMS– 4293 is filed with MMS, unless MMS approves a longer pe- riod upon a showing of good cause by the lessee * * * 206.461(c)(1)(i) ...... Determination of transportation allowances. (c) Reporting re- Burden covered under OMB Control Number quirements. Arm’s-length contracts. (i) With the exception of 1010–0074. See § 206.461(a)(1). those transportation allowances specified in paragraphs (c)(1)(v) and (c)(1)(vi) of this section, the lessee shall sub- mit page one of the initial Form MMS–4293 prior to, or at the same time as, the transportation allowance determined pursuant to an arm’s-length contract is reported on Form MMS–4430, Solid Minerals Production and Royalty Report 206.461(c)(1)(iii) ...... Determination of transportation allowances. (c) Reporting re- Burden covered under OMB Control Number quirements. (1) Arm’s-length contracts. * * * (iii) After the ini- 1010–0074. See § 206.461(a)(1). tial reporting period and for succeeding reporting periods, lessees must submit page one of Form MMS–4293 within 3 months after the end of the calendar year, or after the appli- cable contract or rate terminates or is modified or amended, whichever is earlier, unless MMS approves a longer period (during which period the lessee shall continue to use the al- lowance from the previous reporting period). Lessees may request special reporting procedures in unique allowance reporting situations, such as those related to spot sales 206.461(c)(1)(iv) ...... Determination of transportation allowances. (c) Reporting re- Produce Records: ORA determined that the com- quirements. (1) Arm’s-length contracts. * * * (iv) MMS may pliance process is exempt from the PRA because require that a lessee submit arm’s-length transportation con- MMS staff ask non-standard questions to resolve tracts, production agreements, operating agreements, and exceptions. related documents. * * *

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RESPONDENT ANNUAL BURDEN HOUR CHART—Continued

Annual Annual 30 CFR section Reporting requirement Burden hours number of burden per response responses hours

206.461(c)(2)(i) ...... Determination of transportation allowances. (c) Reporting re- Burden covered under OMB Control Number quirements. * * * (2) Non-arm’s-length or no contract. (i) 1010–0074. With the See § 206.461(a)(1). exception of those transpor- tation allowances specified in paragraphs (c)(2)(v) and (c)(2)(vii) of this section, the lessee shall submit an initial Form MMS–4293 prior to, or at the same time as, the trans- portation allowance determined pursuant to a non-arm’s- length contract or no contract situation is reported on Form MMS–4430, Solid Minerals Production and Royalty Report * * * 206.461(c)(2)(iii) ...... Determination of transportation allowances. (c) Reporting re- Burden covered under OMB Control Number quirements. * * * (2) Non-arm’s-length or no contract.* * * 1010–0074. See § 206.461(a)(1). (iii) For calendar-year reporting periods succeeding the ini- tial reporting period, the lessee shall submit a completed Form MMS–4293 containing the actual costs for the pre- vious reporting period. * * * Form MMS–4293 must be re- ceived by MMS within 3 months after the end of the pre- vious reporting period, unless MMS approves a longer pe- riod (during which period the lessee shall continue to use the allowance from the previous reporting period) 206.461(c)(2)(vi) ...... Determination of transportation allowances. (c) Reporting re- Produce Records: ORA determined that the com- quirements. * * * (2) Non-arm’s-length or no contract.* * * pliance process is exempt from the PRA because (vi) Upon request by MMS, the lessee shall submit all data MMS staff ask non-standard questions to resolve used to prepare its Form MMS–4293 * * * exceptions. 206.461(c)(4) ...... Determination of transportation allowances. (c) Reporting re- 5 minutes ...... 12 1 quirements. * * * (4) Transportation allowances must be re- ported as a separate line item on Form MMS–4430, unless MMS approves a different reporting procedure 206.461(e)(2) ...... Determination of transportation allowances. (e) Adjustments. * 30 minutes ..... 4 2 * * (2) The lessee must submit a corrected Form MMS– 4430 to reflect actual costs, together with any payment, in accordance with instructions provided by MMS 210.52(a) ...... Report of sales and royalty remittance. (a) You must submit a Burden covered by OMB Control Number 1010– completed Form MMS–2014 (Report of Sales and Royalty 0140. Remittance) to MMS with: * * * 210.201 ...... How do I submit Form MMS–4430, Solid Minerals Production 20 minutes ..... 2,400 800 and Royalty Report? (a) What to submit. (1) You must sub- mit a completed Form MMS–4430 for— * * * 210.202 ...... How do I submit sales summaries? (a) What to submit. (1) 15 minutes ..... 1,440 360 You must submit sales summaries for all coal and other solid minerals produced from Federal and Indian leases and for any remote storage site from which you sell Federal or Indian solid minerals * * * 210.203 ...... How do I submit sales contracts? (a) What to submit. You 1 hour ...... 180 180 must submit sales contracts, agreements, and contract amendments for the sale of all coal and other solid minerals produced from Federal and Indian leases with ad valorem royalty terms * * * 210.204 ...... How do I submit facility data? (a) What to submit. (1) You 15 minutes ..... 360 90 must submit facility data if you operate a wash plant, refin- ing, ore concentration, or other processing facility for any coal, sodium, potassium, metals, or other solid minerals produced from Federal or Indian leases with ad valorem royalty terms * * * 210.205 ...... Will I need to submit additional documents or evidence to Produce Records: ORA determined that the com- MMS? (a) Federal and Indian lease terms allow us to re- pliance process is exempt from the PRA because quest detailed statements, documents, or other evidence MMS staff ask non-standard questions to resolve necessary to verify compliance * * * (b) We will request this exceptions (same as 206.461(a)(3)). additional information as we need it * * * 218.52(a) and (c) ...... How does a lessee designate a Designee? (a) If you are a Burden covered by OMB Control Number 1010– lessee under 30 U.S.C. 1701(7), and you want to designate 0107. a person to make all or part of the payments due under a lease on your behalf under 30 U.S.C. 1712(a), you must no- tify MMS or the applicable delegated State in writing of such designation * * *. (c) If you want to terminate a designation you made under paragraph (a) of this section, you must provide to MMS in writing before the termination * * *

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RESPONDENT ANNUAL BURDEN HOUR CHART—Continued

Annual Annual 30 CFR section Reporting requirement Burden hours number of burden per response responses hours

218.57(a)(2) ...... Providing information and claiming rewards. (a) General. * * * Burden covered by OMB Control Number 1010– (2) If a person has any information he or she believes 0107. would be valuable to MMS, that person (‘‘informant’’) should submit the information in writing, in the form of a letter * * * 218.57(b)(3) ...... Providing information and claiming rewards. (b) Claim for re- Burden covered by OMB Control Number 1010– ward. * * * (3) To file a claim for reward the informant must: 0107. (i) Notify the Director, MMS * * * that he/she is claiming a reward * * * 218.201(b) ...... Method of payment. You must tender all payments * * *, ex- 20 seconds .... 1,095 6 cept as follows: * * * (b) For Form MMS–4430 payments, in- clude both your customer identification and your customer document identification numbers on your payment docu- ment * * *

Total ...... 5,631 1,488

Estimated Annual Reporting and expected useful life of capital prominently at the beginning of your Recordkeeping ‘‘Non-hour Cost’’ equipment, discount rate(s), and the comment. However, we will not Burden: We have identified no ‘‘non- period over which you incur costs. consider anonymous comments. We hour’’ cost burdens. Capital and startup costs include, will make all submissions from Comments: The PRA (44 U.S.C. 3501, among other items, computers and organizations or businesses, and from et seq.) provides an agency may not software you purchase to prepare for individuals identifying themselves as conduct or sponsor, and a person is not collecting information; monitoring, representatives or officials of required to respond to, a collection of sampling, and testing equipment; and organizations or businesses, available information unless it displays a record storage facilities. Generally, your for public inspection in their entirety. currently valid OMB control number. estimates should not include equipment MMS Federal Register Liaison Officer: Before submitting an ICR to OMB, PRA or services purchased: (i) Before October Denise Johnson (202) 208–3976. section 3506(c)(2)(A) requires each 1, 1995; (ii) to comply with Dated: March 1, 2004. agency ‘‘* * * to provide notice * * * requirements not associated with the Lucy Querques Denett, and otherwise consult with members of information collection; (iii) for reasons the public and affected agencies Associate Director for Minerals Revenue other than to provide information or Management. concerning each proposed collection of keep records for the Government; or (iv) [FR Doc. 04–5066 Filed 3–5–04; 8:45 am] information * * *.’’ Agencies must as part of customary and usual business specifically solicit comments to: (a) or private practices. BILLING CODE 4310–MR–U Evaluate whether the proposed We will summarize written responses collection of information is necessary to this notice and address them in our for the agency to perform its duties, ICR submission for OMB approval, INTERNATIONAL TRADE including whether the information is including appropriate adjustments to COMMISSION useful; (b) evaluate the accuracy of the the estimated burden. We will provide agency’s estimate of the burden of the a copy of the ICR to you without charge [Investigation No. 731–TA–1047 (Final)] proposed collection of information; (c) upon request, and the ICR will also be Ironing Tables and Certain Parts enhance the quality, usefulness, and posted on our Web site at http:// Thereof from China clarity of the information to be www.mrm.mms.gov/Laws—R—D/ collected; and (d) minimize the burden FRNotices/FRInfColl.htm. AGENCY: International Trade on the respondents, including the use of Public Comment Policy: We will post Commission. automated collection techniques or all comments in response to this notice ACTION: Scheduling of the final phase of other forms of information technology. on our Web site at http:// an antidumping investigation. The PRA also requires agencies to www.mrm.mms.gov/Laws—R—D/ estimate the total annual reporting FRNotices/FRInfColl.htm. We will also SUMMARY: The Commission hereby gives ‘‘non-hour cost’’ burden to respondents make copies of the comments available notice of the scheduling of the final or recordkeepers resulting from the for public review, including names and phase of antidumping investigation No. collection of information. We have not addresses of respondents, during regular 731–TA–1047 (Final) under section identified non-hour cost burdens for business hours at our offices in 735(b) of the Tariff Act of 1930 (19 this information collection. If you have Lakewood, Colorado. Individual U.S.C. 1673d(b)) (the Act) to determine costs to generate, maintain, and disclose respondents may request we withhold whether an industry in the United this information, you should comment their home addresses from the public States is materially injured or and provide your total capital and record, which we will honor to the threatened with material injury, or the startup cost components or annual extent allowable by law. There also may establishment of an industry in the operation, maintenance, and purchase be circumstances in which we would United States is materially retarded, by of service components. You should withhold from the rulemaking record a reason of less-than-fair-value imports describe the methods you use to respondent’s identity, as allowable by from China of ironing tables and certain estimate major cost factors, including law. If you request that we withhold parts thereof, provided for in system and technology acquisition, your name and/or address, state this subheadings 9403.20.00 and 9403.90.80

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of the Harmonized Tariff Schedule of impaired persons can obtain investigation need not reapply for such the United States.1 information on this matter by contacting access. A separate service list will be For further information concerning the Commission’s TDD terminal on 202– maintained by the Secretary for those the conduct of this phase of the 205–1810. Persons with mobility parties authorized to receive BPI under investigation, hearing procedures, and impairments who will need special the APO. rules of general application, consult the assistance in gaining access to the Staff report. The prehearing staff Commission’s Rules of Practice and Commission should contact the Office report in the final phase of this Procedure, part 201, subparts A through of the Secretary at 202–205–2000. investigation will be placed in the E (19 CFR part 201), and part 207, General information concerning the nonpublic record on June 1, 2004 and a subparts A and C (19 CFR part 207). Commission may also be obtained by public version will be issued thereafter, EFFECTIVE DATE: February 3, 2004. accessing its Internet server (http:// pursuant to section 207.22 of the Commission’s rules. FOR FURTHER INFORMATION CONTACT: www.usitc.gov). The public record for this investigation may be viewed on the Hearing. The Commission will hold a Megan Spellacy (202–205–3190), Office hearing in connection with the final of Investigations, U.S. International Commission’s electronic docket (EDIS) at http://edis.usitc.gov. phase of this investigation beginning at Trade Commission, 500 E Street SW., 9:30 a.m. on June 15, 2004 at the U.S. SUPPLEMENTARY INFORMATION: Washington, DC 20436. Hearing- International Trade Commission Background. The final phase of this Building. Requests to appear at the 1 investigation is being scheduled as a For purposes of this investigation, the hearing should be filed in writing with Department of Commerce has defined the subject result of an affirmative preliminary the Secretary to the Commission on or merchandise as ‘‘* * * floor-standing, metal-top determination by the Department of ironing tables, assembled or unassembled, complete before June 8, 2004. A nonparty who has or incomplete, and certain parts thereof. The subject Commerce that imports of ironing tables testimony that may aid the tables are designed and used principally for the and certain parts thereof from China are Commission’s deliberations may request hand ironing or pressing of garments or other being sold in the United States at less permission to present a short statement articles of fabric. The subject tables have full-height than fair value within the meaning of leg assemblies that support the ironing surface at an at the hearing. All parties and appropriate (often adjustable) height above the section 733 of the Act (19 U.S.C. 1673b). nonparties desiring to appear at the floor. The subject tables are produced in a variety The investigation was requested in a hearing and make oral presentations of leg finishes, such as painted, plated, or matte, petition filed on June 30, 2003, by Home should attend a prehearing conference and they are available with various features, Products International, Inc. (HPI), including iron rests, linen racks, and others. The to be held at 9:30 a.m. on June 10, 2004, subject ironing tables may be sold with or without Chicago, IL. at the U.S. International Trade a pad and/or cover. All types and configurations of Participation in the investigation and Commission Building. Oral testimony floor-standing, metal-top ironing tables are covered public service list. Persons, including and written materials to be submitted at by this investigation. industrial users of the subject Furthermore, this investigation specifically the public hearing are governed by covers imports of ironing tables, assembled or merchandise and, if the merchandise is sections 201.6(b)(2), 201.13(f), and unassembled, complete or incomplete, and certain sold at the retail level, representative 207.24 of the Commission’s rules. parts thereof. For purposes of this investigation, the consumer organizations, wishing to Parties must submit any request to term ‘‘unassembled’’ ironing table means a product participate in the final phase of this requiring the attachment of the leg assembly to the present a portion of their hearing top or the attachment of an included feature such investigation as parties must file an testimony in camera no later than 7 as an iron rest or linen rack. The term ‘‘complete’’ entry of appearance with the Secretary days prior to the date of the hearing. ironing table means a product sold as a ready-to- to the Commission, as provided in Written submissions. Each party who use ensemble consisting of the metal-top table and section 201.11 of the Commission’s is an interested party shall submit a a pad and cover, with or without additional features, e.g. iron rest or linen rack. The term rules, no later than 21 days prior to the prehearing brief to the Commission. ‘‘incomplete’’ ironing table means a product hearing date specified in this notice. A Prehearing briefs must conform with the shipped or sold as a ‘‘bare board’’—i.e., a metal-top party that filed a notice of appearance provisions of section 207.23 of the table only, without the pad and cover—with or during the preliminary phase of the Commission’s rules; the deadline for without additional features, e.g. iron rest or linen rack. The major parts or components of ironing investigation need not file an additional filing is June 8, 2004. Parties may also tables that are intended to be covered by this notice of appearance during this final file written testimony in connection investigation under the term ‘‘certain parts thereof’’ phase. The Secretary will maintain a with their presentation at the hearing, as consist of the metal top component (with or without public service list containing the names provided in section 207.24 of the assembled supports and slides) and/or the leg components, whether or not attached together as a and addresses of all persons, or their Commission’s rules, and posthearing leg assembly. The investigation covers separately representatives, who are parties to the briefs, which must conform with the shipped metal top components and leg components, investigation. provisions of section 207.25 of the without regard to whether the respective quantities Limited disclosure of business Commission’s rules. The deadline for would yield an exact quantity of assembled ironing tables. proprietary information (BPI) under an filing posthearing briefs is June 22, Ironing tables without legs (such as models that administrative protective order (APO) 2004; witness testimony must be filed mount on walls or over doors) are not floor-standing and BPI service list. Pursuant to section no later than three days before the and are specifically excluded. Additionally, 207.7(a) of the Commission’s rules, the hearing. In addition, any person who tabletop or counter top models with short legs that Secretary will make BPI gathered in the has not entered an appearance as a party do not exceed 12 inches in length (and which may or may not collapse or retract) are specifically final phase of this investigation to the investigation may submit a excluded. available to authorized applicants under written statement of information The subject ironing tables were previously the APO issued in the investigation, pertinent to the subject of the classified under Harmonized Tariff Schedule of the provided that the application is made investigation on or before June 22, 2004. United States (HTSUS) subheading 9403.20.0010. Effective July 1, 2003, the subject ironing tables are no later than 21 days prior to the On July 9, 2004, the Commission will classified under the new HTSUS subheading hearing date specified in this notice. make available to parties all information 9403.20.0011. The subject metal top and leg Authorized applicants must represent on which they have not had an components are classified under HTSUS interested parties, as defined by 19 opportunity to comment. Parties may subheading 9403.90.8040. Although the HTSUS subheadings are provided for convenience and U.S.C. 1677(9), who are parties to the submit final comments on this customs purposes, the written description of the investigation. A party granted access to information on or before July 13, 2004, scope remains dispositive.’’ BPI in the preliminary phase of the but such final comments must not

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contain new factual information and specific industry sectors and the event that, as of the close of business on must otherwise comply with section interests of U.S. consumers. The report March 16, 2004, no witnesses are 207.30 of the Commission’s rules. All will assess the likely impact of the scheduled to appear at the hearing, the written submissions must conform with agreement on the United States hearing will be canceled. Any person the provisions of section 201.8 of the economy as a whole and on specific interested in attending the hearing as an Commission’s rules; any submissions industry sectors, including the impact observer or non-participant may call the that contain BPI must also conform with the agreement will have on the gross Secretary (202–205–2000) after March the requirements of sections 201.6, domestic product, exports and imports, 16, 2004, to determine whether the 207.3, and 207.7 of the Commission’s aggregate employment and employment hearing will be held. rules. The Commission’s rules do not opportunities, the production, Statements and Briefs: In lieu of or in authorize filing of submissions with the employment, and competitive position addition to participating in the hearing, Secretary by facsimile or electronic of industries likely to be significantly interested parties are invited to submit means, except to the extent permitted by affected by the agreement, and the written statements or briefs concerning section 201.8 of the Commission’s rules, interests of United States consumers. the investigation in accordance with the as amended, 67 FR 68036 (November 8, In preparing its assessment, the requirements in the ‘‘Submissions’’ 2002). Commission will review available section below. Any prehearing briefs or In accordance with sections 201.16(c) economic assessments regarding the statements should be filed not later than and 207.3 of the Commission’s rules, agreement, including literature 5:15 p.m., March 22, 2004; the deadline each document filed by a party to the regarding any substantially equivalent for filing post-hearing briefs or investigation must be served on all other proposed agreement, and will provide statements is 5:15 p.m., April 6, 2004. parties to the investigation (as identified in its assessment a description of the Submissions: All written submissions by either the public or BPI service list), analyses used and conclusions drawn in including requests to appear at the and a certificate of service must be such literature, and a discussion of areas hearing, statements, and briefs, should timely filed. The Secretary will not of consensus and divergence between be addressed to the Secretary, United accept a document for filing without a the various analyses and conclusions, States International Trade Commission, certificate of service. including those of the Commission 500 E Street SW., Washington, DC 20436. All written submissions must Authority: This investigation is being regarding the agreement. Section 2104(f)(2) requires that the conform with the provisions of section conducted under authority of title VII of the 201.8 of the Commission’s Rules of Tariff Act of 1930; this notice is published Commission submit its report to the pursuant to section 207.21 of the President and the Congress not later Practice and Procedure (19 CFR 201.8); Commission’s rules. than 90 days after the President enters any submissions that contain into the agreement, which he can do 90 confidential business information must Issued: March 3, 2004. also conform with the requirements of By order of the Commission. days after he notifies the Congress of his intent to do so. The President notified section 201.6 of the Commission’s Rules Marilyn R. Abbott, the Congress on February 13, 2004, of of Practice and Procedure (19 CFR Secretary to the Commission. his intent to enter into an FTA with 201.6). Section 201.8 of the rules require [FR Doc. 04–5160 Filed 3–5–04; 8:45 am] Australia. that a signed original (or a copy BILLING CODE 7020–02–P The Commission has begun its designated as an original) and fourteen assessment, and it will seek public (14) copies of each document be filed. input for the investigation through a In the event that confidential treatment INTERNATIONAL TRADE public hearing on March 30, 2004 (see of the document is requested, at least COMMISSION below). four (4) additional copies must be filed, in which the confidential information [Investigation No. TA–2104–11] EFFECTIVE DATE: March 2, 2004. must be deleted. Section 201.6 of the FOR FURTHER INFORMATION CONTACT: U.S.-Australia Free Trade Agreement: rules require that the cover of the Thomas Jennings, Project Leader, Office Potential Economywide and Selected document and the individual pages of Economics (202–205–3260). For Sectoral Effects clearly be marked as to whether they are information on the legal aspects of this the ‘‘confidential’’ or ‘‘nonconfidential’’ AGENCY: International Trade investigation, contact William Gearhart version, and that the confidential Commission. of the Office of the General Counsel business information be clearly ACTION: Institution of investigation and (202–205–3091 or identified by means of brackets. scheduling of public hearing. [email protected]). For media The Commission intends to publish information, contact Peg O’Laughlin only a public report in this SUMMARY: Following receipt on February (202–205–1819). Hearing impaired investigation. Accordingly, any 17, 2004 of a request from the United individuals are advised that information confidential business information States Trade Representative (USTR), the on this matter can be obtained by received by the Commission in this Commission instituted investigation No. contacting the TDD terminal on (202– investigation and used in preparing the TA–2104–11, U.S.-Australia Free Trade 205–1810). report will not be published in a manner Agreement: Potential Economywide and Public Hearing: A public hearing in that would reveal the operations of the Selected Sectoral Effects, under section connection with this investigation is firm supplying the information. 2104(f) of the Trade Act of 2002 (19 scheduled to begin at 9:30 a.m. on The Commission’s rules do not U.S.C. 3804(f)). March 30, 2004, at the U.S. International authorize filing submissions with the Background: As requested by the Trade Commission Building, 500 E Secretary by facsimile or electronic USTR, the Commission will prepare a Street SW., Washington, DC. Requests to means, except to the extent permitted by report as specified in section 2104(f)(2)– appear at the public hearing should be section 201.8 of the Commission’s Rules (3) of the Trade Act of 2002 assessing filed with the Secretary, no later than (19 CFR 201.8) (see Handbook for the likely impact of the U.S. Free Trade 5:15 p.m., March 16, 2004 in accordance Electronic Filing Procedures, ftp:// agreement with Australia on the United with the requirements in the ftp.usitc.gov/pub/reports/electronic— States economy as a whole and on ‘‘Submissions’’ section below. In the filing—handbook.pdf).

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Persons with questions regarding Avenue, NW., Room N–5416, Attention: among actors, and to avoid duplication electronic filing should contact the Lisa Harvey, Washington, DC 20210. of resources and efforts. Secretary (202–205–2000 or FOR FURTHER INFORMATION CONTACT: Lisa Signed at Washington, DC, this 2nd day of [email protected]). Harvey. E-mail address: March, 2004. Issued: March 3, 2004. [email protected]. All inquiries Lawrence J. Kuss, By order of the Commission. should make reference to the USDOL Grant Officer. Marilyn R. Abbott, Child Labor Education Initiative— [FR Doc. 04–5074 Filed 3–5–04; 8:45 am] Solicitations for Cooperative Agreement Secretary to the Commission. BILLING CODE 4510–28–P Applications. [FR Doc. 04–5159 Filed 3–5–04; 8:45 am] SUPPLEMENTARY INFORMATION: Since BILLING CODE 7020–02–P 1995, USDOL has supported a DEPARTMENT OF LABOR worldwide technical assistance program implemented by the International Labor Employment And Training Administration DEPARTMENT OF LABOR Organization’s International Program on the Elimination of Child Labor (ILO– [TA–W–53,709] Office of the Secretary IPEC). ILAB has provided over $270 million to ILO–IPEC and other Alfmeier Corporation Seating Comfort Child Labor Education Initiative organizations for international technical Systems, a Subsidiary of Alfmeier assistance to combat abusive child labor Prazision, Dandridge, Tennessee; AGENCY: Bureau of International Labor around the world. Notice of Revised Determination on Affairs, U.S. Department of Labor. In its FY 2004 appropriations, in Reconsideration ACTION: Notice of intent to solicit addition to funds earmarked for ILO– cooperative agreement applications. By letter postmarked January 6, 2004, IPEC, USDOL received $37 million to a petitioner requested administrative provide bilateral assistance to improve SUMMARY: The U.S. Department of Labor reconsideration regarding the access to basic education in (USDOL), Bureau of International Labor Department’s Negative Determination international areas with a high rate of Affairs (ILAB), intends to award Regarding Eligibility to Apply for abusive and exploitative child labor. All approximately U.S. $29 million to Worker Adjustment Assistance, such FY 2004 funds will be obligated organizations to develop and implement applicable to the workers of the subject prior to September 30, 2004. formal, non-formal, and vocational firm. USDOL’s Child Labor Education education programs as a means to The initial investigation resulted in a Initiative nurtures the development, combat exploitative child labor in the negative determination issued on health, safety, and enhanced future following regions and countries: the December 12, 2003, based on the finding employability of children around the Middle East (Lebanon, West Bank and that imports of lumbar seating world by increasing access to basic Gaza, and Yemen), Africa (Ethiopia, prototypes did not contribute education for children removed from Mozambique, Rwanda, and Zambia), importantly to worker separations at the child labor or at risk of entering it. and Panama. ILAB intends to solicit subject firm. The denial notice was Eliminating child labor will depend in cooperative agreement applications published in the Federal Register on part on improving access, quality, and from qualified organizations (i.e., any January 16, 2004 (69 FR 2622). relevance of education. Without commercial, international, educational, To support the request for improving educational quality and or non-profit organization capable of reconsideration, the petitioner supplied relevance, children withdrawn from successfully developing and additional information to supplement child labor may not have viable implementing education programs) to that which was gathered during the alternatives and may return to work or implement programs that promote initial investigation. resort to other hazardous means of school attendance and provide Upon further review and contact with subsistence. educational opportunities for working the company official, it was revealed The Child Labor Education Initiative children or children at risk of starting that the company shifted its production has the following four goals: working. The programs should focus on of lumbar seating prototypes to 1. Raise awareness of the importance innovative ways to address the many Germany with the intent to import of education for all children and gaps and challenges to basic education lumbar seating prototypes back into the mobilize a wide array of actors to found in the countries mentioned above. United States. The investigation further improve and expand education Please refer to http://www2.dol.gov/ revealed that employment declined at infrastructures; ILAB/grants/main.htm for an example of the subject firm. 2. Strengthen formal and transitional In accordance with section 246 the a previous notice of availability of funds education systems that encourage Trade Act of 1974 (26 U.S.C. 2813), as and solicitation for cooperative working children and those at risk of amended, the Department of Labor agreement applications. working to attend school; herein presents the results of its DATES: Specific solicitations for 3. Strengthen national institutions investigation regarding certification of cooperative agreement applications will and policies on education and child eligibility to apply for alternative trade be published in the Federal Register labor; and adjustment assistance (ATAA) for older and remain open for at least 30 days 4. Ensure the long-term sustainability workers. from the date of publication. All of these efforts. In order for the Department to issue cooperative agreements awarded will be When working to increase access to a certification of eligibility to apply for made before September 30, 2004. quality basic education, USDOL strives ATAA, the group eligibility ADDRESSES: Once solicitations are to complement existing efforts to requirements of Section 246 of the published in the Federal Register, eradicate the worst forms of child labor, Trade Act must be met. The Department applications must be delivered to: U.S. to build on the achievements of and has determined in this case that the Department of Labor, Procurement lessons learned from these efforts, to requirements of section 246 have been Services Center, 200 Constitution expand impact and build synergies met.

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At least three workers at the firm are Signed at Washington, DC, this 17th day of DEPARTMENT OF LABOR age 50 or over and possess skills that are February, 2004. not easily transferable. Competitive Elliott S. Kushner, Employment and Training conditions within the industry are Certifying Officer, Division of Trade Administration adverse. Adjustment Assistance. [TA–W–53,023] Conclusion [FR Doc. 04–5084 Filed 3–5–04; 8:45 am] BILLING CODE 4510–30–P Cardinal Glass Industries, Inc. After careful review of the additional Sextonville, Wisconsin; Notice of Negative Determination Regarding facts obtained on reconsideration, I Application for Reconsideration conclude that likely increase in imports DEPARTMENT OF LABOR of articles like or directly competitive On January 29, 2004, the Department with those produced at Alfmeier Employment and Training issued an Affirmative Determination Corporation, Seating Comfort Systems, a Administration Regarding Application for subsidiary of Alfmeier Prazision, Reconsideration for the workers and Dandridge, Tennessee, contributed [TA–W–54,189] former workers of the subject firm. The importantly to the declines in sales or notice was published in the Federal Bloomsburg Mills, Inc., Bloomsburg, production and to the total or partial Register on February 11, 2004 (69 FR PA; Notice of Termination of separation of workers at the subject 6693). Investigation The Department initially denied TAA firm. In accordance with the provisions to workers of Cardinal Glass Industries, of the Act, I make the following Pursuant to section 221 of the Trade Inc. because the ‘‘contributed certification: Act of 1974, as amended, an importantly’’ group eligibility All workers of Alfmeier Corporation, investigation was initiated on February requirement of Section 222(3) of the Seating Comfort Systems, a subsidiary of 6, 2004, in response to a petition filed Trade Act of 1974 was not met. The Alfmeier Prazision, Dandridge, Tennessee, by a company official on behalf of company did not import glass handling who became totally or partially separated workers at Bloomsburg Mills, Inc., equipment in the relevant period nor from employment on or after November 19, Bloomsburg, Pennsylvania. did it shift production of glass handling 2002, through two years from the date of this The petitioner has requested that the equipment to a foreign country. The certification, are eligible to apply for investigation revealed that the cause of petition be withdrawn. Consequently, adjustment assistance under section 223 of the worker separations was a domestic the investigation has been terminated. the Trade Act of 1974, and are eligible to shift of production. apply for alternative trade adjustment Signed in Washington, DC this 12th day of The company official who filed the assistance under section 246 of the Trade Act February, 2004. reconsideration request alleges that, in of 1974. Linda G. Poole, order to remain competitive with Signed in Washington, DC this 19th day of Certifying Officer, Division of Trade foreign suppliers of glass, the company February, 2004. Adjustment Assistance. was forced to keep the prices of glass at Elliott S. Kushner, [FR Doc. 04–5080 Filed 3–5–04; 8:45 am] the same level for the last twenty years and that the glass production declines Certifying Officer, Division of Trade BILLING CODE 4510–30–P are attributed to foreign competition. Adjustment Assistance. The official further states that, the [FR Doc. E4–469 Filed 3–5–04; 8:45 am] DEPARTMENT OF LABOR Sextonville facility was not efficient BILLING CODE 4510–13–P enough in both production speed and Employment and Training quality to meet competitive forces; Administration however it was an integral part in the DEPARTMENT OF LABOR selling of glass products. Contact with another company official Employment and Training [TA–W–54,065] at the headquarters of Cardinal FG Administration confirmed what had been established in Bremner Incorporated, Ripon, WI; the initial investigation, which was that Notice of Termination of Investigation [TA–W–54,068] workers of the subject firm produced glass handling equipment and their Pursuant to section 221 of the Trade American Lock Co., Crete, IL; Notice of separations were predominantly caused Act of 1974, as amended, an Termination of Investigation by a shift of production from the investigation was initiated on January Sextonville, Wisconsin facility to a Pursuant to section 221 of the Trade 22, 2004 in response to a petition filed newly built domestic site at Spring Act of 1974, as amended, an on behalf of workers at Bremner Green, Wisconsin. The official further investigation was initiated on January Incorporated, Ripon, Wisconsin. stated that production at the new 23, 2004, in response to a petition filed The petitioner has requested that the facility will be of an equal or greater by the company on behalf of workers at petition be withdrawn. Consequently, value to that produced by the subject American Lock Company, Crete, the investigation has been terminated. firm. Illinois. In order to establish import impact, Signed at Washington, DC, this 9th day of the Department must consider imports The petitioner has requested that the February 2004. that are like or directly competitive with petition be withdrawn. Consequently, Linda G. Poole, further investigation in this case would those produced at the subject firm. As Certifying Officer, Division of Trade the majority of the production of glass serve no purpose, and the investigation Adjustment Assistance. handling equipment was used to supply has been terminated. [FR Doc. 04–5085 Filed 3–5–04; 8:45 am] internal demand, and the company BILLING CODE 4510–30–P reported no imports, there is no

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evidence of import impact in regard to DEPARTMENT OF LABOR At the request of the petitioners, the this product in conjunction with an Department reviewed the certification assessment of eligibility for affected Employment and Training for workers of the subject firm. New workers at the subject plant. Administration information shows that leased workers The petitioner states that the glass of JRC Quality Systems, LLC were [TA–W–54,197] employed at Gates Corporation, Air handling equipment produced by the Springs Division at the Denver, subject firm has been displaced as a Electric Motor Repair Center, Shelby, Colorado location of the subject firm. result of an increase in imports of glass NC; Notice of Termination of Based on these findings, the and mentions a new glass plant going Investigation Department is amending this into production in Mexico in the next Pursuant to section 221 of the Trade certification to include leased workers month. Act of 1974, as amended, an of JRC Quality Systems, LLC working at As noted above, the Department investigation was initiated on February Gates Corporation, Air Springs Division, considers imports of like or directly 6, 2004, in response to a worker petition Denver, Colorado. competitive products (in this case, glass filed by a company official on behalf of The intent of the Department’s handling equipment, as the initial workers of Electric Motor Repair Center, certification is to include all workers investigation established that layoffs are Shelby, North Carolina. employed at Gates Corporation, Air predominantly attributable to the The investigation revealed that the Springs Division Trends Clothing domestic shift of production) when subject firm did not separate or threaten Corporation, a.k.a. Trends International, conducting TAA investigations. Thus, to separate a significant number or who were adversely affected by a shift although the products produced by the proportion of workers as required by in production to Mexico. section 222 of the Trade act of 1974. subject firm workers may be indirectly The amended notice applicable to Significant number or proportion of the import impacted, the import impact of TA–W–53,647 is hereby issued as workers means that at least three glass is not relevant to an investigation follows: workers in a firm with a workforce of of eligibility for trade adjustment fewer than 50 workers would have to be All workers of Gates Corporation, Air assistance on behalf of subject firm affected. Separations by the subject firm Springs Division, including leased workers of workers producing glass handling did not meet this threshold level; Manpower and JRC Quality Systems, LLC, equipment. Denver, Colorado, who became totally or consequently, the investigation has been partially separated from employment on or The review of the initial investigation terminated. after November 24, 2002, through December revealed that the Department erred in its Signed in Washington, DC this 13th day of 15, 2005, are eligible to apply for adjustment description of the subject firm’s product February, 2004. assistance under section 223 of the Trade Act during the customer survey, thus Richard Church, of 1974, and are also eligible to apply for purchases of glass were surveyed alternative trade adjustment assistance under Certifying Officer, Division of Trade section 246 of the Trade Act of 1974. instead of glass handling equipment. Adjustment Assistance. Further contact with the company [FR Doc. 04–5079 Filed 3–5–04; 8:45 am] Signed in Washington, DC this 17th day of official revealed that major customers of BILLING CODE 4510–30–P February, 2004. the subject firm are all internal Cardinal Linda G. Poole, Glass Industries, Inc. glass processing Certifying Officer, Division of Trade plants. It was found that these DEPARTMENT OF LABOR Adjustment Assistance. customers do not import glass handling [FR Doc. E4–468 Filed 3–5–04; 8:45 am] equipment. Employment And Training Administration BILLING CODE 4510–13–P The investigation further revealed that none of the Cardinal Glass Industries, [TA–W–53,647] Inc. facilities are under an existing DEPARTMENT OF LABOR Gates Corporation, Air Springs Trade Adjustment Assistance Employment and Training certification. Division, Including Leased Workers of Manpower and JRC Quality Systems, Administration Conclusion LLC, Denver, Colorado; Amended Certification Regarding Eligibility To [TA–W–54,193] After review of the application and Apply for Worker Adjustment investigative findings, I conclude that Assistance and Alternative Trade Gates Corporation, Air Springs there has been no error or Adjustment Assistance Division, Denver, Colorado; Notice of misinterpretation of the law or of the Termination of Investigation facts which would justify In accordance with section 223 of the reconsideration of the Department of Trade Act of 1974 (19 U.S.C. 2273) the Pursuant to Section 221 of the Trade Labor’s prior decision. Accordingly, the Department of Labor issued a Act of 1974, an investigation was application is denied. Certification of Eligibility to Apply for initiated on February 6, 2004 in Worker Adjustment Assistance and response to a worker petition which was Signed at Washington, DC, this 20th day of Alternative Trade Adjustment filed on behalf of workers at Gates February, 2004. Assistance on December 15, 2003, Corporation, Air Springs Division, Elliott S. Kushner, applicable to workers of Gates Denver, Colorado. Certifying Officer, Division of Trade Corporation, Air Springs Division, An active certification covering the Adjustment Assistance. including temporary workers of petitioning group of workers is already [FR Doc. E4–465 Filed 03–5–04; 8:45 am] Manpower, Denver, Colorado. The in effect (TA–W–53,647, as amended). BILLING CODE 4510–13–P notice was published in the Federal Consequently, further investigation in Register on January 16, 2004 (69 FR this case would serve no purpose, and 2624). the investigation has been terminated.

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Signed in Washington, DC, this 17th day of namely the worker separations must be DEPARTMENT OF LABOR February 2004. caused by a reduced demand for their Linda G. Poole, services from a parent or controlling Employment and Training Certifying Officer, Division of Trade firm or subdivision whose workers Administration Adjustment Assistance. produce an article and who are [FR Doc. E4–473 Filed 3–5–04; 8:45 am] currently under certification for TAA. [TA–W–53,937] BILLING CODE 4510–13–P Conclusion Johnson Controls, Inc., Laurel Hill, North Carolina; Notice of Termination After review of the application and DEPARTMENT OF LABOR of Investigation investigative findings, I conclude that Employment and Training there has been no error or Pursuant to section 221 of the Trade Administration misinterpretation of the law or of the Act of 1974, an investigation was facts which would justify [TA–W–53,783] initiated on January 5, 2004, in response reconsideration of the Department of to a worker petition which was filed on Geotrac, Inc., Norwalk, Ohio; Notice of Labor’s prior decision. Accordingly, the behalf of workers at Johnston Controls, Negative Determination Regarding application is denied. Inc., Laurel Hill, North Carolina. Application for Reconsideration Signed at Washington, DC, this 20th day of An active certification covering the By application dated January 23, February, 2004. petitioning group of workers is already 2004, a petitioner requested Elliott S. Kushner, in effect (TA–W–53,481, as amended). administrative reconsideration of the Certifying Officer, Division of Trade Consequently, further investigation in Department’s negative determination Adjustment Assistance. this case would serve no purpose, and regarding eligibility for workers and [FR Doc. E4–470 Filed 3–5–04; 8:45 am] the investigation has been terminated. former workers of the subject firm to BILLING CODE 4510–13–P Signed in Washington, DC this 20th day of apply for Trade Adjustment Assistance February, 2004. (TAA). The denial notice applicable to Linda G. Poole, workers of Geotrac, Inc., Norwalk, Ohio DEPARTMENT OF LABOR Certifying Officer, Division of Trade was signed on January 5, 2004, and Adjustment Assistance. Employment and Training published in the Federal Register on [FR Doc. E4–472 Filed 3–5–04; 8:45 am] February 6, 2004 (69 FR 5866). Administration Pursuant to 29 CFR 90.18(c) BILLING CODE 4510–13–P reconsideration may be granted under [TA–W–54,166] the following circumstances: DEPARTMENT OF LABOR (1) If it appears on the basis of facts Harriet and Henderson Yarns, Inc., Fort not previously considered that the Payne Distribution Center, Fort Payne, Employment and Training determination complained of was AL; Notice of Termination of Administration erroneous; Investigation (2) if it appears that the determination [TA–W–53,917] complained of was based on a mistake Pursuant to section 221 of the Trade in the determination of facts not Act of 1974, an investigation was Kincaid Furniture Company, Inc., previously considered; or initiated on February 4, 2004, in Hudson, North Carolina; Notice of (3) if in the opinion of the Certifying response to a worker petition which was Termination of Investigation Officer, a misinterpretation of facts or of filed on behalf of workers at Harriet and the law justified reconsideration of the Pursuant to section 221 of the Trade decision. Henderson Yarns, Inc., Fort Payne Act of 1974, as amended, an The TAA petition was filed on behalf Distribution Center, Fort Payne, investigation was initiated on December of a worker at Geotrac, Inc., Norwalk, Alabama. 31, 2003, in response to a petition filed Ohio engaged in generating flood An active certification covering the on behalf of workers at Kincaid certifications for the mortgage lending petitioning group of workers is already Furniture Company, Inc., Hudson, industry. The petition was denied in effect (TA–W–53,293B, as amended). North Carolina. because the petitioning worker did not Consequently, further investigation in produce an article within the meaning this case would serve no purpose, and The petitioning group of workers is of Section 222 of the Act. the investigation has been terminated. covered by an active certification for The petitioner’s main allegation Kincaid Furniture Company, Inc., Plant consists in the fact that employees of Signed in Washington, DC this 11th day of 8 currently known as Plant 18, Lenoir, Geotrac, Inc., Norwalk, Ohio were February, 2004. North Carolina (TA–W–50,735, as separated as a result of a shift of their Linda G. Poole, amended). positions to India. Certifying Officer, Division of Trade Consequently, further investigation in In order to meet eligibility Adjustment Assistance. this case would serve no purpose, and requirements, the petitioning worker [FR Doc. 04–5081 Filed 3–5–04; 8:45 am] the investigation has been terminated. group must be engaged in production. BILLING CODE 4510–30–P Automatic generation of certificates for Signed in Washington, DC, this 17th day of February, 2004. the mortgage lending industry does not constitute production within the Linda G. Poole, meaning of Section 222 of the Trade Certifying Officer, Division of Trade Act. Adjustment Assistance. Only in very limited instances are [FR Doc. E4–471 Filed 3–5–04; 8:45 am] service workers certified for TAA, BILLING CODE 4510–13–P

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DEPARTMENT OF LABOR DEPARTMENT OF LABOR Signed in Washington, DC, this 19th day of February, 2004. Employment and Training Employment and Training Linda G. Poole, Administration Administration Certifying Officer, Division of Trade Adjustment Assistance. [TA–W–54,273] [TA–W–54,076] [FR Doc. 04–5082 Filed 3–5–04; 8:45 am] BILLING CODE 4510–30–P KS Bearings, Inc., Greensburg, IN; Oxford Drapery, Inc., Timmonsville, Notice of Termination of Investigation SC; Notice of Termination of Investigation DEPARTMENT OF LABOR Pursuant to section 221 of the Trade Act of 1974, as amended, an Pursuant to section 221 of the Trade Employment and Training investigation was initiated on February Act of 1974, an investigation was Administration 17, 2004, in response to a petition filed initiated on January 26, 2004, in [TA–W–54,116] by the International Union, United response to a petition filed by a Automobile, Aerospace and Agricultural company official on behalf of workers at Remington Products Company L.L.C., Implement Workers of America (UAW), Oxford Drapery, Inc., Timmonsville, Bridgeport, Connecticut; Notice of Local 1457, on behalf of workers at KS South Carolina. Termination of Investigation Bearings, Inc., Greensburg, Indiana. This petitioning group of workers is Pursuant to section 221 of the Trade The petition is a duplicate of the covered by an earlier petition filed on Act of 1974, as amended, an petition filed on February 12, 2004 (TA– January 14, 2004 (TA–W–54,009), that is investigation was initiated on January W–54,248), that is the subject of an the subject of an ongoing investigation 30, 2004, in response to a worker ongoing investigation for which a for which a determination has not yet petition filed on behalf of workers at determination has not yet been issued. been issued. Consequently, further Remington Products Company L.L.C., Further investigation in this case would investigation in this case would serve Bridgeport, Connecticut. serve no purpose, and the investigation no purpose, and the investigation has The petitioner has requested that the under this petition is terminated. been terminated. petition be withdrawn. Consequently, Signed in Washington, DC this 19th day of Signed in Washington, DC, this 4th day of the investigation has been terminated. February, 2004. February, 2004. Signed at Washington, DC this 19th day of Linda G. Poole, Elliott S. Kushner, February 2004. Certifying Officer, Division of Trade Certifying Officer, Division of Trade Elliott S. Kushner, Adjustment Assistance. Adjustment Assistance. Certifying Officer, Division of Trade [FR Doc. 04–5078 Filed 3–5–04; 8:45 am] [FR Doc. 04–5083 Filed 3–5–04; 8:45 am] Adjustment Assistance. [FR Doc. 04–5086 Filed 3–5–04; 8:45 am] BILLING CODE 4510–30–P BILLING CODE 4510–30–P BILLING CODE 4510–30–P

DEPARTMENT OF LABOR DEPARTMENT OF LABOR DEPARTMENT OF LABOR Employment and Training Employment and Training Employment And Training Administration Administration Administration

[TA–W–54,236] [TA–W–54,088] [TA–W–53,481]

Motion Industries, Inc., Altoona, Parsons Diamond Products, Inc., West Springs Industires, Inc., Including Pennsylvania; Notice of Termination of Hartford, Connecticut; Notice of Leased Workers Of Phillips Staffing, Investigation Termination of Investigation Including Contract Workers Of Johnson Controls, Inc., Springfield Pursuant to Section 221 of the Trade Pursuant to section 221 of the Trade Plant, Laurel Hill, North Carolina; Act of 1974, an investigation was Act of 1974, as amended, an Amended Certification Regarding initiated on February 11, 2004 in investigation was initiated on January Eligibility To Apply for Worker response to a worker petition which was 27, 2004, in response to a petition filed Adjustment Assistance filed on behalf of workers at Motion by a company official on behalf of In accordance with section 223 of the Industries, Inc., Altoona, Pennsylvania. workers of Parsons Diamond Products, Trade Act of 1974 (19 U.S.C. 2273) the Inc., West Hartford, Connecticut. An active certification covering the Department of Labor issued a petitioning group of workers is already The investigation revealed that the Certification of Eligibility to Apply for in effect (TA–W–52,925, as amended). subject firm did not separate or threaten Worker Adjustment Assistance on Consequently, further investigation in to separate a significant number or November 24, 2003, applicable to this case would serve no purpose, and proportion of workers as required by workers of Springs Industries, Inc., the investigation has been terminated. section 222 of the Trade Act of 1974. including leased workers of Phillips Significant number or proportion of the Staffing, Springfield Plant, Laurel Hill, Signed in Washington, DC this 17th day of workers means that at least three February 2004. North Carolina. The notice was workers in a firm with a workforce of published in the Federal Register on Linda G. Poole, fewer than 50 workers would have to be December 29, 2003 (68 FR 74978). Certifying Officer, Division of Trade affected. Separations by the subject firm At the request of the petitioners, the Adjustment Assistance. did not meet this threshold level; Department reviewed the certification [FR Doc. E4–474 Filed 3–5–04; 8:45 am] consequently the investigation has been for workers of the subject firm. New BILLING CODE 4510–13–P terminated. information shows that contract workers

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of Johnson Controls, Inc., were engaged determination complained of was SUMMARY: The Department of Labor, as in activities related to the production of erroneous; part of its continuing effort to reduce unfinished fabrics at Springs Industries, (2) if it appears that the determination paperwork and respondent burden, Inc., Springfield Plant at the Laurel Hill, complained of was based on a mistake conducts a preclearance consultation North Carolina location of the subject in the determination of facts not program to provide the general public firm. previously considered; or and Federal agencies with an Based on these findings, the (3) if in the opinion of the Certifying opportunity to comment on proposed Department is amending this Officer, a misinterpretation of facts or of and/or continuing collections of certification to include contract workers the law justified reconsideration of the information in accordance with the of Johnson Controls working at Springs decision. Paperwork Reduction Act of 1995 Industries, Inc., Springfield Plant, The TAA petition, filed on behalf of (PRA95) (44 U.S.C. 3506(c)(2)(A)). This Laurel Hill, North Carolina. workers at TDK Texas Corporation, a program helps to ensure that requested The intent of the Department’s subsidiary of TDK USA Corporation, El data can be provided in the desired certification is to include all workers of Paso, Texas, engaged in distribution of format, reporting burden (time and Springs Industries, Inc., Springfield electronic components was denied financial resources) is minimized, Plant, who were adversely affected by because the workers did not produce an collection instruments are clearly increased imports of unfinished fabrics. article within the meaning of Section understood, and the impact of collection The amended notice applicable to 222 of the Trade Act of 1974. requirements on respondents can be TA–W–53,481 is hereby issued as The workers appear to be alleging that properly assessed. Currently, the follows: layoffs at TDK Texas Corporation, a Employment Standards Administration subsidiary of TDK USA Corporation, El is soliciting comments concerning the All workers of Springs Industries, Inc., Paso, Texas, was attributed to free trade leased workers of Phillips Staffing, proposed collection: Survivor’s Form for and attempt to depict this in their Benefits (CM–912). A copy of the Springfield Plant, and contract workers of request for reconsideration. Johnson Controls, Inc. working at Springs proposed information collection request The worker allegations of trade Industries, Inc., Springfield Plant, Laurel can be obtained by contacting the office impact would only be relevant if all Hill, North Carolina, who became totally or listed below in the ADDRESSES section of other eligibility requirements for trade partially separated from employment on or this Notice. after October 31, 2002, through November 24, adjustment assistance were met in this 2005, are eligible to apply for adjustment case. However, distribution services do DATES: Written comments must be assistance under section 223 of the Trade Act not meet the definition of production of submitted to the office listed in the of 1974. an article as established in Section 222 ADDRESSES section below on or before of the Trade Act, thus the workers in May 7, 2004. Signed in Washington, DC this 20th day of February, 2004. this case do not meet the eligibility ADDRESSES: Ms. Hazel M. Bell, U.S. requirements of TAA. Department of Labor, 200 Constitution Linda G. Poole, Only in very limited instances are Certifying Officer, Division of Trade Ave., NW., Room S–3201, Washington, service workers certified for TAA, DC 20210, telephone (202) 693–0418, Adjustment Assistance. namely the worker separations must be [FR Doc. E4–466 Filed 3–5–04; 8:45 am] fax (202) 693–1451, e-mail caused by a reduced demand for their [email protected]. Please use only one BILLING CODE 4510–13–P services from a parent or controlling method of transmission for comments firm or subdivision whose workers (mail, fax, or e-mail). produce an article and who are DEPARTMENT OF LABOR currently under certification for TAA. SUPPLEMENTARY INFORMATION Employment and Training Conclusion I. Background Administration After review of the application and This collection of information is investigative findings, I conclude that required to administer the benefit [TA–W–53,577] there has been no error or payment provisions of the Black Lung Act for survivors of deceased miners. TDK Texas Corporation, A Subsidiary misinterpretation of the law or of the Form CM–912 is authorized for use by of TDK USA Corporation, El Paso, facts which would justify the Black Lung Benefits Act 30 U.S.C. Texas; Notice of Negative reconsideration of the Department of 901, et seq., 20 CFR 410.221 and CFR Determination Regarding Application Labor’s prior decision. Accordingly, the 725.304. Completion of Form CM–912 for Reconsideration application is denied. constitutes the application for benefits Signed at Washington, DC, this 20th day of By application of January 5, 2004, a February, 2004. by survivors and assists DCMWC in petitioner requested administrative Elliott S. Kushner, determining the survivor’s entitlement to benefits. This information collection reconsideration of the Department’s Certifying Officer, Division of Trade negative determination regarding Adjustment Assistance. is currently approved for use through August 31, 2004. eligibility for workers and former [FR Doc. E4–467 Filed 3–5–04; 8:45 am] workers of the subject firm to apply for BILLING CODE 4510–13–P II. Review Focus Trade Adjustment Assistance (TAA). The denial notice was signed on The Department of Labor is November 24, 2003 and published in DEPARTMENT OF LABOR particularly interested in comments the Federal Register on December 29, which: 2003 (68 FR 74978). Employment Standards Administration • Evaluate whether the proposed Pursuant to 29 CFR 90.18(c) collection of information is necessary reconsideration may be granted under Proposed Collection; Comment for the proper performance of the the following circumstances: Request functions of the agency, including (1) If it appears on the basis of facts whether the information will have ACTION: Notice. not previously considered that the practical utility;

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• Evaluate the accuracy of the paperwork and respondent burden, for the proper performance of the agency’s estimate of the burden of the conducts a preclearance consultation functions of the agency, including proposed collection of information, program to provide the general public whether the information will have including the validity of the and Federal agencies with an practical utility; methodology and assumptions used; opportunity to comment on proposed • • Evaluate the accuracy of the Enhance the quality, utility and and/or continuing collections of agency’s estimate of the burden of the clarity of the information to be information in accordance with the proposed collection of information, collected; and Paperwork Reduction Act of 1995 including the validity of the • Minimize the burden of the (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This methodology and assumptions used; collection of information on those who program helps to ensure that requested • are to respond, including through the data can be provided in the desired Enhance the quality, utility and use of appropriate automated, format, reporting burden (time and clarity of the information to be electronic, mechanical, or other financial resources) is minimized, collected; and technological collection techniques or collection instruments are clearly • Minimize the burden of the other forms of information technology, understood, and the impact of collection collection of information on those who e.g., permitting electronic submissions requirements on respondents can be are to respond, including through the of responses. properly assessed. Currently, the use of appropriate automated, III. Current Actions Employment Standards Administration electronic, mechanical, or other is soliciting comments concerning the technological collection techniques or The Department of Labor seeks the proposed collection: Waiver of Child other forms of information technology, extension of approval to collect this Labor Provisions for Agricultural e.g., permitting electronic submissions information in order to gather Employment of 10 and 11 Year Old of responses. information to determine eligibility for Minors in Hand Harvesting of Short benefits of a survivor of a Black Lung III. Current Actions: The Department Season Crops—29 CFR Part 575. A copy Act beneficiary. of Labor seeks approval for the Type of Review: Extension. of the proposed information collection extension of this information collection Agency: Employment Standards request can be obtained by contacting in order to determine whether the Administration. the office listed below in the addresses statutory requirements and conditions Title: Survivor’s Form for Benefits. section of this Notice. for granting a requested exemption have OMB Number: 1215–0069. DATES: Written comments must be been met. Agency Number: CM–912. submitted to the office listed in the Type of Review: Extension. Affected Public: Individuals or addresses section below on or before households. May 7, 2004. Agency: Employment Standards Total Respondents: 2,800. Administration ADDRESSES: Total Annual Responses: 2,800. Ms. Hazel M. Bell, U.S. Department of Labor, 200 Constitution Title: Waiver of Child Labor Average Time per Response: 8 Provisions for Agricultural Employment minutes. Ave., NW., Room S–3201, Washington, DC 20210, telephone (202) 693–0418, of 10 and 11 Year Old Minors in Hand Estimated Total Burden Hours: 373. Harvesting of Short Season Crops—29 Frequency: One time. fax (202) 693–1451, Email Total Burden Cost (Capital/Startup): [email protected]. Please use only one CFR Part 575. $0. method of transmission for comments OMB Number: 1215–0120. Total Burden Cost (Operating/ (mail, fax, or Email). Affected Public: Farms; individual or Maintenance): $800.00. households. Comments submitted in response to SUPPLEMENTARY INFORMATION this notice will be summarized and/or I. Background: Section 13 (c) (4) of the Total Respondents: 1. included in the request for Office of Fair Labor Standards Act (FLSA), 29 Total Responses: 1. Management and Budget approval of the U.S.C. 201 et seq., authorizes the Average Time per Response: 4 hours. information collection request; they will Secretary of Labor to grant a waiver of Estimated Total Burden Hours: 4. also become a matter of public record. child labor provisions of the FLSA for Frequency: On Occasion. Dated: March 2, 2004. the agricultural employment of 10 and Bruce Bohanon, 11 year old minors in the hand Total Burden Cost (capital/startup): harvesting of short season crops if Chief, Branch of Management Review and $0. Internal Control, Division of Financial specific requirements and conditions Total Burden Cost (operating/ Management, Office of Management, are met. The Act requires that all maintenance): $0. Administration and Planning, Employment employers who are granted such Standards Administration. waivers keep on file a signed statement Comments submitted in response to this notice will be summarized and/or [FR Doc. 04–5075 Filed 3–5–04; 8:45 am] of the parent or person standing in the included in the request for Office of BILLING CODE 4510–CH–P place of the parent of each 10 and 11 year old minor, consenting to their Management and Budget approval of the employment, along with a record of the information collection request; they will DEPARTMENT OF LABOR name and address of the school in also become a matter of public record. which the minor is enrolled. This Dated: March 2, 2004. Employment Standards Administration information collection is currently Bruce Bohanon, approved for use through August 31, Proposed Collection; Comment Chief, Branch of Management Review and 2004. Internal Control, Division of Financial Request II. Review Focus: The Department of Management, Office of Management, Administration and Planning, Employment ACTION: Notice. Labor is particularly interested in comments which: Standards Administration. SUMMARY: The Department of Labor, as • Evaluate whether the proposed [FR Doc. 04–5076 Filed 3–5–04; 8:45 am] part of its continuing effort to reduce collection of information is necessary BILLING CODE 4510–27–P

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MEDICARE PAYMENT ADVISORY INTERNATIONAL BOUNDARY AND yards of sediment material, either COMMISSION WATER COMMISSION hydraulically (Option 1) or mechanically (Option 2), during the Commission Meeting United States and Mexico, United non-irrigation season between States Section; Notice of Availability of September and February when water AGENCY: Medicare Payment Advisory a Final Environmental Assessment and levels in the Rio Grande are maintained Commission. Finding of No Significant Impact for at lower levels. Construction activities Sediment Removal Downstream of include transporting dredged materials ACTION: Notice of meeting. Retamal Diversion Dam, in the Lower to dewatering cells on the Mexican Rio Grande Flood Control Project, riverbank. A hydraulic piping system SUMMARY: The Commission will hold its Located in Hidalgo County, Texas may be set up to transport the slurry next public meeting on Thursday, mix directly to the final disposal area or March 18, 2004, and Friday, March 19, AGENCY: United States Section, the materials may be transported by 2004, at the Ronald Reagan Building, International Boundary and Water Commission (USIBWC), United States trucks provided by Mexico, depending International Trade Center, 1300 and Mexico. on the disposal method. A coffer dam Pennsylvania Avenue, NW., may also be constructed to de-water Washington, DC. The meeting is ACTION: Notice of availability of final alternate sides of the river during tentatively scheduled to begin at 9:30 Environmental Assessment (EA) and dredging activities. The EA provides a.m. on March 18, and at 9 a.m. on Finding of No Significant Impact details of the action, explains the March 19. (FONSI). purpose and need for the action, and Topics for discussion include: Long- SUMMARY: Pursuant to section 102(2)(c) assesses the potential impacts of the term care hospitals; the Medicare of the National Environmental Policy proposed action and alternatives. hospice program; information Act of 1969, the Council on technology in healthcare; issues related Environmental Quality Final Alternatives Considered to hospital-based and freestanding Regulations (40 CFR parts 1500 through The USIBWC proposes to remove the skilled nursing facilities; chronic care 1508), and the U.S. Section’s vegetated island and sandbar by improvement; beneficiaries’ financial Operational Procedures for dredging the sediment, either liability; private insurers’ strategies for Implementing Section 102 of NEPA, hydraulically (Option 1) or purchasing imaging and other services; published in the Federal Register mechanically (Option 2), and prescription drug implementation September 2, 1981 (46 FR 44083), the beneficially use or dispose of all the issues; and the Medicare dual eligible U.S. Section hereby gives notice that the Final Environmental Assessment and material on vacant Mexican Federal population. The Commission will also Finding of No Significant Impact for government land adjacent to the river at discuss work plans for two Sediment Removal Downstream of the dredging location. congressionally mandated reports on the Retamal Diversion Dam, in the Lower usefulness of the IRS Form 990 in The sandbar and island downstream Rio Grande Flood Control Project, of the Retamal Diversion Dam will not reporting on hospitals’ access to capital located in Hidalgo County, Texas are be removed in the no action alternative. and an assessment of the strengths and available. A notice of finding of no The accumulation of sediment will weaknesses of available data to judge significant impact dated October 7, likely continue in the channel on the total financial circumstances of 2003, provided a thirty (30) day hospitals and other providers of comment period before making the U.S. side of the Rio Grande and along Medicare services. finding final. The notice was published the concrete apron beneath the flood gates, thus potentially impairing the Agendas will be e-mailed in the Federal Register on October 17, ability of the gates to operate effectively approximately one week prior to the 2003 (68 FR 59818). to properly control flood events. The meeting. The final agenda will be FOR FURTHER INFORMATION CONTACT: main channel in the river could available on the Commission’s Web site Daniel Borunda, Environmental continue shifting toward the Mexican (www.MedPAC.gov). Protection Specialist, Environmental Management Division, United States side, thus potentially changing the ADDRESSES: MedPAC’s address is: 601 Section, International Boundary and boundary location between the two New Jersey Avenue, NW., Suite 9000, Water Commission, 4171 N. Mesa, C– countries. Washington, DC 20001. The telephone 100, El Paso, Texas 79902. Telephone: Availability number is (202) 220–3700. (915) 832–4701, email: FOR FURTHER INFORMATION CONTACT: [email protected]. Single hard copies of the Final Diane Ellison, Office Manager, (202) SUPPLEMENTARY INFORMATION: Environmental Assessment and Final 220–3700. Finding of No Significant Impact may be Proposed Action obtained by request at the above Mark E. Miller, The project includes dredging the address. Electronic copies may also be Executive Director. sediment and beneficially use or obtained from the USIBWC home page [FR Doc. 04–5161 Filed 3–5–04; 8:45 am] dispose of all the material on vacant at www.ibwc.state.gov. Mexican Federal government land BILLING CODE 6820–BW–M Dated: February 25, 2004. adjacent to the river at the dredging location. The size of the project area is Susan Daniel, approximately 4.94 acres, which Assistant General Counsel. includes 2.1 acres of wetland. The EA [FR Doc. 04–4681 Filed 3–5–04; 8:45 am] analyzes potential impacts from BILLING CODE 4710–03–P dredging approximately 54,000 cubic

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NATIONAL AERONAUTICS AND persons to provide their written views • Information exchanged between SPACE ADMINISTRATION on issues relating to implementing Federal agencies and other section 207(e)(1)(A) of the E- governments, [Notice (04–040)] Government Act of 2002. That section • Government-enabled web services, • President’s Commission on calls for ‘‘the adoption by agencies of Standard government forms, Implementation of United States Space policies and procedures to ensure that • E-government business Exploration Policy; Meeting chapters 21, 25, 27, 29, and 31 of title transactions. 44, United States Code, are applied B. Other electronic records— AGENCY: National Aeronautics and effectively and comprehensively to electronic information meeting the Space Administration (NASA). Government information on the Internet definition of a Federal record per 44 ACTION: Notice of meeting. and to other electronic records.’’ The U.S.C. 3301. Records include: topics on which the Working Group is • All books, papers, maps, SUMMARY: In accordance with the seeking comment and additional photographs, machine readable Federal Advisory Committee Act, Public information about the Working Group materials, or other documentary Law 92–463, as amended, the National are provided in the SUPPLEMENTARY materials, Aeronautics and Space Administration INFORMATION section of this notice. • regardless of physical form or announces a meeting of the President’s DATES: To be considered, comments characteristics, Commission on Implementation of must be received no later than April 5, • made or received by an agency of United States Space Exploration Policy. 2004. the United States Government, DATES: Wednesday, March 24, 2004, 1 ADDRESSES: Send your comments to • under Federal law or, p.m. to 4 p.m. and Thursday, March 25, [email protected] or by fax to 301–837– • in connection with the transaction 2004, 9 a.m. to 4:30 p.m. 0319. of public business, ADDRESSES: Georgia Centers for SUPPLEMENTARY INFORMATION: • and preserved or appropriate for Advanced Telecommunications Background preservation by that agency or its Technology, Georgia Institute of legitimate successor, Technology, 250 14th Street, NW., The Electronic Records Working • as evidence of the organization, Atlanta, GA 30318. Group was established by the functions, policies, decisions, FOR FURTHER INFORMATION CONTACT: Mr. Interagency Committee on Government procedures, operations or other Steven Schmidt, Office of the Information (ICGI), to fulfill the activities of the Government or, Administrator, National Aeronautics requirements of subsection 207(e) of the • because of the informational value and Space Administration, Washington, Act, ‘‘Public Access to Electronic of the data in them (44 U.S.C. 3301). DC, (202) 358–1808. Information.’’ The Working Group’s 2. Perceived barriers to effective SUPPLEMENTARY INFORMATION: The members are drawn from a number of management of ‘‘Government meeting will be open to the public up Federal agencies, with NARA as the information on the Internet and other to the seating capacity of the room. The chair. The Working Group will develop electronic records.’’ The operating agenda for the meeting is as follows: for the ICGI proposed recommendations definition of effective management on records management policies and —Competitiveness and Prosperity currently used by the Working Group procedures. The Working Group has includes: —Science and Technology held several focus groups with • Managing through the life cycle, —Management and Sustainability interested stakeholders from Federal • Providing for accessibility and —Education and Youth agencies, public interest groups, and retrieval, It is not possible to accommodate the professional organizations and will hold full notice period because of the short • Providing sufficient security, a public meeting on March 30, 2004 (see • time frame in which the Commission is 69 FR 9855, March 2, 2004) to gather Ensuring consistency (ability to expected to finish its work and write its input to inform their recommendations. reproduce record), • report. Visitors will be requested to sign In order to solicit the opinions of Providing for the integrity of a visitor’s register. stakeholders who could not attend one records over time, • Ensuring no loss of records, Al Condes, of these meetings, the Working Group is providing this opportunity to comment. • Ensuring compatibility with Acting Assistant Administrator for External standard formats, Relations, National Aeronautics and Space Issues for Comment • Administration. Managing format changes over time, • [FR Doc. 04–5164 Filed 3–5–04; 8:45 am] The Working Group is seeking Providing for long-term record feedback on the following topics in their BILLING CODE 7510–01–P storage and migration of formats, meetings and this notice. • Managing the location of records 1. The definition of ‘‘Government over time, information on the Internet and other • Cost effective, NATIONAL ARCHIVES AND RECORDS electronic records.’’ The operating • ADMINISTRATION Appropriate long-term definitions currently used by the custodianship. Working Group are as follows: Electronic Records Policy Working 3. Guidance tools for Federal agencies A. Government information on the Group Request for Public Comment that would assist in overcoming the Internet includes: identified barriers. AGENCY: National Archives and Records • Information posted on Government Administration (NARA). web sites, Dated: March 2, 2004. • Lewis J. Bellardo. ACTION: Request for public comment. Information exchanged between Federal agencies, Deputy Archivist of the United States. SUMMARY: The Electronic Records Policy • Information exchanged between [FR Doc. 04–5091 Filed 3–5–04; 8:45 am] Working Group is inviting interested Federal agencies and the public, BILLING CODE 7515–01–P

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NATIONAL FOUNDATION FOR THE AccessAbility, National Endowment for applications or fellowship nominations, ARTS AND THE HUMANITIES the Arts, 1100 Pennsylvania Avenue, such as personal biographical and salary NW., Washington, DC 20506, (202) 682– data or medical information, may be National Endowment for the Arts 5532, TDY–TDD (202) 682–5496, at least conducted by the Council in closed seven (7) days prior to the meeting. session in accordance with subsection President’s Committee on the Arts and (c)(6) of 5 U.S.C. 552b. the Humanities: Meeting ●55 Dated: March 3, 2004. Kathy Plowitz-Worden, Any interested persons may attend, as observers, Council discussions and Pursuant to section 10(a)(2) of the Panel Coordinator, Panel Operations, Federal Advisory Committee Act (Pub. National Endowment for the Arts. reviews that are open to the public. If you need special accommodations due L. 92–463), as amended, notice is hereby [FR Doc. 04–5136 Filed 3–5–04; 8:45 am] to a disability, please contact the Office given that a meeting of the President’s BILLING CODE 7537–01–P Committee on the Arts and the of AccessAbility, National Endowment Humanities (PCAH) will be held on for the Arts, 1100 Pennsylvania Avenue, Wednesday, March 31, 2004, from 11 NATIONAL FOUNDATION FOR THE NW., Washington, DC 20506, 202/682– a.m. to approximately 1 p.m. The ARTS AND THE HUMANITIES 5532, TTY–TDD 202/682–5429, at least meeting will be held in the Upstairs seven (7) days prior to the meeting. Conference Room at Zola’s Restaurant, National Endowment for the Arts Further information with reference to 800 F Street, NW., Washington, DC. this meeting can be obtained from the National Council on the Arts 151st The Committee meeting will begin at Office of Communications, National Meeting 11 a.m. with a welcome, introductions Endowment for the Arts, Washington, DC 20506, at 202/682–5570. and announcements by Adair Margo, Pursuant to section 10 (a)(2) of the Committee Chairman. This will be Federal Advisory Committee Act (Pub. Dated: March 3, 2004. followed by a presentation by Marc L. 92–463), as amended, notice is hereby Kathy Plowitz-Worden, Pachter (Director, National Portrait given that a meeting of the National Panel Coordinator, Office of Guidelines and Gallery) and Lawrence Small (PCAH Council on the Arts will be held on Panel Operations. member) on renovations at the National March 31, 2004 from 9 a.m.–12:15 p.m. [FR Doc. 04–5134 Filed 3–5–04; 8:45 am] Portrait Gallery. The meeting will (ending time is tentative) in Room M– BILLING CODE 7537–01–P include reports, presented by agency 09 at the Nancy Hanks Center, 1100 representatives, from the National Pennsylvania Avenue, NW., Endowment for the Humanities, the Washington, DC 20506. NUCLEAR REGULATORY Institute of Museum and Library This meeting will be open to the COMMISSION Services, the National Endowment for public on a space available basis. The the Arts, and the President’s Committee meeting will begin with opening [Docket Nos. 50–266 and 50–301] on the Arts and the Humanities. The remarks and updates presented by the Nuclear Management Company, Llc; remainder of the meeting will focus on Chairman, after which new Council Notice Of Receipt And Availability Of discussions of current activities in the members will be sworn in. This will be Application For Renewal Of Point area of youth arts and humanities followed by a Congressional/White Beach Nuclear Plant, Units 1 And 2; learning and historic preservation/ House update and an update on the Facility Operating License Nos. Dpr-24 conservation as well as planned NEA Jazz Masters Initiative. There will And Dpr-27 for an Additional 20-Year activities, including special events and be a presentation by Jeff Speck (NEA Period international activities focusing on U.S.- Design Director), the Honorable Joe Mexico cultural relations. The meeting Riley (Mayor of Charleston, SC), and The U.S. Nuclear Regulatory will adjourn following closing remarks. Julie Bargmann (landscape architect) on Commission (NRC or Commission) has The President’s Committee on the the Mayors’ Institute on City Design. received an application, dated February Arts and the Humanities was created by The meeting will also include 25, 2004, from Nuclear Management Executive Order in 1982 and advises, application review (Challenge America- Company, LLC., filed pursuant to provides recommendations to, and Access, Heritage & Preservation, State Section 103 (Operating License assists the President, the National and Regional Partnership Agreements, Numbers DPR–24 and DPR–27) of the Endowment for the Arts, the National Folk & Traditional Arts Infrastructure, Atomic Energy Act of 1954, as amended, Endowment for the Humanities and the National Heritage Fellowships, Arts on and 10 CFR Part 54, to renew the Institute of Museum and Library Radio and Television, and Leadership operating licenses for the Point Beach Services on matters relating to the arts Initiatives) and review of Guidelines Nuclear Plant, Units 1 and 2, and the humanities. (Arts on Radio and Television, National respectively. Renewal of the license Any interested persons may attend as Heritage Fellowships, NEA Jazz Masters would authorize the applicant to observers, on a space available basis, but Fellowships, and Partnership operate each facility for an additional seating is limited. Therefore, for this Agreements). The meeting will conclude 20-year period beyond the period meeting, individuals wishing to attend with general discussion. specified in the respective current must contact Georgiana Paul of the If, in the course of the open session operating licenses. The current President’s Committee seven days in discussion, it becomes necessary for the operating license for the Point Beach advance at (202) 682–5409 or write to Council to discuss non-public Unit 1 (DRP–24) expires on October 5, the Committee at 1100 Pennsylvania commercial or financial information of 2010, and the current operating license Avenue, NW., Suite 526, Washington, intrinsic value, the Council will go into for Point Beach Unit 2 (DRP–27) expires DC 20506. Further information with closed session pursuant to subsection on March 8, 2013. The Point Beach reference to this meeting can also be (c)(4) of the Government in the Nuclear Plant, Units 1 and 2 are obtained from Ms. Paul. Sunshine Act, 5 U.S.C. 552b. pressurized-water reactors designed by If you need special accommodations Additionally, discussion concerning Westinghouse Electric Corporation. due to a disability, please contact Ms. purely personal information about Both units are located near the Town of Paul through the Office of individuals, submitted with grant Two Creeks near Two Rivers,

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Wisconsin. The acceptability of the Friday, March 26, 2004—8 a.m. Until completion times. The Subcommittees tendered application for docketing, and the Conclusion of Business will hear presentations by and hold other matters including an opportunity The purpose of this meeting is to discussions with representatives of the to request a hearing, will be the subject discuss digital instrumentation and NRC staff and other interested persons of subsequent Federal Register notices. control research activities, including regarding this matter. The Copies of the application are available development of digital system reliability Subcommittees will gather information, for public inspection at the models. The Subcommittee will hear analyze relevant issues and facts, and Commission’s Public Document Room presentations by and hold discussions formulate proposed positions and (PDR), located at One White Flint North, with representatives of the Office of actions, as appropriate, for deliberation 11555 Rockville Pike (first floor), Nuclear Regulatory Research, and other by the full Committee. Rockville, Maryland, 20582 or interested persons regarding this matter. Members of the public desiring to electronically from the NRC’s The Subcommittee will gather provide oral statements and/or written Agencywide Documents Access and information, analyze relevant issues and comments should notify the Designated Management System (ADAMS) Public facts, and formulate proposed positions Federal Official, Ms. Maggalean Weston (telephone: 301–415–3151) five days Electronic Reading Room under and actions, as appropriate, for prior to the meeting, if possible, so that accession number ML040580020. The deliberation by the full Committee. appropriate arrangements can be made. ADAMS Public Electronic Reading Members of the public desiring to Electronic recordings will be permitted. Room is accessible from the NRC Web provide oral statements and/or written Further information regarding this site at http://www.nrc.gov/reading-rm/ comments should notify the Designated meeting can be obtained by contacting adams.html. In addition, the application Federal Official, Mr. Marvin D. Sykes the Designated Federal Official between is available on the NRC Web page at (telephone 301/415–8716), five days prior to the meeting, if possible, so that 8 a.m. and 5:30 p.m. (e.t.). Persons http://www.nrc.gov/reactors/operating/ appropriate arrangements can be made. planning to attend this meeting are licensing/renewal/applications.html, Electronic recordings will be permitted. urged to contact the above named while the application is under review. Further information regarding this individual at least two working days Persons who do not have access to meeting can be obtained by contacting prior to the meeting to be advised of any ADAMS or who encounter problems in the Designated Federal Official between potential changes to the agenda. accessing the documents located in 7:30 a.m. and 4:15 p.m. (e.t.). Persons Dated: March 2, 2004. ADAMS should contact the NRC’s PDR planning to attend this meeting are Howard J. Larson, Reference staff at 1–800–397–4209, urged to contact the above named extension 301–415–4737, or by e-mail to individual at least two working days Acting Associate Director for Technical Support, ACRS/ACNW. [email protected]. prior to the meeting to be advised of any A copy of the license renewal potential changes to the agenda. [FR Doc. 04–5105 Filed 3–5–04; 8:45 am] BILLING CODE 7590–01–P application for the Point Beach Nuclear Dated: March 1, 2004. Plant, Units 1 and 2, is also available to Howard J. Larson, local residents near the Point Beach Acting Associate Director for Technical Nuclear Plant at the Lester Public SECURITIES AND EXCHANGE Support, ACRS/ACNW. COMMISSION Library 1001 Adams Street, Two Rivers, [FR Doc. 04–5104 Filed 3–5–04; 8:45 am] Wisconsin 54241. BILLING CODE 7590–01–P [Release No. IC–26373; 812–12817] Dated at Rockville, Maryland, this 2nd day of March 2004. Money Market Obligations Trust, et al.; Notice of Application For the Nuclear Regulatory Commission. NUCLEAR REGULATORY COMMISSION Pao-Tsin Kuo, March 2, 2004. Program Director, License Renewal and Advisory Committee on Reactor AGENCY: Securities and Exchange Environmental Impacts, Division of Safeguards: Joint Meeting of the ACRS Commission (‘‘Commission’’). Regulatory Improvement Programs, Office of Subcommittees on Reliability and ACTION: Notice of an application under Nuclear Reactor Regulation. Probabilistic Risk Assessment and on section 17(b) of the Investment [FR Doc. E4–478 Filed 3–5–04; 8:45 am] Plant Operations; Notice of Meeting Company Act of 1940 (the ‘‘Act’’) for an BILLING CODE 7590–01–P exemption from section 17(a) of the Act. The ACRS Subcommittees on Reliability and Probabilistic Risk SUMMARY OF APPLICATION: Applicants NUCLEAR REGULATORY Assessment and on Plant Operations seek an order under section 17(b) of the COMMISSION will hold a joint meeting on March 25, act in connection with the transfer of 2004, Room T–2B1, 11545 Rockville certain assets of Tax-Free Instruments Advisory Committee on Reactor Pike, Rockville, Maryland. Trust (‘‘TFIT’’), a series of Money Safeguards; Meeting of the The entire meeting will be open to Market Obligations Trust (the ‘‘Trust’’), Subcommittee on Plant Operations; public attendance. to Edward Jones Tax Free Money Market Notice of Meeting The agenda for the subject meeting Fund (the ‘‘Jones Fund’’) in exchange shall be as follows: for shares of the Jones Fund. The ACRS Subcommittee on Plant Thursday, March 25, 2004—8:30 a.m. APPLICANTS: The Trust and the Jones Operations will hold a meeting on Until 11:30 a.m. Fund. March 26, 2004, Room T–2B3, 11545 FILING DATES: The application was filed Rockville Pike, Rockville, Maryland. The Subcommittees will hear the status of the Risk Management on May 1, 2002 and amended on March The entire meeting will be open to Technical Specifications program 1, 2004. public attendance. related to Issue 4(b)—Use of HEARING OR NOTIFICATION OF HEARING: An The agenda for the subject meeting configuration management for order granting the application will be shall be as follows: determining technical specification issued unless the Commission orders a

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hearing. Interested persons may request Adviser is FIMCO and the sole limited 5. The investment objective and a hearing by writing to the partner is Edward Jones & Co. L.P. policies, as well as the fee structure, of Commission’s Secretary and serving (‘‘Edward Jones’’), a broker-dealer the Investment Shares class of TFIT and applicants with a copy of the request, registered under the Securities the Jones Fund are identical. In personally or by mail. Hearing requests Exchange Act of 1934. FIMCO and the addition, applicants expect the expense should be received by the Commission Jones Adviser are registered as ratios of the Investment Shares class of by 5:30 p.m. on March 26, 2004, and investment advisers under the TFIT and the Jones Fund will be the should be accompanied by proof of Investment Advisers Act of 1940. same as TFIT’s current expense ratio for service on applicants, in the form of an Edward Jones brokerage customers (the the Investment Shares class after the affidavit or, for lawyers, a certificate of ‘‘Jones Shareholders’’) hold almost Exchange and Redemption. Both the service. Hearing requests should state eighty percent of TFIT’s outstanding Jones Fund and the Investment Shares the nature of the writer’s interest, the shares in connection with their class of TFIT have a management fee of reason for the request, and the issues brokerage accounts. All of the Jones .50%, shareholder services fee of .25%, contested. Persons who wish to be Shareholders own Investment Shares. and other expenses of .15%, resulting in notified of a hearing may request Applicants propose to transfer the Jones total gross expenses of .90%. After notification by writing to the Shareholders from TFIT to the Jones voluntary fee waivers and/or Commission’s Secretary. Fund. assumptions of expenses, the total ADDRESSES: Secretary, Commission, 450 3. Rule 2510(d) of the Conduct Rules annual operating expenses for the 5th Street, NW., Washington, DC 20549– of the National Association of Securities Investment Shares class of TFIT 0609. Applicants, c/o Leslie K. Ross, Dealers, Inc. (‘‘NASD Rule 2510(d)’’) currently are, and the Jones Fund will Esq., Reed Smith LLP, Federated provides an exception to the general be, .75%. Investors Tower, 1001 Liberty Avenue, rule prohibiting the exercise of 6. The Assets will be valued at their Pittsburgh, PA 15222–3779. discretionary power in a customer’s amortized cost value on the date of the account for which the customer has not Exchange so that the number of shares FOR FURTHER INFORMATION CONTACT: given prior written authorization. NASD issued will equal the number of shares Marilyn Mann, Senior Counsel, at (202) rule 2510(d) permits the use of negative of TFIT held by Jones Shareholders. 942–0582, or Mary Kay Frech, Branch response letters in connection with bulk After the Exchange, each Jones Chief, at (202) 942–0564 (Division of exchanges at net asset value of money Shareholder will hold the same number Investment Management, Office of market funds in sweep accounts. A of Jones Shares as he or she held in TFIT Investment Company Regulation). negative response letter would be prior to the Exchange. No brokerage SUPPLEMENTARY INFORMATION: The provided to all Jones Shareholders at commission, fee (except customary following is a summary of the least 30 days in advance of the transfer fees) or remuneration will be application. The complete application consummation of the Exchange (as paid in connection with the Exchange may be obtained for a fee at the defined below). The letter would and Redemption. Commission’s Public Reference Branch, contain a tabular comparison of the 450 5th Street, NW., Washington, DC nature and amount of fees charged by Applicants’ Legal Analysis 20549–0102 (tel. (202) 942–8090). the Funds as well as a comparative 1. Section 17(a) of the Act prohibits Applicants’ Representations description of the investment objectives any affiliated person of a registered of each Fund. In addition, a prospectus investment company, or any affiliated 1. The Trust, established in 1988, is for the Jones Fund would accompany person of such person, acting as organized as a Massachusetts business the letter. Any shareholder objecting to principal, knowingly to sell any security trust and is registered under the Act as the Exchange within the allotted time or other property to such registered an open-end management investment period would not have his or her shares investment company, or to purchase company. The Trust currently offers exchanged and instead would remain a from such registered investment forty series, including TFIT. TFIT has shareholder of TFIT. Following company any security or other property two classes of shares, ‘‘Investment completion of the proposed Exchange, (except securities of which the seller is Shares’’ and ‘‘Institutional Service Jones Shareholders who elect to remain the issuer). Section 2(a)(3) of the Act Shares.’’ The Jones Fund is organized as shareholders of TFIT will no longer be defines the term ‘‘affiliated person’’ of a Massachusetts business trust and is able to use it as a sweep vehicle in another person to include any person registered under the Act as an open-end connection with their brokerage controlling, controlled by, or under management investment company. The accounts. common control with, the other person. Jones Fund was established on January 4. Applicants propose that TFIT 2. Applicants state that TFIT and the 25, 2001 and has not conducted any would transfer a pro rata portion of its Jones Fund may be viewed as being business other than that incident to its assets (the ‘‘Assets’’) to the Jones Fund under the common control of FIMCO, organization. TFIT and the Jones Fund in exchange (the ‘‘Exchange’’) for shares and thus affiliated persons of each (the ‘‘Funds’’) are both money market of the Jones Fund (the ‘‘Jones Shares’’).1 other. Applicants further state that to funds whose investment objective is to The Exchange will not be a taxable the extent that the Exchange and provide current income exempt from event. Immediately after the Exchange, Redemption may be deemed to federal income tax consistent with the Jones Shares received by TFIT in constitute a purchase and sale of stability of principal. exchange for the transferred Assets will securities between TFIT and the Jones 2. Federated Investment Management be distributed to the Jones Shareholders Fund, the Exchange and Redemption Company (‘‘FIMCO’’), a wholly-owned pro rata in exchange for their TFIT would be prohibited by section 17(a). subsidiary of Federated Investors, Inc. shares (the ‘‘Redemption’’).2 3. Rule 17a–8 exempts certain (‘‘Federated’’), serves as investment mergers, consolidations, and purchases adviser to TFIT. Passport Research Ltd. 1 Certain securities may be excluded from the pro or sales of substantially all of the assets (the ‘‘Jones Adviser’’), a Pennsylvania rata transfer. Such securities include securities restricted on disposition, certificated securities, odd of affiliated registered investment limited partnership, serves as lots and fractional positions. investment adviser to the Jones Fund. 2 Jones Shareholders not choosing to invest in the shares either before or after the Redemption and The sole general partner of the Jones Jones Fund could remain in TFIT or redeem their Exchange.

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companies from the provisions of will be excluded from the pro rata the request. Any request for hearing section 17(a) of the Act provided, among transfer. should identify specifically the issues of other requirements, that the board of 2. The Assets will be valued for facts or law that are disputed. A person directors of each affiliated investment purposes of the Exchange and who so requests will be notified of any company determines that the Redemption using the amortized cost hearing, if ordered, and will receive a transaction is in the best interests of the method so long as the board of trustees copy of any notice or order issued in the company and the interests of the of each of TFIT and the Jones Fund matter. After March 29, 2004, the existing shareholders will not be diluted makes the findings required in rule 2a– application(s) and/or declaration(s), as as a result of the transaction. Applicants 7(c)(1) under the Act. filed or as amended, may be granted state that the relief provided by rule 3. No brokerage commission, fee and/or permitted to become effective. 17a–8 is unavailable for the Exchange (except for customary transfer fees), or WGL, Holdings (70–10167) and Redemption because the transaction other remuneration will be paid in does not involve substantially all of the connection with the Exchange and WGL, Holdings, Inc. (‘‘WGL’’), a assets of TFIT. Redemption. registered public utility holding 4. Section 17(b) provides that the 4. TFIT will maintain and preserve for company, WGL’s utility subsidiary, Commission shall exempt a transaction a period of not less than six years from Washington Gas Light Company from section 17(a) if evidence the end of the fiscal year in which the (‘‘Washington Gas’’), WGL’s nonutility establishes that the terms of the Exchange and Redemption occurs, the subsidiaries, Crab Run Gas Company proposed transaction, including the first two years in an easily accessible (‘‘Crab Run’’), Hampshire Gas Company consideration to be paid, are reasonable place, a written record of the transaction (‘‘Hampshire’’), Washington Gas Resources Corporation (‘‘WGRC’’), and fair and do not involve setting forth a description of each American Combustion Industries, Inc. overreaching, the proposed transaction security transferred, the terms of the (‘‘ACI’’), Brandywood Estates, Inc. is consistent with the policy of each distribution, and the information or (‘‘Brandywood’’), WG Maritime Plaza I, registered investment company materials upon which the valuation was Inc. (‘‘WG Maritime’’), Washington Gas concerned, and the proposed made. Energy Services, Inc. (‘‘WGEServices’’), transaction is consistent with the For the Commission, by the Division of Washington Gas Energy Systems, Inc. general purposes of the Act. Applicants Investment Management, under delegated (‘‘WGESystems’’), Washington Gas request relief under section 17(b) to authority. Consumer Services, Inc. (‘‘Consumer allow the Exchange and Redemption. Margaret H. McFarland, Services’’) and Washington Gas Credit 5. Applicants state that the board of Deputy Secretary. Corporation (‘‘Credit Corp.’’), all located trustees of TFIT and the board of [FR Doc. 04–5055 Filed 3–5–04; 8:45 am] at 101 Constitution Avenue, NW., trustees of the Jones Fund have BILLING CODE 8010–01–P Washington, DC 20080 (collectively approved the Exchange and Redemption ‘‘Applicants’’), have filed an in the manner required by rule 17a–8. application-declaration, as amended In approving the Exchange and SECURITIES AND EXCHANGE (‘‘Application’’), under sections 6(a), 7, Redemption, the boards considered that COMMISSION 9(a), 10, 12(b), 12(c), 12(f), 13(b), 32, and (a) The Funds will not directly or [Release No. 35–27805] 33 and rules 45(a), 45(c), 46, 53, and 54. indirectly bear any fees or expenses in connection with the proposed Filings Under the Public Utility Holding I. Background transactions; (b) the proposed Company Act of 1935, as Amended WGL, through its subsidiaries, sells transactions will not have any effect on (‘‘Act’’) and delivers natural gas and provides a the Funds’ annual operating expenses, variety of energy-related products and shareholder fees or services; (c) the March 2, 2004. services to customers in the proposed transactions will not result in Notice is hereby given that the metropolitan Washington, DC, a change to the investment objectives, following filings have been made with Maryland, and Virginia areas. WGL’s restrictions and policies of the Funds; the Commission pursuant to provisions subsidiary, Washington Gas, is involved and (d) the proposed transactions will of the Act and rules promulgated under in the distribution and sale of natural not result in direct or indirect federal the Act. All interested persons are gas that is predominantly regulated by income tax consequences to referred to the application(s) and/or State regulatory commissions. WGL, shareholders of the Funds. A majority of declaration(s) for complete statements of through its unregulated subsidiaries, the trustees of TFIT and the Jones Fund the proposed transaction(s) summarized offers energy-related products and are independent trustees and the below. The application(s) and/or services that are closely related to its independent trustees select and declaration(s) and any amendment(s) is/ core business. The majority of these nominate other independent trustees. are available for public inspection energy-related activities are performed Persons who act as legal counsel to the through the Commission’s Branch of by wholly owned subsidiaries of independent trustees are independent Public Reference. Washington Gas Resources Corporation. legal counsel. Interested persons wishing to Washington Gas delivers and sells comment or request a hearing on the Applicants’ Conditions natural gas to customers in Washington, application(s) and/or declaration(s) DC and adjoining areas in Maryland, Applicants agree that any order should submit their views in writing by Virginia and several cities and towns in granting the requested relief will be March 29, 2004 to the Secretary, the northern Shenandoah Valley of subject to the following conditions: Securities and Exchange Commission, Virginia. Effective November 1, 2000, 1. The Exchange and Redemption will Washington, DC 20549–0609, and serve Washington Gas and its direct or be effected by the transfer of a pro rata a copy on the relevant applicant(s) and/ indirect subsidiaries became portion of the assets of TFIT to the Jones or declarant(s) at the address(es) subsidiaries of WGL, a holding company Fund; provided, however, securities specified below. Proof of service (by registered under the Act. restricted on disposition, certificated affidavit or, in the case of an attorney at In addition to its regulated utility securities, odd lots and fractional shares law, by certificate) should be filed with operations, WGL has three other wholly

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owned subsidiaries: Crab Run, credit quality; provided that in no event top level registered holding company Hampshire, and WGRC. Crab Run is an will the effective cost of capital (i) on that are rated are rated investment exploration and production company any series of Long-term Debt exceed 500 grade. For purposes of this provision, a whose assets are managed by an basis points over a U.S. Treasury security will be deemed to be rated Oklahoma-based limited partnership. security having a remaining term ‘‘investment grade’’ if it is rated WGL’s investment in this subsidiary equivalent to the term of the series, (ii) investment grade by at least one and partnership is not material and on any series of Preferred Stock, nationally recognized statistical rating management expects that future Preferred Securities or Equity-Linked organization, as that term is used in investments in Crab Run will be Securities exceed 500 basis points over paragraphs (c)(2)(vi)(E), (F) and (H) of minimal. Hampshire is a regulated a U.S. Treasury security having a rule 15c3–1 under the Securities natural gas storage business that remaining term equal to the term of the Exchange Act of 1934, as amended. operates an underground storage field in series, and (iii) on Short-term Debt Applicants request that the Commission the vicinity of Augusta, West Virginia. exceed 300 basis points over the London reserve jurisdiction over the issuance of Hampshire serves Washington Gas Interbank Offered Rate (‘‘LIBOR’’) for any securities that are rated below under a tariff administered by the maturities of less than one year. investment grade. Applicants further Federal Energy Regulatory Commission. request that the Commission reserve 2. Maturity WGRC owns the majority of the WGL’s jurisdiction over the issuance of any nonutility subsidiaries. WGRC’s The maturity of Long-term Debt will guarantee or other securities at any time subsidiaries include ACI, Brandywood, be between one and 50 years after the that the conditions set forth in clauses WG Maritime, WGEServices, issuance thereof. Preferred Stock and (i) through (iii) above are not satisfied. Equity-Linked securities issued directly WGESystems, Consumer Services, and IV. WGL External Financing Credit Corp. by WGL or a Financing Subsidiary may The term ‘‘Nonutility Subsidiaries’’ be perpetual in duration. WGL proposes to issue and sell from time to time during the Authorization means each of the existing nonutility 3. Issuance Expenses subsidiaries of WGL, and their Period, Common Stock and Preferred respective subsidiaries, and any direct The underwriting fees, commissions Stock and, directly or indirectly through or indirect nonutility company acquired or other similar remuneration paid in one or more financing subsidiaries or formed by WGL or any Nonutility connection with the non-competitive (‘‘Financing Subsidiaries’’) (as described below), Long-Term Debt and other forms Subsidiary in the future in a transaction issue, sale or distribution of securities of Preferred Securities or Equity-Linked that has been approved by the pursuant to this Application will not Securities in an aggregate amount not to Commission in this filing or in a exceed the greater of (i) 5% of the exceed $300 million during the transaction that is exempt under the principal or total amount of the Authorization Period. In addition, WGL Act. The term ‘‘Subsidiaries’’ means securities being issued or (ii) issuance proposes to issue and reissue Short- Washington Gas and the Nonutility expenses that are generally paid at the Term Debt not to exceed $300 million Subsidiaries. time of the pricing for sales of the particular issuance, having the same or principal amount outstanding at any II. Current Request reasonably similar terms and conditions time. Applicants request the following issued by similar companies of A. Common Stock reasonably comparable credit quality. authorizations through March 31, 2007 WGL proposes to issue and sell (‘‘Authorization Period’’): (i) A program 4. Common Equity Ratio Common Stock through underwriting of external financing, (ii) intrasystem At all times during the Authorization agreements of a type generally standard financing and credit support Period, WGL and Washington Gas will in the industry. Common Stock may be arrangements, and (iii) interest rate maintain common equity of at least 30% issued under private negotiation with hedging measures. of its consolidated capitalization underwriters, dealers or agents, as III. Financing Parameters (common equity, Preferred Stock, Long- discussed below, or effected through Term Debt and Short-Term Debt); competitive bidding among A. General Terms and Conditions provided that WGL will in any event be underwriters. In addition, sales may be Financing transactions with third authorized to issue common stock made through private placements or parties will be subject to the following (‘‘Common Stock’’) (including under other non-public offerings to one or general terms and conditions, including, stock-based plans maintained for more persons. All Common Stock sales without limitation, securities issued for shareholders, employees, and will be at rates or prices and under the purpose of refinancing or refunding management) to the extent authorized in conditions negotiated or based upon, or outstanding securities of the issuer this filing. otherwise determined by, competitive (‘‘Financing Parameters’’). capital markets. Although the Company 5. Investment Grade Ratings has no present plans to issue Common 1. Effective Cost of Money Applicants further represent that, Stock, if, for example, WGL Holdings The effective cost of capital on long- except for securities issued for the were to issue $70 million of Common term debt (‘‘Long-Term Debt’’), preferred purpose of funding money pool Stock at the closing price on January 30, stock (‘‘Preferred Stock’’), preferred operations, no guarantees or other 2004 of $27.95, it would result in an securities (‘‘Preferred Securities’’), securities, other than Common Stock, issuance of approximately 2.5 million equity-linked securities (‘‘Equity-Linked may be issued in reliance upon the shares. WGL also proposes to issue Securities’’), and short-term debt authorization granted by the stock options, performance shares, stock (‘‘Short-term Debt’’) will not exceed Commission under this Application appreciation rights (‘‘SARs’’), warrants, competitive market rates available at the unless (i) the security to be issued, if or other stock purchase rights that are time of issuance for securities having rated, is rated investment grade; (ii) all exercisable for Common Stock and to the same or reasonably similar terms outstanding securities of the issuer that issue Common Stock upon the exercise and conditions issued by similar are rated are rated investment grade; of the options, SARs, warrants, or other companies of reasonably comparable and (iii) all outstanding securities of the stock purchase rights.

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B. Long-Term Debt, Preferred Stock and into between WGL and a national bank, District of Columbia (‘‘PSC–DC’’), the Other Preferred or Equity-Linked as trustee.1 agencies with regulatory authority over Securities C. Short-Term Debt Washington Gas in the two jurisdictions WGL seeks authority to issue its in which it is incorporated. The Applicants request authority for WGL authorized Preferred Stock or, directly issuance by Washington Gas of to issue up to an aggregate principal commercial paper and other short-term or indirectly through one or more amount of $300 million of Short-Term Financing Subsidiaries, to issue Long- indebtedness having a maturity of less Debt during the Authorization Period. than 12 months will not be exempt Term Debt and other types of Equity- The effective cost of money on Short- under rule 52(a) since it is not subject Linked Securities (including, Term Debt authorized in this to approval by both the SCC–VA and the specifically, trust preferred securities). Application will not exceed, at the time Applicants state that the proceeds of of issuance, 300 basis points over the PSC–DC. Long-Term Debt, Preferred Stock, or London Interbank Offer Rate (‘‘LIBOR’’) Washington Gas requests approval to other Equity-Linked Securities would for maturities of one year or less. issue and sell from time to time during enable WGL to reduce Short-Term Debt Applicants state that to provide the Authorization Period Short-Term with more permanent capital and financing for general corporate Debt in an aggregate principal amount provide an important source of future purposes, other working capital outstanding at any one time not to financing for the operations of and requirements and investments in new exceed $350 million (‘‘Washington Gas investments in non-utility businesses enterprises until long-term financing Short-Term Debt Limit’’). Short-Term that are exempt under the Act. can be obtained, WGL may sell Preferred Stock or other types Equity- Debt could include, without limitation, commercial paper, from time to time, in Linked Securities may be issued in one commercial paper sold in established established domestic or European or more series with such rights, domestic or European commercial paper commercial paper markets. Commercial preferences, and priorities as may be markets in a manner similar to WGL, paper would typically be sold to dealers designated in the instrument creating bank lines of credit and other debt at the discount rate per annum each series, as determined by WGL’s securities. The effective cost of money prevailing at the date of issuance for board of directors. The dividend rate on on Washington Gas Short-Term Debt commercial paper of comparable quality any series of Preferred Stock or Equity- will not exceed at the time of issuance and maturities sold to commercial paper Linked Securities will not exceed at the 300 basis points over LIBOR for dealers generally. maturities of one year or less. time of issuance 500 basis points over WGL also proposes to establish bank the yield to maturity of a U.S. Treasury lines of credit in an aggregate principal E. Nonutility Subsidiary Financing security having a remaining term amount sufficient to support projected equivalent to the term of these levels of Short-Term Debt and to In order to be exempt under rule securities. Dividends or distributions on provide an alternative source of 52(b), any loan by WGL to a Nonutility Preferred Stock or Equity-Linked liquidity. Loans under these lines will Subsidiary or by one Nonutility Securities will be made periodically and have maturities not more than one year Subsidiary to another must have interest to the extent funds are legally available from the date of each borrowing. WGL rates and maturities that are designed to for this purpose, but may be made may also engage in other types of Short- parallel the lending company’s effective subject to terms which allow the issuer Term Debt within the limitations of the cost of capital. However, if a Nonutility to defer dividend payments for specified Financing Parameters, generally Subsidiary making a borrowing is not periods. Preferred Stock or other Equity- available to borrowers with comparable wholly owned by WGL, directly or Linked Securities may be convertible or credit ratings as it may deem indirectly, and does not sell goods or exchangeable into shares of Common appropriate in light of its needs and services to Washington Gas, then the Stock. market conditions at the time of Applicants request authority to make Applicants state that Long-Term Debt borrowing. loans to any associate company at of WGL will be in the form of unsecured interest rates and maturities designed to notes (‘‘Debentures’’) issued in one or D. Financing by Washington Gas provide a return to the lending company more series. The Debentures of any Under rule 52(a), the long-term of not less than its effective cost of series (i) May be convertible into any securities issued and sold by capital. Applicants state that, if WGL or other securities of WGL, (ii) will have a Washington Gas (including, specifically, a Nonutility Subsidiary were required to maturity ranging from one to 50 years, Long-Term Debt and Preferred Stock) charge only its effective cost of capital (iii) will bear interest at a rate not to will be exempt from the pre-approval on a loan to a less than wholly owned exceed 500 basis points over the yield requirements of sections 6(a) and 7 of associate company when market rates to maturity of a U.S. Treasury security the Act because these securities will were greater, the other owner(s) of having a remaining term approximately have been specifically approved by both associate company would in effect equal to the term of such series of the Virginia State Corporation Debentures, (iv) may be subject to receive a subsidy from WGL or other Commission (‘‘SCC–VA’’) and the lending Nonutility Subsidiary equal to optional and/or mandatory redemption, Public Service Commission of the in whole or in part, at par or at various the difference between the cost of providing the loan at its effective cost of premiums above or discounts below the 1 WGL contemplates that the Debentures would principal amount thereof, (v) may be be issued and sold directly to one or more capital and the other owner(s’) entitled to mandatory or optional purchasers in privately-negotiated transactions or to proportionate share of the price at sinking fund provisions, (vi) may one or more investment banking or underwriting which it would have to obtain a similar firms or other entities that would resell the loan on the open market.2 provide for reset of the coupon under a Debentures without registration under the 1933 Act remarketing arrangement, and (vii) may in reliance upon one or more applicable exemptions 2 be called from existing investors or put from registration thereunder, or to the public either WGL states that it will include in the next (i) through underwriters selected by negotiation or certificate filed under rule 24 in this filing to the company, or both. The competitive bidding or (ii) through selling agents substantially the same information as that required Debentures will be issued under an acting either as agent or as principal for resale to on Form U–6B–2 with respect to any intrasystem indenture (‘‘Indenture’’) to be entered the public either directly or through dealers. loan transaction.

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V. Guarantees used in today’s capital markets to On-Exchange Trades and Off-Exchange manage the volatility of interest rates, Trades. WGL Holdings or a Subsidiary A. WGL Guarantees including but not limited to interest rate will determine the optimal structure of WGL requests authorization to enter swaps, swaptions, caps, collars, floors, each Anticipatory Hedge transaction at into guarantees and capital maintenance forwards, rate locks, structured notes the time of execution. WGL Holdings or agreements, obtain letters of credit, (i.e., a debt instrument in which the a Subsidiary may decide to lock in enter into expense agreements or principal and/or interest payments are interest rates and/or limit its exposure otherwise provide credit support indirectly linked to the value of an to interest rate increases. All open (collectively, ‘‘WGL Guarantees’’) on underlying asset or index), and short positions under Anticipatory Hedges behalf or for the benefit of any sales of U.S. Treasury securities. will be closed on or prior to the date of Subsidiary as may be appropriate to Applicants would use Interest Rate the new issuance and neither WGL enable a Subsidiary to carry on in the Hedges as a means of prudently Holdings nor any Subsidiary will, at any ordinary course of its business, in an managing the risk associated with any time, take possession or make delivery aggregate principal amount not to outstanding debt by, for example, (i) of the underlying U.S. Treasury exceed $400 million outstanding at any converting variable rate debt to fixed Securities. one time. Subject to this limitation, rate debt, (ii) converting fixed rate debt Applicants represent that each WGL may guarantee both securities to variable rate debt, or (iii) limiting the Interest Rate Hedge and Anticipatory issued by and other contractual or legal impact of changes in interest rates Hedge will be treated for accounting obligations of any Subsidiary. In resulting from variable rate debt. The purposes under U.S. generally accepted addition, WGL proposes to charge each transactions would be for fixed periods accounting principles. Subsidiary a fee for each guarantee and stated notional amounts, which in VII. Money Pool provided on its behalf that is no case would exceed the principal determined by multiplying the amount amount of the underlying debt WGL and certain of the Subsidiaries of the WGL Guarantee provided by the instrument. Fees, commissions and request authorization to continue cost of obtaining the liquidity necessary other amounts payable to the operating a system money pool (‘‘Money to perform the guarantee (for example, counterparty or exchange (excluding, Pool’’) as previously authorized by the bank line commitment fees or letter of however, the swap or option payments) Commission. To the extent not credit fees, plus other transactional in connection with an Interest Rate exempted by rule 52, the Subsidiaries expenses) for the period of time the Hedge will not exceed those generally request authorization to make guarantee remains outstanding obtainable in competitive markets. unsecured short-term borrowings from (‘‘Guarantee Fee’’). In addition, WGL Holdings and the the Money Pool and to contribute Subsidiaries request authorization to surplus funds to the Money Pool and to B. Nonutility Subsidiary Guarantees enter into interest rate hedging lend and extend credit to (and acquire In addition, Nonutility Subsidiaries transactions with respect to anticipated promissory notes from) one another request authority to provide guarantees debt offerings (‘‘Anticipatory Hedges’’), through the Money Pool. WGL requests and other forms of credit support subject to certain limitations and authorization to contribute surplus (‘‘Nonutility Subsidiary Guarantees’’) on restrictions. Applicants state that funds and/or to lend and extend credit behalf or for the benefit of other Anticipatory Hedges would only be to the participating Subsidiaries through Nonutility Subsidiaries in an aggregate entered into with Approved the Money Pool. Subsidiaries principal amount not to exceed $200 Counterparties, and would be utilized to participating in the Money Pool million outstanding at any one time, fix and/or limit the interest rate risk arrangement are Washington Gas, Crab exclusive of any guarantees and other associated with any new issuance Run, Hampshire, WGRC, WGEServices, forms of credit support that are exempt through (i) a forward sale of exchange- WGESystems, ACI, Brandywood, pursuant to rule 45(b)(7) and rule 52(b). traded U.S. Treasury futures contracts, Consumer Services, Credit Corp., and The Nonutility Subsidiary providing U.S. Treasury obligations and/or a WG Maritime. any credit support may charge its forward swap (each a ‘‘Forward Sale’’), Under the terms of the Money Pool, associate company a Guarantee Fee. (ii) the purchase of put options on U.S. short-term funds will be available from Treasury obligations (‘‘Put Options the following sources for short-term VI. Hedging Transactions Purchase’’), (iii) a Put Options Purchase loans to the participating Subsidiaries WGL Holdings, and to the extent not in combination with the sale of call from time to time: (1) Surplus funds in exempt pursuant to rule 52, the options on U.S. Treasury obligations the treasuries of Money Pool Subsidiaries, request authorization to (‘‘Zero Cost Collar’’), (iv) transactions participants other than WGL; (2) surplus enter into interest rate hedging involving the purchase or sale, funds in the treasury of WGL (together, transactions with respect to existing including short sales, of U.S. Treasury ‘‘Internal Funds’’); and (3) proceeds indebtedness (‘‘Interest Rate Hedges’’), obligations, or (v) some combination of from bank borrowings and/or subject to certain limitations and a Forward Sale, Put Options Purchase, commercial paper sales by WGL or any restrictions, in order to reduce or Zero Cost Collar, and/or other derivative Money Pool participant for loan to the manage interest rate cost. Interest Rate or cash transactions, including, but not Money Pool (‘‘External Funds’’). Funds Hedges would only be entered into with limited to structured notes, caps, and will be made available from these counterparties (‘‘Approved collars, appropriate for the Anticipatory sources in such order as WGL, as Counterparties’’) whose senior debt Hedges. administrator of the Money Pool, may ratings, or the senior debt ratings of the Anticipatory Hedges may be executed determine would result in a lower cost parent companies of the counterparties, on-exchange (‘‘On-Exchange Trades’’) of borrowing, consistent with the as published by Standard and Poor’s with brokers through the opening of individual borrowing needs and Ratings Group, are equal to or greater futures and/or options positions traded financial standing of the companies than BBB, or an equivalent rating from on the Chicago Board of Trade, the providing funds to the pool. The Moody’s Investors Service, or Fitch Inc. opening of over-the-counter positions determination of whether Washington Interest Rate Hedges will involve the with one or more counterparties (‘‘Off- Gas at any time has surplus funds to use of financial instruments commonly Exchange Trades’’), or a combination of lend to the Money Pool or shall lend

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funds to the Money Pool will be made IX. Financing Subsidiaries 13(b) from the at cost standards of rules by Washington Gas’ chief financial WGL and the Subsidiaries request 90 and 91 for WGL Holdings and the officer or treasurer, or by a designee authority to acquire, directly or Subsidiaries to enter into these thereof, on the basis of cash flow indirectly, the equity securities of one or transactions. projections and other relevant factors, in more corporations, trusts, partnerships X. Intermediate Subsidiaries Washington Gas’ sole discretion. or other entities (‘‘Financing WGL requests authority to acquire, Subsidiaries’’) created specifically for A participating Subsidiary that directly or indirectly through a the purpose of facilitating the financing borrows from the Money Pool will Nonutility Subsidiary, the securities of of the authorized and exempt activities borrow pro rata from each participant one or more new subsidiary companies (including exempt and authorized that lends, in the proportion that the (‘‘Intermediate Subsidiaries’’) which acquisitions) of WGL and the total amount loaned by each lending may be organized exclusively for the Subsidiaries through the issuance of Money Pool participant bears to the purpose of acquiring, holding and/or Long-Term Debt or Equity Securities, total amount then loaned through the financing the acquisition of the including but not limited to monthly Money Pool. On any day when both securities of or other interest in one or income preferred securities, to third Internal Funds and External Funds with more exempt wholesale generators parties. Financing Subsidiaries would different rates of interest, are used to (‘‘EWGs’’), as defined in section 32 of loan, dividend or otherwise transfer the fund loans through the Money Pool, the Act, foreign utility companies proceeds of any financing to its parent each borrower would borrow pro rata (‘‘FUCOs’’), as defined in section 33 of or to other Subsidiaries, provided, from each funding source in the Money the Act, or exempt telecommunication however, that a Financing Subsidiary of Pool in the same proportion that the companies ETCs (‘‘Exempt Washington Gas will dividend, loan or amount of funds provided by that fund Telecommunication Companies’’), transfer proceeds of financing only to source bears to the total amount of exempt companies under rule 58 (‘‘Rule Washington Gas. The terms of any loan short-term funds available to the Money 58 Companies’’), or other non-exempt of the proceeds of any securities issued Pool. Nonutility Subsidiaries (as authorized by a Financing Subsidiary to WGL in this proceeding or in a separate Proceeds of any short term borrowings would mirror the terms of those proceeding).3 WGL also requests from the Money Pool may be used by a securities. WGL may, if required, authority for Intermediate Subsidiaries participant: (i) For the interim financing guarantee or enter into Expense to provide management, administrative, of its construction and capital Agreements in respect of the obligations project development, and operating expenditure programs; (ii) for its of any Financing Subsidiary which it services to these entities at fair market working capital needs; (iii) for the organizes. The Subsidiaries may also prices determined without regard to repayment, redemption or refinancing of provide guarantees and enter into cost, and requests an exemption (to the its debt and preferred stock; (iv) to meet Expense Agreements under rules extent that rule 90(d) does not apply) unexpected contingencies, payment and 45(b)(7) and 52, as applicable, if pursuant to section 13(b) from the cost timing differences, and cash required on behalf of any Financing standards of rules 90 and 91 as requirements; and (v) to otherwise Subsidiaries which they organize. If the applicable to these transactions, in any finance its own business and for other direct parent company of a Financing case in which the Nonutility Subsidiary lawful general corporate purposes. Subsidiary is authorized in this purchasing such goods or services is: Washington Gas requests authority to proceeding or any subsequent borrow up to $350 million at any one (i) A FUCO or foreign EWG that proceeding to issue Long-Term Debt or derives no part of its income, directly or time outstanding from the Money Pool. similar types of equity securities, then Borrowings by Washington Gas from the indirectly, from the generation, the amount of the securities issued by transmission, or distribution of electric Money Pool will be counted against the that Financing Subsidiary would count Washington Gas Short-Term Debt Limit. energy for sale within the United States; against the limitation applicable to its (ii) an EWG that sells electricity at WGL Holdings will not make any parent for those securities. In these borrowings from the Money Pool. market-based rates, that have been cases, however, the Guarantee by the approved by the Federal Energy VIII. Changes in Capital Stock of parent of the security issued by its Regulatory Commission (‘‘FERC’’), Subsidiaries Financing Subsidiary would not be provided that the purchaser is not counted against the limitations on WGL Washington Gas; In order to accommodate the Guarantees or Nonutility Subsidiary (iii) a ‘‘qualifying facility’’ (‘‘QF’’), proposed transactions in this filing and Guarantees. In other cases, in which the within the meaning of the Public Utility to provide for future issues, Applicants parent company is not authorized to Regulatory Policies Act of 1978, as request authorization to change the issue similar types of securities, the amended (‘‘PURPA’’), that sells terms of any wholly owned Subsidiary’s amount of any Guarantee not exempt electricity exclusively (a) at rates authorized capital stock capitalization under rules 45(b)(7) and 52 that is negotiated at arm’s length to one or by an amount deemed appropriate by entered into by the parent company more industrial or commercial WGL or other intermediate parent with respect to securities issued by its customers purchasing electricity for company in the instant case. A Financing Subsidiary would be counted their own use and not for resale, and/ Subsidiary would be able to change the against the limitation on WGL Holdings or (b) to an electric utility company par value, or change between par value Guarantees or Nonutility Subsidiary (other than Washington Gas) at the and no-par stock, without additional Guarantees, as the case may be. purchaser’s ‘‘avoided cost,’’ as Commission approval. Any action by Applicants state that any affiliate determined in accordance with PURPA Washington Gas would be subject to and transactions entered into by a Financing regulations; would only be taken upon the receipt of Subsidiary in connection with an (iv) a domestic EWG or QF that sells any necessary approvals by the state Expense Agreement would be electricity at rates based upon its cost of commission(s) in the state or states in conducted at fair market value without which Washington Gas is incorporated regard to cost, and therefore, Applicants 3 WGL does not hold an interest in any EWG, and doing business. request an exemption under section FUCO or ETC at this time.

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service, as approved by FERC or any state, further, that funds for any direct certificate filed under rule 24 in this state public-utility commission having or indirect investment in any proceeding, as described below. jurisdiction, provided that the purchaser Intermediate Subsidiary will be derived For the Commission, by the Division of is not Washington Gas; or from: (i) Financings authorized in this Investment Management, pursuant to (v) a Rule 58 Subsidiary or any other proceeding, (ii) any appropriate future delegated authority. Nonutility Subsidiary that (a) is debt or equity securities issuance Margaret H. McFarland, partially owned by WGL, provided that authorization obtained by WGL from the Deputy Secretary. the ultimate purchaser of the goods or Commission, and (iii) other available [FR Doc. 04–5111 Filed 3–5–04; 8:45 am] services is not a Washington Gas (or any cash resources, including proceeds of BILLING CODE 8010–01–P other entity within the WGL system securities sales by a Nonutility whose activities and operations are Subsidiary under rule 52.4 primarily related to the provision of WGL Holdings may, from time to SECURITIES AND EXCHANGE goods and services to Washington Gas), COMMISSION (b) is engaged solely in the business of time, to consolidate or otherwise developing, owning, operating and/or reorganize all or any part of its direct [Release No. 34–49344; File No. SR–Amex– providing services or goods to and indirect ownership interests in 2003–111] Nonutility Subsidiaries, described in Nonutility Subsidiaries, and the Self-Regulatory Organizations; Order clauses (i) through (iv) immediately activities and functions related to such Granting Approval to Proposed Rule above, or (c) does not derive, directly or investments, under one or more Change by the American Stock indirectly, any material part of its Intermediate Subsidiaries. To effect a Exchange LLC Relating to Listing and income from sources within the U.S. consolidation or other reorganization, and is not a public-utility company WGL Holdings may wish to either Delisting Appeal Hearing Fees operating within the U.S. contribute the equity securities of one March 1, 2004. Applicants state that an Intermediate Nonutility Subsidiary to another On December 12, 2003, the American Subsidiary may be organized, among Nonutility Subsidiary or sell (or cause a Stock Exchange LLC (‘‘Amex’’ or other things: (i) In order to facilitate the Nonutility Subsidiary to sell) the equity ‘‘Exchange’’) filed with the Securities making of bids or proposals to develop securities of one Nonutility Subsidiary and Exchange Commission or acquire an interest in any Exempt to another one. To the extent that these (‘‘Commission’’), pursuant to Section Company, Rule 58 Company, or other transactions are not otherwise exempt 19(b)(1) of the Securities Exchange Act non-exempt Nonutility Subsidiary, (ii) under the Act or rules thereunder, WGL of 1934 (‘‘Act’’),1 and Rule 19b–4 after the award of such a bid proposal, Holdings hereby requests authorization thereunder,2 a proposed rule change to in order to facilitate closing on the under the Act to consolidate or amend Sections 1203, 1204 and 1205 of purchase or financing of the acquired otherwise reorganize under one or more the Amex Company Guide to increase company, (iii) at any time subsequent to direct or indirect Intermediate the fees applicable to issuers requesting the consummation of an acquisition of Subsidiaries WGL Holdings’ ownership review of a determination to limit or an interest in any such company in interests in existing and future prohibit the initial or continued listing order, among other things, to effect an Nonutility Subsidiaries. These of their securities. The proposed rule adjustment in the respective ownership transactions may take the form of a change was published for comment in interests in such business held by WGL Nonutility Subsidiary selling, the Federal Register on January 29, Holdings and non-affiliated investors, contributing or transferring the equity 2004.3 The Commission received no (iv) to facilitate the sale of ownership securities of a subsidiary as a dividend comments on the proposed rule change. interests in one or more acquired to an Intermediate Subsidiary, and This order approves the proposed rule nonutility companies, (v) to comply Intermediate Subsidiaries acquiring, change. with applicable laws of foreign directly or indirectly, the equity The Commission finds that the jurisdictions limiting or otherwise securities of companies, either by proposed rule change is consistent with relating to the ownership of domestic purchase or by receipt of a dividend. the requirements of the Act and the companies by foreign nationals, (vi) as The purchasing Nonutility Subsidiary in rules and regulations thereunder a part of tax planning in order to limit any transaction structured as an applicable to a national securities WGL Holdings’ exposure to U.S. and intrasystem sale of equity securities may exchange and, in particular, the foreign taxes, (vii) to further insulate execute and deliver its promissory note requirements of Section 6 of the Act.4 WGL Holdings and Washington Gas evidencing all or a portion of the Specifically, the Commission finds that from operational or other business risks consideration given. Each transaction the proposed rule change furthers the that may be associated with investments would be carried out in compliance objectives of Section 6(b)(5) 5 in that the in nonutility companies, or (viii) for with all applicable U.S. or foreign laws proposal is designed to prevent other lawful business purposes. and accounting requirements, and any Applicants state that investments in fraudulent and manipulative acts and transaction structured as a sale would Intermediate Subsidiaries may take the practices; to promote just and equitable be carried out for a consideration equal form of any combination of the principles of trade; to foster cooperation to the book value of the equity securities following: (i) Purchases of capital and coordination with persons engaged being sold. WGL Holdings will report shares, partnership interests, member in facilitating transactions in securities; each transaction in the next quarterly interests in limited liability companies, to remove impediments to and perfect trust certificates, or other forms of the mechanism of a free and open 4 To the extent that WGL provides funds or market and a national market system; to equity interests, (ii) capital guarantees directly or indirectly to an Intermediate contributions, (iii) open account Subsidiary which are used for the purpose of 1 15 U.S.C. 78s(b)(1). advances with or without interest, (iv) making an investment in any EWG or FUCO or a 2 17 CFR 240.19b–4. loans, and (v) guarantees issued, Rule 58 Company, Applicants state that the amount of the funds or guarantees will be included in 3 See Securities Exchange Act Release No. 49116 provided, or arranged in respect of the WGL’s ‘‘aggregate investment’’ in these entities, as (January 22, 2004), 69 FR 4334. securities or other obligations of any calculated in accordance with rule 53 or rule 58, as 4 15 U.S.C. 78f. Intermediate Subsidiaries. Applicants applicable. 5 15 U.S.C. 78f(b)(5).

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protect investors and the public interest; orders, specifically designated and SECURITIES AND EXCHANGE and is not designed to permit unfair submitted with a contra order matched COMMISSION discrimination between customers, in price and size, outside of the regular 6 [Release No. 34–49343; File No. SR–CBOE– issuers, brokers, or dealers. The 9:30 a.m. to 4 p.m. Primary Session, and 2003–58] Commission believes that the increase the 4:01 p.m. to 4:15 p.m. Post Primary in appeal fees should address increasing Session.3 The proposed rule change was Self-Regulatory Organizations; costs to maintain overall revenue published for comment in the Federal Chicago Board Options Exchange, neutrality of the Exchange’s hearing fee Register on January 28, 2004.4 The Inc.; Order Granting Approval of structure. Commission received no comments on Proposed Rule Change Relating to Its In addition, the Commission believes the proposal. This order approves the Summary Fine Schedule for Position that requiring issuers to satisfy proposed rule change. Limit Violations outstanding listing fees prior to The Commission finds that the obtaining review of a Listing proposed rule change is consistent with March 1, 2004. Qualifications Staff decision is the requirements of the Act and the On December 10, 2003, the Chicago reasonable, and may help to promote rules and regulations thereunder Board Options Exchange, Inc. (‘‘CBOE’’ orderly and efficient operation of the applicable to a national securities or ‘‘Exchange’’) filed with the Securities Exchange. The Commission also exchange,5 and in particular, the and Exchange Commission believes that clarifying Sections 1203 requirements of Section 6(b)(5) of the (‘‘Commission’’), pursuant to section and 1204 of the Amex Company Guide Act 6 and the rules and regulations 19(b)(1) of the Securities Exchange Act to specify that issuers submit hearing thereunder. The Commission believes of 1934 (‘‘Act’’)1 and Rule 19b–4 requests to the Amex Office of General that extending trading hours from 8 a.m. thereunder,2 a proposed rule change to Counsel should improve administrative until 9:28 a.m., and from 4:16 p.m. until amend its summary fine schedule for efficiency, consistent with Section 6 of 6:30 p.m. to allow for the execution of position limit violations under CBOE’s the Act. matched orders, specifically designated minor rule violation plan. It is therefore ordered, pursuant to and submitted with a contra order The proposed rule change was Section 19(b)(2) of the Act,7 that the matched exactly as to security, size, published for comment in the Federal 3 proposed rule change (SR–Amex–2003– price, and time of entry, is reasonably Register on January 23, 2004. The 111) be, and hereby is, approved. designed to promote just and equitable Commission received no comments on the proposal. For the Commission, by the Division of principles of trade, to remove impediments to and perfect the The Commission finds that the Market Regulation, pursuant to delegated proposed rule change is consistent with authority.8 mechanism of a free and open market and a national market system, and, in the requirements of the Act and the Margaret H. McFarland, rules and regulations thereunder Deputy Secretary. general, to protect investors and the public interest. The Commission notes applicable to a national securities [FR Doc. 04–5051 Filed 3–5–04; 8:45 am] 4 that the Exchange shall designate trades exchange and, in particular, the BILLING CODE 8010–01–P 5 executed and reported outside of the requirements of section 6 of the Act Primary Session as .T trades. Further, and the rules and regulations thereunder. In particular, the SECURITIES AND EXCHANGE the Commission notes that the Exchange shall not permit its members to accept Commission believes that the proposed COMMISSION rule change is consistent with section any orders for execution outside of the 6 [Release No. 34–49346; File No. SR–BSE– Primary Session without making certain 6(b)(5) of the Act which requires, 2003–31] customer disclosures, and shall retain among other things, that the Exchange’s any orders, not specifically designated rules be designed to prevent fraudulent Self-Regulatory Organizations; Boston for execution outside the Primary and manipulative acts and practices, to Stock Exchange, Incorporated; Order Session, for entry into the Primary promote just and equitable principles of Granting Approval of Proposed Rule Session upon execution eligibility at trade, and, in general, to protect Change to Extend Trading Hours From 9:30 a.m. investors and the public interest. In 8 a.m. Until 9:28 a.m., and From 4:16 It is therefore ordered, pursuant to addition, the Commission believes that p.m. Until 6:30 p.m. to Allow for the the proposed rule change is consistent Section 19(b)(2) of the Act,7 that the Execution of Matched Orders Only with Rule 19d–1(c)(2), which governs proposed rule change (SR–BSE–2003– minor rule violation plans. The 31) is approved. March 1, 2004. Commission believes that the proposed On December 22, 2003, the Boston For the Commission, by the Division of rule change should enable the Exchange Stock Exchange, Incorporated (‘‘BSE’’ or Market Regulation, pursuant to delegated 8 to deal more efficiently with position ‘‘Exchange’’) filed with the Securities authority. limit violations and inadvertent position and Exchange Commission Margaret H. McFarland, limit overages. In addition, the (‘‘Commission’’), pursuant to Section Deputy Secretary. Commission believes that the proposed 19(b)(1) of the Securities Exchange Act [FR Doc. 04–5052 Filed 3–5–04; 8:45 am] rule change should allow the Exchange 1 of 1934 (‘‘Act’’) and Rule 19b–4 BILLING CODE 8010–01–P to appropriately discipline its members thereunder,2 a proposed rule change to provide for the execution of matched 3 All times listed herein are Eastern time. 1 15 U.S.C. 78s(b)(1). 4 See Securities Exchange Act Release No. 49117 2 17 CFR 240.19b–4. 6 In approving this proposed rule change, the (January 22, 2004), 69 FR 4186. 3 See Securities Exchange Act Release No. 49078 Commission has considered the proposed rule’s 5 In approving this proposed rule change, the (January 14, 2004), 69 FR 3402. impact on efficiency, competition, and capital Commission has considered the proposed rule’s 4 In approving this proposed rule change, the formation. 15 U.S.C. 78c(f). impact on efficiency, competition, and capital Commission has considered the proposed rule’s 7 15 U.S.C. 78s(b)(2). formation. 15 U.S.C. 78c(f). impact on efficiency, competition, and capital 8 17 CFR 200.30–3(a)(12). 6 15 U.S.C. 78f(b)(5). formation. 15 U.S.C. 78c(f). 1 15 U.S.C. 78s(b)(1). 7 15 U.S.C. 78s(b)(2). 5 15 U.S.C. 78f. 2 17 CFR 240.19b–4. 8 17 CFR 200.30–3(a)(12). 6 15 U.S.C. 78f(b)(5).

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and persons associated with its to Section 19(b)(1) of the Securities Plan and the NASD’s rule against locked members for position limit violations. Exchange Act of 1934 (‘‘Act’’),1 and and crossed markets; (5) clarifies which In approving this proposed rule Rule 19b–4 thereunder,2 a proposed rule order types will be functional in the change, the Commission in no way change to enhance the Nasdaq National proposed rule change; (6) increases from minimizes the importance of Market Execution System (‘‘NNMS’’ or five seconds to seven seconds, the time compliance with these rules, and all ‘‘SuperMontage’’) to enable Nasdaq to for an ITS/CAES Market Maker to other rules subject to the imposition of trade via SuperMontage, all securities respond to a delivered order before that fines under the Exchange’s minor rule that are eligible for trading via the delivery will be canceled; (7) further violation plan. The Commission Intermarket Trading System (‘‘ITS specifies the functionality of IM Prime, believes that the violation of any self- Securities’’). The proposed rule change the data-feed that Nasdaq proposes to regulatory organization’s rules, as well was published for comment in the use for the dissemination of information as Commission rules, is a serious matter. Federal Register on October 28, 2003.3 about quotes and orders for ITS However, in an effort to provide the The Commission received no comment Securities in SuperMontage; (8) Exchange with greater flexibility in letters with respect to the proposal. identifies the measures Nasdaq has addressing certain violations, the On February 13, 2004, Nasdaq instituted to assure proper surveillance Exchange’s minor rule violation plan amended the proposed rule change.4 and compliance with ITS rules; and (9) provides a reasonable means to address This order approves the proposed rule provides further detail on Nasdaq’s rule violations that do not rise to the change, solicits comments on planned implementation schedule. The level of requiring formal disciplinary Amendment No. 1 to the proposed rule language of the proposed rule text, as proceedings. The Commission expects change, and grants accelerated approval amended, is attached as Exhibit A. that the CBOE will continue to conduct to Amendment No. 1 to the proposed III. Solicitation of Comments surveillance with due diligence, and rule change. make a determination based on its Interested persons are invited to II. Description of the Proposal and submit written data, views, and findings whether fines of more or less Amendment No. 1 Thereto than the recommended amount are arguments concerning Amendment No. appropriate for violations of rules under Nasdaq submitted the proposed rule 1 to the proposed rule change, including the Exchange’s minor rule violation change to replace its current Computer whether Amendment No. 1 is consistent plan, on a case by case basis, or if a Assisted Execution System (‘‘CAES’’) with the Act. Persons making written violation requires formal disciplinary with SuperMontage for the trading of all submissions should file six copies action. ITS Securities on Nasdaq. Under the thereof with the Secretary, Securities It is therefore ordered, pursuant to proposal, NASD members will trade ITS and Exchange Commission, 450 Fifth section 19(b)(2) of the Act,7 that the Securities using the SuperMontage Street, NW., Washington, DC 20549– proposed rule change (SR–CBOE–2003– functionality that the Commission has 0609. Comments should be submitted 58) be, and it hereby is, approved. previously approved for the trading of electronically at the following e-mail Nasdaq-listed securities, with certain address: [email protected]. All For the Commission, by the Division of modifications needed to ensure that Market Regulation, pursuant to delegated comment letters should refer to File No. authority.8 NASD members continue to comply SR–NASD–2003–149. This file number Margaret H. McFarland, with all pre-existing NASD and should be included on the subject line Commission rules governing the trading if e-mail is used. To help the Deputy Secretary. of ITS Securities. Commission process and review your [FR Doc. 04–5053 Filed 3–5–04; 8:45 am] After the proposed rule change was comments more efficiently, comments BILLING CODE 8010–01–P published for comment in the Federal should be sent in hard copy or by e-mail Register, Nasdaq submitted Amendment but not by both methods. Copies of the No. 1 to the proposed rule change, in submission, all subsequent SECURITIES AND EXCHANGE order to address informal feedback from COMMISSION amendments, all written statements participants in the ITS Plan and with respect to the proposed rule [Release No. 34–49349; File No. SR–NASD– comments from Division staff. change that are filed with the 2003–149] Specifically, Amendment No. 1: (1) Commission, and all written Clarifies that an odd-lot share amount communications relating to the Self-Regulatory Organizations; Order will be cancelled if it represents the proposed rule change between the Approving Proposed Rule Change and only interest for an ITS Market Maker at Commission and any person, other than Notice of Filing and Order Granting a given price level; (2) establishes that those that may be withheld from the Accelerated Approval to Amendment Nasdaq would begin processing locked/ public in accordance with the No. 1 to the Proposed Rule Change by crossed markets at 9:30 a.m.; (3) provisions of 5 U.S.C. 552, will be the National Association of Securities describes how SuperMontage processing available for inspection and copying in Dealers, Inc. Relating to SuperMontage in ITS Securities will occur between 4 the Commission’s Public Reference and ITS Securities and 6:30 p.m.; (4) describes how Nasdaq Room. Copies of such filing will also be March 2, 2004. will surveil for compliance with the ITS available for inspection and copying at the principal office of the NASD. All I. Introduction 1 15 U.S.C. 78s(b)(1). submissions should refer to File No. 2 On October 6, 2003, the National 17 CFR 240.19b–4. SR–NASD–2003–149 and should be 3 See Securities Exchange Act Release No. 48674 Association of Securities Dealers, Inc. (October 21, 2003), 68 FR 61508. submitted by March 29, 2004. (‘‘NASD’’), through its subsidiary, the 4 See letter from Jeff Davis, Office of General IV. Discussion and Commission Nasdaq Stock Market, Inc. (‘‘Nasdaq’’), Counsel, Nasdaq, to Katherine England, Assistant Findings filed with the Securities and Exchange Director, Division of Market Regulation Commission (‘‘Commission’’), pursuant (‘‘Division’’), Commission, dated February 12, 2004 After careful review, the Commission (‘‘Amendment No. 1’’). In Amendment No. 1, Nasdaq addressed staff comments relating to the finds that the proposed rule change, as 7 15 U.S.C. 78s(b)(2). implementation and procedures of the proposal. amended, is consistent with the 8 17 CFR 200.30–3(a)(12). See Section II infra. requirements of the Act and the rules

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and regulations thereunder applicable to Exhibit A rule. Directed Orders shall not be 5 a national securities association. In 4700. NASDAQ National Market available for ITS Securities. particular, the Commission believes that Execution System (NNMS) (g) The term ‘‘Displayed Quote/ the proposed rule change is consistent Order’’ shall mean both Attributable and with section 15A(b)(6) of the Act,6 4701. Definitions Non-Attributable (as applicable) Quotes/ which requires, among other things, that Unless stated otherwise, the terms Orders transmitted to Nasdaq by the NASD’s rules be designed to prevent described below shall have the Quoting Market Participants or NNMS fraudulent and manipulative acts and following meaning: Order Entry Firms. NNMS Order Entry practices, to promote just and equitable (a) The term ‘‘active NNMS firms are not permitted to enter principles of trade, and, in general, to securities’’ shall mean those NNMS Displayed Quotes/Orders in ITS protect investors and the public interest. eligible securities in which at least one Securities. Specifically, the Commission believes NNMS Market Maker or ITS/CAES (h) The term ‘‘Firm Quote Rule’’ shall that replacing CAES with the Market Maker is currently active in mean SEC Rule 11Ac1–1. SuperMontage functionality, Nasdaq’s NNMS. (i) The term ‘‘Immediate or Cancel’’ integrated execution system, should (b) Reserved. shall mean, for limit orders so enhance the trading of ITS Securities (c) The term ‘‘Attributable Quote/ designated, that if after entry into the trading on Nasdaq. Order’’ shall have the following NNMS a marketable limit order (or The Commission finds good cause for meaning: unexecuted portion thereof) becomes approving Amendment No. 1 to the (1) For NNMS Market Makers and non-marketable, the order (or proposed rule change prior to the NNMS ECNs, a bid or offer Quote/Order unexecuted portion thereof) shall be thirtieth day after the amendment is that is designated for display (price and canceled and returned to the entering published for comment in the Federal size) next to the participant’s [MMID] participant. Register pursuant to section 19(b)(2) of MPID in the Nasdaq Quotation Montage (j) The term ‘‘Liability Order’’ shall the Act.7 In Amendment No. 1, Nasdaq once such Quote/Order becomes the mean an order that when delivered to a further clarified the proposal by participant’s best attributable bid or Quoting Market Participant imposes an addressing substantive concerns raised offer. obligation to respond to such order in a by the ITS Participants and procedural (2) For ITS/CAES Market Makers, a manner consistent with the Firm Quote concerns raised by Division staff. bid or offer Quote/Order that is Rule. Granting accelerated approval to the designated for display (price and size) (k) The term ‘‘limit order’’ shall mean filing as amended, will enable the next to the participant’s MPID once an order to buy or sell a stock at a NASD to provide the SuperMontage such Quote/Order becomes the specified price or better. functionality without further delay. The participant’s best attributable bid or (l) The term ‘‘market order’’ shall Commission believes that there is no offer. mean an unpriced order to buy or sell reason to delay implementation of these [(2)](3) For UTP Exchanges, the best a stock at the market’s current best changes. bid and best offer quotation with price price. and size that is transmitted to Nasdaq by (m) The term ‘‘marketable limit order’’ V. Conclusion the UTP Exchange, which is displayed shall mean a limit order to buy that, at next to the UTP Exchange’s [MMID] the time it is entered into the NNMS, is For the foregoing reasons, the MPID in the Nasdaq Quotation Montage. priced at the current inside offer or Commission finds that the proposed (d) The term ‘‘Automated higher, or a limit order to sell that, at the rule change is consistent with the Act Confirmation Transaction’’ service or time it is entered into the NNMS, is and the rules and regulations ‘‘ACT’’ shall mean the automated priced at the inside bid or lower. thereunder applicable to a national system owned and operated by The (n) The term ‘‘mixed lot’’ shall mean securities association, and, in particular, Nasdaq Stock Market, Inc., which an order that is for more than a normal section 15A(b)(6) of the Act.8 compares trade information entered by unit of trading but not a multiple It is therefore ordered, pursuant to ACT Participants and submits ‘‘locked- thereof. section 19(b)(2) of the Act,9 that the in’’ trades to clearing. (o) The term ‘‘Non-Attributable proposed rule change (SR–NASD–2003– (e) The term ‘‘automatic refresh size’’ Quote/Order’’ shall mean: 149) be approved, and that Amendment shall mean the default size to which an (1) for orders in Nasdaq-listed No. 1 be approved on an accelerated NNMS Market Maker’s quote will be securities, a bid or offer Quote/Order basis. refreshed pursuant to NASD Rule that is entered by a Nasdaq Quoting For the Commission, by the Division of 4710(b)(2), if the market maker elects to Market Participant or NNMS Order Market Regulation, pursuant to delegated utilize the Quote Refresh Functionality Entry Firm and is designated for display authority.10 and does not designate to Nasdaq an (price and size) on an anonymous basis Jill M. Peterson, alternative refresh size, which must be in the Nasdaq Order Display Facility. at least one normal unit of trading. The UTP Exchanges may submit Non- Assistant Secretary. automatic refresh size default amount Attributable Quote/Order(s) in Proposed new language is italicized; shall be 1,000 shares. conformity with Rule 4710(e). proposed deletions are in [brackets]. (f) The term ‘‘Directed Order’’ shall (2) for orders in ITS Securities, a bid mean an order in a Nasdaq-listed or offer Quote/Order that is entered by 5 In approving this proposed rule change, the security that is entered into the system an ITS/CAES Market Maker and is Commission has considered the proposed rule’s by an NNMS participant that is directed designated for display (price and size) impact on efficiency, competition, and capital to a particular Quoting Market and/or execution on an anonymous formation. 15 U.S.C. 78c(f). 6 15 U.S.C. 78o–3(b)(6). Participant at any price, through the basis. NNMS Order Entry Firms shall be 7 15 U.S.C. 78s(b)(2). Directed Order process described in eligible to enter Non-Attributable orders 8 15 U.S.C. 78o–3(b)(6). Rule 4710(c). This term shall not in ITS Securities only if they are 9 15 U.S.C. 78s(b)(2). include the ‘‘Preferenced Order’’ designated as Immediate or Cancel or 10 17 CFR 200.30–3(a)(12). described in subparagraph (aa) of this Total Immediate or Cancel.

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(p) The term ‘‘Non-Directed Order’’ that is registered as a Nasdaq Market single quotation. For ITS Securities, shall mean an order that is entered into Maker and as a Market Maker for orders entered by NNMS Order Entry the system by an NNMS Participant and purposes of participation in NNMS with Firms are not displayed. Unless is not directed to any particular Quoting respect to one or more Nasdaq listed specifically referring to a UTP Market Participant or ITS Exchange, and [NNMS eligible] securities, and is Exchange’s agency Quote/Order (as set shall also include Preferenced Orders as currently active in NNMS and obligated out in Rule 4710([f]e)(2)(b)), when this described in subparagraph (aa) of this to execute orders through the automatic- term is used in connection with a UTP rule. execution functionality of the NNMS Exchange, it shall mean the best bid (q) The term ‘‘Non-Liability Order’’ system for the purchase or sale of an and/or the best offer quotation shall mean for Nasdaq listed securities active Nasdaq listed [NNMS] security at transmitted to Nasdaq by the UTP an order that when delivered to a the Nasdaq inside bid and/or offer price. Exchange. Quoting Market Participant imposes no (v) The term ‘‘NNMS Participant’’ (cc) The term ‘‘Quoting Market obligation to respond to such order shall mean an NNMS Market Maker, Participant’’ shall include any of the under the Firm Quote Rule. NNMS ECN, UTP Exchange, [or] ITS/ following: (1) NNMS Market Makers; (2) (r) The term ‘‘Nasdaq National Market CAES Market Maker, or NNMS Order NNMS ECNs; [and] (3) UTP Exchange Execution System,’’ ‘‘NNMS,’’ or Entry Firm registered as such with the Specialists, and (4) ITS/CAES Market ‘‘system’’ shall mean the automated Association for participation in NNMS. Makers. system owned and operated by The (w) The term ‘‘NNMS Order Entry (dd) The term ‘‘Reserve Size’’ shall Nasdaq Stock Market, Inc. which Firm’’ shall mean a member of the mean the system-provided functionality enables NNMS Participants to execute Association who is registered as an that permits a Nasdaq Quoting Market transactions in active NNMS authorized Order Entry Firm for purposes of Participant or NNMS Order Entry Firm securities; to have reports of the entering orders in NNMS Securities into to display in its Displayed Quote/Order transactions automatically forwarded to NNMS [participation in NNMS]. This part of the full size of a proprietary or the appropriate National Market Trade term shall also include any Electronic agency order, with the remainder held Reporting System, if required, for Communications Network or in reserve on an undisplayed basis to be dissemination to the public and the Alternative Trading System that fails to displayed in whole or in part after the industry, and to ‘‘lock in’’ these trades meet all the requirements of Rule 4623. displayed part is reduced by executions by sending both sides to the applicable NNMS Order Entry Firms shall not to less than a normal unit of trading. clearing corporation(s) designated by charge any fee to a broker-dealer that (ee) The term ‘‘Nasdaq Order Display the NNMS Participant(s) for clearance accesses the NNMS Order Entry Firm’s Facility’’ shall mean, in Nasdaq listed and settlement; and to provide NNMS quote/order through NNMS. securities, the portion of the Nasdaq Participants with sufficient monitoring (x) The term ‘‘Nasdaq Quotation WorkStation presentation that displays, and updating capability to participate in Montage’’ shall mean the portion of the without attribution to a particular an automated execution environment. Nasdaq WorkStation presentation that (s) The term ‘‘NNMS eligible displays for a particular stock two Quoting Market Participant’s [MMID] securities’’ shall mean designated columns (one for bid, one for offer), MPID, the five best price levels in Nasdaq-listed equity securities and ITS under which is listed in price/time Nasdaq on both the bid and offer side Securities. ITS Securities shall include priority the [MMID] MPIDs for each of the market and the aggregate size of all securities included in NASD Rule NNMS Market Maker, NNMS ECN, and Attributable and Non-Attributable 5210(c) and NASD Rule 6410(d). UTP Exchange registered in the stock Quotes/Orders at each price level. (t) The term ‘‘NNMS ECN’’ shall mean and the corresponding quote (price and (ff) The term ‘‘UTP Exchange’’ shall a member of the Association that meets size) next to the related [MMID] MPID. mean any registered national securities all of the requirements of NASD Rule (y) The term ‘‘Nasdaq Quoting Market exchange that elects to participate in the 4623, and that participates in the NNMS Participant’’ shall include only the NNMS and that has unlisted trading with respect to one or more Nasdaq following: (1) NNMS Market Makers; privileges in Nasdaq National Market listed [NNMS eligible] securities. [or] (2) NNMS ECNs;[.] and (3) ITS/ securities pursuant to the Joint Self- (1) The term ‘‘NNMS Auto-Ex ECN’’ CAES Market Makers. Regulatory Organization Plan Governing shall mean an NNMS ECN that (z) The term ‘‘odd-lot order’’ shall the Collection, Consolidation and participates in the automatic-execution mean an order that is for less than a Dissemination Of Quotation and functionality of the NNMS system, and normal unit of trading. Transaction Information For [Exchange- accordingly executes Non-Directed (aa) The term ‘‘Preferenced Order’’ Listed] Nasdaq/National Market System Orders via automatic execution for the shall mean an order that is entered into Securities Traded On Exchanges On An purchase or sale of an active Nasdaq the Non-Directed Order Process and is Unlisted Trading Privilege Basis listed [NNMS] security at the Nasdaq designated to be delivered to or (‘‘Nasdaq UTP Plan’’). inside bid and/or offer price. executed against a particular Quoting (gg) The term ‘‘Legacy Quote’’ shall (2) The term ‘‘NNMS Order-Delivery Market Participant’s Attributable Quote/ mean the quotation mechanism that ECN’’ shall mean an NNMS ECN that Order if the Quoting Market Participant existed in Nasdaq on or before July 1, participates in the order-delivery is at the best bid/best offer when the 2002, and that does not permit the entry functionality of the NNMS system, Preferenced Order is the next in line to of Quotes/Orders at multiple price accepts delivery of Non-Directed Orders be executed or delivered. Preferenced levels in the NNMS. that are Liability Orders, and provides Orders shall be executed subject to the (hh) The term ‘‘Day’’ shall mean, for an automated execution of Non-Directed conditions set out in Rule 4710(b). orders so designated, that if after entry Orders (or an automated rejection of (bb) The term ‘‘Quote/Order’’ shall into the NNMS, the order is not fully such orders if the price is no longer mean a single quotation or shall mean executed, the order (or unexecuted available) for the purchase or sale of an an order or multiple orders at the same portion thereof) shall remain available active Nasdaq listed [NNMS] security at price submitted to Nasdaq by a Nasdaq for potential display and/or execution the Nasdaq inside bid and/or offer price. Quoting Market Participant or, for until market close (4 p.m. Eastern (u) The term ‘‘NNMS Market Maker’’ Nasdaq securities, NNMS Order Entry Time), after which it shall be returned shall mean a member of the Association Firm that is displayed in the form of a to the entering party.

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(ii) The term ‘‘Good-till-Cancelled’’ also willing to buy or sell, if necessary. the order (or unexecuted portion shall mean, for orders so designated, The displayed price may be fixed or thereof) shall remain available for that if after entry into NNMS, the order may be pegged to equal the inside quote potential display between 7:30 a.m. and is not fully executed, the order (or on the same side of the market. The 6:30 p.m. and for potential execution unexecuted portion thereof) shall pegging of the Discretionary Order may between 9:30 a.m. and 6:30 p.m., after remain available for potential display be capped in the same manner as that which it shall be returned to the and/or execution until cancelled by the of a Pegged Order. The discretionary entering party. entering party, or until 1 year after price range of a Discretionary Order that (tt) The term ‘‘Total Good-till- entry, whichever comes first. is pegged will be adjusted to follow the Cancelled’’ shall mean, for orders in ITS (jj) The term ‘‘End-of-Day’’ shall pegged displayed price. Securities so designated, that if after mean, for orders so designated, that if (2) for orders in ITS Securities so entry into NNMS, the order is not fully after entry into the NNMS, the order is designated, an order that when entered executed, the order (or unexecuted not fully executed, the order (or into NNMS has both a displayed bid or portion thereof) shall remain available unexecuted portion thereof) shall offer price, as well as a non-displayed for potential display between 7:30 a.m. remain available for potential execution discretionary price range in which the and 6:30 p.m. and for potential and/or display until market close (4 participant is also willing to buy or sell, execution between 9:30 a.m. and 6:30 p.m. Eastern Time), and thereafter for if necessary. The display price must be p.m., until cancelled by the entering potential execution until 6:30 p.m. fixed. A Discretionary Order in an ITS party, or until 1 year after entry, Eastern Time, after which it shall be Security may not result in a quote that whichever comes first. returned to the entering party. End-of- locks or crosses the national best bid (uu) The term ‘‘Total Immediate or Day orders shall not be available for ITS and offer and shall not be executed at Cancel’’ shall mean, for limit orders in Securities. a price that trades through the quotation ITS Securities so designated, that if after (kk) The term ‘‘Auto Ex’’ shall mean of an ITS Exchange unless it is entry into the NNMS a marketable limit for orders in Nasdaq listed securities so designated as a Sweep Order. order (or unexecuted portion thereof) designated, an order that will execute (oo) Reserved. becomes non-marketable, the order (or solely against the Quotes/Orders of (pp) The term ‘‘ITS/CAES Market unexecuted portion thereof) shall be NNMS Participants that participate in Maker’’ shall mean a member of the canceled and returned to the entering the automatic execution functionality of Association that is registered as an ITS/ participant. Such orders may be entered the NNMS and that do not charge a CAES Market Maker as defined in between 7:30 a.m. and 6:30 p.m. and are separate quote-access fee to NNMS NASD Rule 5210(e) or as a CQS Market available for potential execution Participants accessing their Quotes/ Maker as defined in NASD Rule 6320 between 9:30 a.m. and 6:30 p.m. Orders through the NNMS. and as a Market Maker for purposes of (ll) The term ‘‘Fill or Return’’ shall participation in NNMS with respect to 4705. NNMS Participant Registration mean for orders in ITS Securities so one or more ITS Securities, and is (a) Participation in NNMS as an designated, an order that is entered by currently active in NNMS. ITS/CAES NNMS Market Maker requires current an ITS/CAES Market Maker and Market Makers shall be permitted to registration as such with the delivered to or executed by NNMS execute orders in ITS Securities through Association. Such registration shall be Participants without delivering the order the automatic execution or order conditioned upon the NNMS Market to an ITS Exchange and without trading delivery functionality of the NNMS Maker’s initial and continuing through the quotations of ITS system for the purchase or sale of active compliance with the following Exchanges. The System will, if ITS Securities. requirements: necessary, execute against interest at (qq) The term ‘‘ITS Exchange’’ shall (1) execution of an NNMS Participant successive price levels. mean a national securities exchange application agreement with the (mm) The term ‘‘Pegged’’ shall mean, that participates in the ITS system as Association; for orders so designated, that after entry defined in Rule 5210(a). ITS Exchanges (2) membership in, or access into the NNMS, the price of the order is shall not be eligible to participate in the arrangement with a participant of a automatically adjusted by NNMS in NNMS. ITS Commitments sent by ITS clearing agency registered with the response to changes in the Nasdaq Exchanges shall be processed by the Commission that maintains facilities inside bid or offer, as appropriate. The system in accordance with the ITS Plan through which NNMS compared trades price of a Pegged Order may be equal to and all applicable NASD rules may be settled; the inside quote on the same side of the governing the participation in ITS. (3) registration as a market maker in market (a Regular Pegged Order) or may Quotes/Orders that are eligible for ITS The Nasdaq Stock Market pursuant to be equal to a specified amount better will be processed by the system and the Rule 4600 Series and compliance than the inside quote on the contra side delivered to the appropriate ITS with all applicable rules and operating of the market (a Reverse Pegged Order). Exchange as an ITS Commitment in procedures of the Association and the The market participant entering a accordance with the requirements of the Commission; Pegged Order may (but is not required ITS Plan and all applicable NASD rules. (4) maintenance of the physical to) specify a cap price, to define a price (rr) The term ‘‘Sweep Order’’ shall security of the equipment located on the at which pegging of the order will stop mean, for orders in ITS Securities so premises of the NNMS Market Maker or and the order will be converted into an designated, an order that may be to prevent the improper use or access to un-pegged limit order. Pegged Orders entered only by ITS/CAES Market Nasdaq systems, including shall not be available for ITS Securities. Makers and that may be delivered to or unauthorized entry of information into (nn) (1) The term ‘‘Discretionary’’ executed only by NNMS Participants at NNMS; and shall mean, for priced limit orders in multiple price levels and that may trade (5) acceptance and settlement of each Nasdaq listed securities so designated, through ITS Exchanges’ quotations. NNMS trade that NNMS identifies as an order that when entered into NNMS (ss) The term ‘‘Total Day’’ shall mean, having been effected by such NNMS has both a displayed bid or offer price, for orders in ITS Securities so Market Maker, or if settlement is to be as well as a non-displayed discretionary designated, that if after entry into the made through another clearing member, price range in which the participant is NNMS, the order is not fully executed, guarantee of the acceptance and

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settlement of such identified NNMS (5) acceptance and settlement of each (2) If a priced order designated as a trade by the clearing member on the trade that is executed through the ‘‘Day’’ order is not immediately regularly scheduled settlement date. facilities of the NNMS, or if settlement executable, the unexecuted order (or (b) Pursuant to Rule 4611(f), is to be made through another clearing portion thereof) shall be retained by participation as an NNMS Market Maker member, guarantee of the acceptance NNMS and remain available for is required for any Nasdaq market maker and settlement of such identified NNMS potential display/execution until it is registered to make a market in an NNMS trade by the clearing member on the cancelled by the entering party, or until security. regularly scheduled settlement date. 4 p.m. Eastern Time on the day such (c) Participation in NNMS as an (e) Participation in NNMS as an ITS/ order was submitted, whichever comes NNMS Order Entry Firm requires CAES Market Maker shall be first, whereupon it will be returned to current registration as such with the conditioned upon the ITS/CAES Market the sender. Association. Such registration shall be Maker’s initial and continuing (3) If the order is designated as conditioned upon the NNMS Order compliance with the requirements set ‘‘Good-till-Cancelled’’ (‘‘GTC’’), the Entry Firm’s initial and continuing forth in NASD Rule 5220. order (or unexecuted portion thereof) compliance with the following ([e]f) The registration required will be retained by NNMS and remain requirements: hereunder will apply solely to the available for potential display/execution (1) execution of an NNMS Participant qualification of an NNMS Participant to until cancelled by the entering party, or application agreement with the participate in NNMS. Such registration until 1 year after entry, whichever Association; shall not be conditioned upon comes first. (2) membership in, or access registration in any particular eligible or (4) Starting at 7:30 a.m., until the 4 arrangement with a participant of, a active NNMS securities. p.m. market close, IOC and Day Non- clearing agency registered with the ([f]g) Each NNMS Participant shall be Directed Orders may be entered into Commission that maintains facilities under a continuing obligation to inform NNMS (or previously entered orders cancelled), but such orders entered prior through which NNMS compared trades the Association of noncompliance with to market open will not become may be settled; any of the registration requirements set available for execution until 9:30 a.m. (3) compliance with all applicable forth above. Eastern Time. GTC orders may be rules and operating procedures of the ([g]h) The Association and its entered (or previously entered GTC Association and the Securities and subsidiaries shall not be liable for any orders cancelled) between the hours Exchange Commission; losses, damages, or other claims arising 7:30 a.m. to 6:30 p.m. Eastern Time, but (4) maintenance of the physical out of the NNMS or its use. Any losses, damages, or other claims, related to a such orders entered prior to market security of the equipment located on the open, or GTC orders carried over from premises of the NNMS Order Entry Firm failure of the NNMS to deliver, display, transmit, execute, compare, submit for previous trading days, will not become to prevent the improper use or access to available for execution until 9:30 a.m. Nasdaq systems, including clearance and settlement, adjust, retain priority for, or otherwise correctly Eastern Time. Exception: For Nasdaq unauthorized entry of information into listed securities only, Non-Directed Day NNMS; and process an order, Quote/Order, message, or other data entered into, or created by, (other than Pegged and Discretionary (5) acceptance and settlement of each the NNMS shall be absorbed by the Orders) and GTC orders may be NNMS trade that NNMS identifies as member, or the member sponsoring the executed prior to market open if having been effected by such NNMS customer, that entered the order, Quote/ required under Rule 4710(b)(3)(B). Order Entry Firm or if settlement is to Order, message, or other data into the (5) for Nasdaq listed securities, [A]an be made through another clearing NNMS. order may be designated as ‘‘Auto-Ex,’’ member, guarantee of the acceptance in which case the order will also and settlement of such identified NNMS 4706. Order Entry Parameters automatically be designated as IOC. An trade by the clearing member on the (a) Non-Directed Orders— Auto-Ex Order will execute solely regularly scheduled settlement date. (1) General. The following against the Quotes/Orders of NNMS (d) Participation in NNMS as an requirements shall apply to Non- Participants at the best bid/best offer NNMS ECN requires current registration Directed Orders Entered by NNMS that participate in the automatic as an NASD member and shall be Market Participants: execution functionality of the NNMS conditioned upon the following: (A) An NNMS Participant may enter and that do not charge a separate quote- (1) the execution of an NNMS into the NNMS a Non-Directed Order in access fee to NNMS Participants Participant application agreement with order to access the best bid/best offer as accessing their Quotes/Orders through the Association; displayed in Nasdaq. the NNMS. (2) compliance with all requirements (B) A Non-Directed Order must be a (6) for ITS Securities, an order may be in NASD Rule 4623 and all other market or limit order, must indicate designated as ‘‘Fill or Return,’’ in which applicable rules and operating whether it is a buy, short sale, short-sale case it shall be executed solely against procedures of the Association and the exempt, or long sale, and may be the Quotes/Orders of NNMS Securities and Exchange Commission; designated as ‘‘Immediate or Cancel’’, Participants at the best bid/best offer (3) membership in, or access [or as a] ‘‘Day’’, [or a] ‘‘Good-till- within NNMS. The NNMS will, if arrangement with, a clearing agency Cancelled’’, ‘‘Auto-Ex’’, ‘‘Fill or Return’’, necessary, execute against interest at registered with the Commission which ‘‘Pegged’’, ‘‘Discretionary’’, ‘‘Sweep’’, successive price levels. A Fill or Return maintains facilities through which ‘‘Total Day’’, ‘‘Total Good till Order will not trade through the NNMS-compared trades may be settled; Cancelled’’, or ‘‘Total Immediate or quotation of an ITS Exchange. (4) maintenance of the physical Cancel’’ [order]. (7) [In addition, an order may be security of the equipment located on the (1) If a priced order designated as assigned the designations described premises of the NNMS ECN to prevent ‘‘Immediate or Cancel’’ (‘‘IOC’’) is not below.] An order may be designated as the improper use or access to Nasdaq immediately executable, the unexecuted ‘‘Pegged,’’ in which case the order will systems, including unauthorized entry order (or portion thereof) shall be also automatically be designated as Day. of information into NNMS; and returned to the sender. A Pegged Order may not be designated

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as a Preferenced Order. A Pegged Order at a price that trades through the 6:30 p.m. is not immediately executable, (or unexecuted portion thereof) will be quotation of an ITS Exchange unless it the unexecuted order (or portion retained by NNMS and its price is also designated as a Sweep Order. thereof) shall be returned to the sender. adjusted in response to changes in the Starting at 7:30 a.m., until the 4 p.m. (C) The system will not process a Nasdaq inside market. A Pegged Order market close, Discretionary Orders in Non-Directed Order to sell short if the (including a Discretionary Order that is ITS Securities may be entered into execution of such order would violate pegged) will be cancelled if there is no NNMS (or previously entered orders NASD Rule 3350 or, in the case of ITS displayable Quote/Order to which its cancelled), but such orders entered prior Securities, SEC Rule 10a–1. price can be pegged. Starting at 7:30 to market open will not become (D) Non-Directed Orders will be a.m., until the 4 p.m. market close, available for execution until 9:30 a.m. processed as described in Rule 4710. Pegged Orders may be entered into Eastern Time. Discretionary Orders (E) The NNMS shall not accept Non- NNMS (or previously entered orders whose displayed price or discretionary Directed Orders that are All-or-None, or cancelled), but such orders entered prior price range does not lock or cross have a minimum size of execution. to market open will not become another Quote/Order will be available (F) A NNMS Market Participant may available for execution until 9:30 a.m. for execution at 9:30 a.m. All other enter a Non-Directed Order that is either Eastern Time. The initial price of Discretionary Orders will be added to a market order or a limit order prior to Pegged Orders (including Discretionary the time-priority queue described in the market’s open. Market orders and Orders that are pegged) entered prior to Rule 4706(a)(1)(F) and (a)(2)(B) and limit orders designated as Immediate or market open will be established at 9:30 processed by NNMS at market open. Cancel and limit orders designated as a.m. based on the Nasdaq inside bid or (9) An order in an ITS Security may Total Immediate or Cancel and offer at that time. Pegged Orders shall be designated as a ‘‘Sweep Order.’’ A Discretionary Orders whose displayed not be available for ITS Securities. Sweep Order may be entered only by an price or discretionary price range would To maintain the capacity and ITS/CAES Market Maker. A Sweep lock or cross another Quote/Order if performance of the NNMS, Nasdaq may Order may trade through the quotations they were displayed orders shall be held at any time suspend the entry of Pegged of ITS Exchanges, and it will be in a time-priority queue that will begin Orders (including Discretionary Orders delivered to or executed only by NNMS to be processed by NNMS at market that are pegged) for all securities or for Participants at multiple price levels. open. If an Immediate or Cancel limit any security. Pegged Orders that are in (10) An order in an ITS Security may order is unmarketable at the time it the NNMS at the time of such be designated as ‘‘Total Day’’ (‘‘X’’) and reaches the front of time-priority suspension will continue to be available may be entered between the hours 7:30 processing queue, it will be returned to for adjustment and execution. a.m. to 6:30 p.m. Eastern Time and are the entering market participant. Limit (8)(A) An order may be designated as available for potential execution orders that are not designated as ‘‘Discretionary’’, in which case the order beginning at 9:30 a.m. If a priced X Immediate or Cancel orders shall be will also automatically be designated as order is not immediately executable, the retained by NNMS for potential display Day. A Discretionary Order may not be unexecuted order (or portion thereof) in conformity with Rule 4707(b) and/or designated as a Preferenced Order. The shall be retained by NNMS and remain potential execution in conformity with order (or unexecuted portion thereof) available for potential display/execution Rule 4710(b)(1)(B). shall be displayed in the system, if until it is cancelled by the entering (2) Entry of Non-Directed Orders by appropriate, using the displayed price party, or until 6:30 p.m. Eastern Time NNMS Order Entry Firms—In addition selected by the entering party, with the on the day such order was submitted, to the requirements in paragraph (a)(1) system also retaining a non-displayed whichever comes first, whereupon it will of this rule, the following conditions discretionary price range within which be returned to the sender. shall apply to Non-Directed Orders the entering party is also willing to (11) An order in an ITS Security may entered by NNMS Order-Entry Firms: execute if necessary. If a Discretionary be designated as ‘‘Total Good-till- (A) Order is pegged, its displayed price will Cancelled’’ (‘‘GTX’’). A GTX order (or (i) All Non-Directed orders in Nasdaq be adjusted in response to changes in unexecuted portion thereof) shall be listed securities shall be designated as the Nasdaq inside market. Starting at retained by NNMS and remain available Immediate or Cancel, GTC or Day but 7:30 a.m., until the 4 p.m. market close, for potential display/execution until shall be required to be entered as Non- Discretionary Orders may be entered cancelled by the entering party, or until Attributable if not entered as IOC. into NNMS (or previously entered 1 year after entry, whichever comes first. NNMS Order Entry Firms may designate orders cancelled), but such orders GTX orders may be entered (or orders as ‘‘Pegged’’ or ‘‘Discretionary,’’ entered prior to market open will not previously entered GTX orders in which case the order will also become available for execution until cancelled) between the hours 7:30 a.m. automatically be designated as Day. For 9:30 a.m. Eastern Time. Discretionary to 6:30 p.m. Eastern Time and are IOC orders, if after entry into the NNMS Orders whose displayed price or available for potential execution of a Non-Directed Order that is discretionary price range does not lock beginning at 9:30 a.m. marketable, the order (or the unexecuted or cross another Quote/Order will be (12) An order in an ITS Security may portion thereof) becomes non- available for execution at 9:30 a.m. All be designated as ‘‘Total Immediate or marketable, the system will return the other Discretionary Orders will be Cancel’’ (‘‘IOX’’). IOX orders may be order (or unexecuted portion thereof) to added to the time-priority queue entered beginning at 7:30 a.m. until 6:30 the entering participant. described in Rule 4706(a)(1)(F) and p.m. and are available for potential (ii) In ITS Securities, all Non-Directed (a)(2)(B) and processed by NNMS at execution throughout the trading day orders shall be designated as Immediate market open. beginning at 9:30 a.m. If a priced order or Cancel, GTC, Day, Total Immediate (B) A Discretionary Order in an ITS designated as IOX and entered prior to or Cancel, Total Day, or Total GTC but Security may not be preferenced to an 9:30 a.m. is not immediately executable shall be required to be entered as Non- ITS/CAES Market Maker or ITS at 9:30 a.m., the unexecuted order (or attributable if not entered as IOC or Exchange, shall not result in a quote portion thereof) shall be returned to the IOX. NNMS Order Entry Firms may only that locks or crosses the national best sender. If a priced order designated as assign the IOC, IOX, and Fill or Return bid and offer and shall not be executed IOX and entered between 9:30 a.m. and and Discretionary order designations

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described in subparagraph (a)(1)(B). For (2) A Directed Order may have a time to that size increase. When a Pegged IOC and IOX orders, if after entry into in force of 3 to 99 minutes, or may be Order (including a Discretionary Order the NNMS of a Non-Directed Order that designated as ‘‘Day’’ order, or an ‘‘End that is pegged) is displayed as a Quote/ is marketable, the order (or the of Day’’ order. Order, its time-stamp will be updated unexecuted portion thereof) becomes (3) Directed Orders shall be processed whenever its price is adjusted. non-marketable, the system will return pursuant to Rule 4710(c). (3) Consistent with Rule 4613, an the order (or unexecuted portion (4) A Directed Order entered into the NNMS Market Maker is obligated to thereof) to the entering participant. system may not be cancelled until a maintain a two-sided Attributable (B) A Non-Directed Order that is minimum of five seconds has elapsed Quote/Order at all times, for at least one either a market or limit order may be after the time of entry. This five-second normal unit of trading. entered prior to the market’s open. Limit time period shall be measured by (4) Nasdaq Quoting Market and market orders designated as NNMS. Participants may continue to transmit to Immediate or Cancel and Discretionary (5) Directed Orders shall not be the NNMS only their best bid and best Orders or, in the case of ITS Securities, entered in ITS Securities. offer Attributable Quotes/Orders. IOX, whose displayed price or (c) Entry of Agency and Principal Notwithstanding NASD Rule 4613 and discretionary price range would lock or Orders—NNMS Participants are subparagraph (a)(1) of this rule, nothing cross another Quote/Order if they were permitted to enter into the NNMS both in these rules shall require a Nasdaq displayed will be held in a time-priority agency and principal orders for delivery Quoting Market Participant to transmit queue that will begin to be processed at and execution processing. to the NNMS multiple Quotes/Orders. market open. A limit order that is (d) Order Size— (b) Display of Quotes/Orders in Nasdaq—The NNMS will display designated as IOC or, in the case of ITS (1) In Nasdaq-listed securities, [A]any Quotes/Orders submitted to the system Securities, IOX and is not marketable at order in whole shares up to 999,999 shares may be entered into the NNMS as follows: the time it reaches the front of the time- (1) Attributable Quotes/Orders—The priority processing queue will be for normal execution processing. (2) Orders in ITS Securities must be price and size of a Nasdaq Quoting returned to the entering participant. entered for a minimum of one round lot, Market Participant’s best priced (b) Directed Orders in Nasdaq-listed or in round lot multiples, or in mixed Attributable Quote/Order on both the Securities. A participant may enter a lots. Orders in ITS Securities will be bid and offer side of the market will be Directed Order in a Nasdaq-listed delivered to ITS Exchanges in round lots displayed in the Nasdaq Quotation security into the NNMS to access a only. Montage under the Nasdaq Quoting specific Attributable Quote/Order (e) Open Quotes—The NNMS will Market Participant’s [MMID] MPID, and displayed in the Nasdaq Quotation only deliver an order or an execution to also will be displayed in the Nasdaq Montage, subject to the following a Quoting Market Participant if that Order Display Facility as part of the conditions and requirements: participant has an open quote. aggregate trading interest at a particular (1) Unless the Quoting Market price when the price of such Participant to which a Directed Order is 4707. Entry and Display of Quotes/ Attributable Quote/Order falls within being sent has indicated that it wishes Orders the number of price levels authorized to receive Directed Orders that are (a) Entry of Quotes/Orders—Nasdaq for aggregation and display pursuant to Liability Orders, a Directed Order must Quoting Market Participants may enter Rule 4701(ee) on either side of the be a Non-Liability Order, and as such, Quotes/Orders into the NNMS, and market. Upon execution or cancellation at the time of entry must be designated NNMS Order Entry Firms may enter of the Nasdaq Quoting Market as: Non-Attributable Orders into the Participant’s best-priced Attributable (A) an ‘‘All-or-None’’ order (‘‘AON’’) NNMS, subject to the following Quote/Order on a particular side of the that is at least one normal unit of requirements and conditions: market, the NNMS will automatically trading (e.g. 100 shares) in excess of the (1) Nasdaq Quoting Market display the participant’s next best Attributable Quote/Order of the Quoting Participants shall be permitted to Attributable Quote/Order on that side of Market Participant to which the order is transmit to the NNMS multiple Quotes/ the market. directed; or Orders at a single as well as multiple (2) Non-Attributable Quotes/Orders— (B) a ‘‘Minimum Acceptable price levels. Such Quote/Order shall The price and size of a Nasdaq Quoting Quantity’’ order (‘‘MAQ’’), with a MAQ indicate whether it is an ‘‘Attributable Market Participant’s and NNMS Order value of at least one normal unit of Quote/Order’’ or ‘‘Non-Attributable Entry Firm’s Non-Attributable Quote/ trading in excess of Attributable Quote/ Quote/Order,’’ and the amount of Order on both the bid and offer side of Order of the Quoting Market Participant Reserve Size (if applicable). NNMS the market will be displayed in the to which the order is directed. Nasdaq Order Entry Firms shall be permitted to Nasdaq Order Display Facility as part of will append an indicator to the quote of transmit to NNMS multiple Non- the aggregate trading interest at a a Quoting Market Participant that has Attributable Quotes/Orders at a single as particular price when the price of such indicated to Nasdaq that it wishes to well as multiple price levels and the Non-Attributable Quote/Order falls receive Directed Orders that are amount of Reserve Size (if applicable). within the number of price levels Liability Orders. (2) Upon entry of a Quote/Order into authorized for aggregation and display (C) a Directed Order that is entered at the system, the NNMS shall time-stamp pursuant to Rule 4701(ee) on either side a price that is inferior to the Attributable it, which time-stamp shall determine of the market. A Non-Attributable Quote/Order of the Quoting Market the ranking of the Quote/Order for Quote/Order will not be displayed in Participant to which the order is purposes of processing Non-Directed the Nasdaq Quotation Montage under directed. Nasdaq will append an Orders as described in Rule 4710(b). For the Nasdaq Quoting Market Participant’s indicator to the quote of a Quoting each subsequent size increase received [MMID] MPID. Non-Attributable Market Participant that has indicated to for an existing quote at a given price, the Quotes/Orders that are the best priced Nasdaq that it wishes to receive system will maintain the original time- Non-Attributable bids or offers in the Directed Orders that are Liability stamp for the original quantity of the system will be displayed in the Nasdaq Orders. quote and assign a separate time-stamp Quotation Montage under an

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anonymous [MMID] MPID, which shall their original price levels and continue (f) IM Prime—‘‘IM Prime’’ is a represent and reflect the aggregate size to be available for execution. separate data feed that Nasdaq will of all Non-Attributable Quotes/Orders in (B) Aggregation and Display of Odd- make available for a fee that is Nasdaq at that price level. Upon lots Bettering the Inside Price—Except approved by the Securities and execution or cancellation of a Nasdaq as provided in Subsection (C) below, Exchange Commission. This separate Quoting Market Participant’s or NNMS odd-lot share amounts that remain in data feed will display with attribution to Order Entry Firm’s Non-Attributable system at prices that improve the best ITS/CAES Market Makers’ MPIDs all Quote/Order, the NNMS will bid/offer in Nasdaq shall be subject to Attributable Quotes/Orders on both the automatically display a Non- aggregation for display purposes, via the bid and offer side of the market for all Attributable Quote/Order in the Nasdaq SIZE [MMID] MPID, with the odd-lot price levels within SuperMontage for Order Display Facility (consistent with share amounts of other NNMS Quoting ITS Securities the parameters described above) if it Market Participants and NNMS Order falls within the number of price levels Entry Firms at those same price level(s). 4708 ITS Commitments authorized for aggregation and display Such odd-lots will be displayed via (a) Compliance with Rule 5200 Series. pursuant to Rule 4701(ee) on either side SIZE if (1) the combination of all such (1) Pre Opening Application. ITS/ of the market. odd-lots at a particular price level is CAES Market Makers may use NNMS to (3) Exceptions—The following equal to, or more than, a round-lot and participate in the Pre Opening exceptions shall apply to the display (2) that the price level represents either Application in accordance with Rule parameters set forth in paragraphs (1) the highest bid or lowest offer price 5250. NNMS Order Entry Firms may not and (2) above: within the system. This aggregation participate in the Pre Opening (A) Odd-lots, Mixed Lots, and shall display only the maximum round- Application. Rounding—The [Nasdaq system] NNMS lot portion of the total combined shares (2) Trade throughs. ITS/CAES Market (and all accompanying data feeds) shall available at that best-priced level. This Makers must use NNMS to comply with be capable of displaying trading interest aggregation shall be for display the trade through obligations set forth in in round lot amounts. For quote display purposes only and all individual odd-lot Rules 5262 and 5264. The NNMS will purposes, [Nasdaq] NNMS will share amounts that are part of any such reject any order of an NNMS Order aggregate all shares, including odd-lot aggregation shall continue to processed Entry Firm that, if executed, would share amounts, entered by a Quoting by the system based on the time-priority trade through an ITS Exchange. Market Participant and NNMS Order of their original entry. (3) Locked and Crossed Markets. ITS/ Entry Firm at a single price level and (C) In the case of ITS Securities, odd CAES Market Makers must use NNMS to then round that total share amount lot share amounts of each individual comply with the locked and crossed down to the nearest round-lot amount ITS/CAES Market Maker shall be for display and dissemination, aggregated and shall be displayed next markets obligations set forth in Rules consistent with subparagraphs (b)(1) to that ITS/CAES Market Maker’s MPID 5263. Any order or portion thereof and (b)(2) of this rule. Though rounded, for a minimum of one round lot or for entered by an NNMS Order Entry Firm any odd-lot portion of a Quote/Order round lot multiples. An odd lot share that would create a locked/crossed that is not displayed as a result of this amount will be cancelled if it represents market with an ITS Exchange will be rounding process will remain in the an ITS/CAES Market Maker’s best rejected. system, with the time-priority of their priced quote or order within (b) Inbound ITS Commitments. original entry, and be continuously SuperMontage. Odd lot share amounts (1) If the ITS Commitment contains an available for execution. Round-lots that will be cancelled at the end of the day. obvious error as described in Rule are subsequently reduced by executions (c) Reserve Size—Reserve Size shall 5265(b), the NNMS will decline it. to a mixed lot amount will likewise be not be displayed in Nasdaq, but shall be (2) If the ITS Commitment, if rounded for display purposes by the electronically accessible as described in executed, would result in a violation of system to the nearest round-lot amount Rule 4710(b). SEC Rule 10a–1, the NNMS will decline at that same price level. Any odd-lot (d) Summary Scan—The ‘‘Summary it. number of shares that do not get Scan’’ functionality, [which] is a query- (3) If the conditions described in displayed as a result of this rounding only non-dynamic functionality for subparagraphs (1) and (2) above do not will remain in the system with the time- Nasdaq listed securities only. It [that] apply, the NNMS will execute or deliver priority of their original entry and thus displays without attribution to Quoting an inbound ITS Commitment in be continuously available for execution. Market Participants’ [MMIDs] MPIDs the accordance with applicable provisions If executions against an Attributable aggregate size of Attributable and Non- of the Rule 5200 Series and the ITS Quote/Order result in there being an Attributable Quotes/Orders for all levels Plan. (on both the bid and offer side of the insufficient (odd-lot) amount of shares 4710. Participant Obligations in NNMS at a price level to display an market) below the number of price Attributable Quote/Order for one round- levels authorized for aggregation and (a) Registration Upon the effectiveness lot, the system will display the Quoting display pursuant to Rule 4701(ee). of registration as a NNMS Market Market Participant’s next best priced (e) NQDS Prime—‘‘NQDS Prime’’ is a Maker, NNMS ECN, ITS/CAES Market Attributable Quote/Order consistent separate data feed for Nasdaq-listed Maker or NNMS Order Entry Firm, the with Rule 4710(b)(2). If all Attributable securities that Nasdaq will make NNMS Participant may commence Quotes/Orders on the bid and/or offer available for a fee that is approved by activity within NNMS for exposure to side of the market are exhausted so that the Securities and Exchange orders or entry of orders, as applicable. there are no longer any Attributable Commission. This separate data feed The operating hours of NNMS may be Quotes/Orders, the system may refresh will display with attribution to Quoting established as appropriate by the a market maker’s exhausted bid or offer Market Participants’ [MMIDs] MPIDs all Association. The extent of participation quote using the process set forth in Rule Attributable Quotes/Orders on both the in Nasdaq by an NNMS Order Entry 4710(b)(5). With the exception of Legacy bid and offer side of the market for the Firm shall be determined solely by the Quotes, odd-lot remainders that are not price levels that are disseminated in the firm in the exercise of its ability to enter displayed will remain in the system at Nasdaq Order Display Facility. orders into Nasdaq.

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(b) Non-Directed Orders remaining amount of trading interest (ii) Exceptions—The following (1) General Provisions—A Quoting available in the ECN. exceptions shall apply to the above Market Participant in an NNMS [(iii)] (iv) UTP Exchanges that choose execution parameters: a. If a Nasdaq Quoting Market Security, as well as NNMS Order Entry to participate in the NNMS shall do so Participant or NNMS Order Entry Firm Firms, shall be subject to the following as described in subparagraph (f) of this enters a Non-Directed Order into the requirements for Non-Directed Orders: rule and as otherwise described in the system, before sending such Non- (A) Obligations [F]for each NNMS NNMS rules and the UTP Plan. Directed Order to the next Quoting security in which it is registered, a (B) Processing of Non-Directed Market Participants in queue, the NNMS Quoting Market Participant must accept Orders—Upon entry of a Non-Directed will first attempt to match off the order and execute individual Non-Directed Order into the system, the NNMS will against the Nasdaq Quoting Market Orders against its quotation, in an ascertain who the next Quoting Market Participant’s or NNMS Order Entry amount equal to or smaller than the Participant or NNMS Order Entry Firm Firm’s own Quote/Order if the combination of the Displayed Quote/ in queue to receive an order and shall participant is at the best bid/best offer Order and Reserve Size (if applicable) of deliver an execution to Quoting Market in Nasdaq. Nasdaq Quoting Market such Quote/Order, when the Quoting Participants or NNMS Order Entry Participants and NNMS Order Entry Market Participant is at the best bid/best Firms that participate in the automatic- Firms may avoid any attempted offer in Nasdaq. This obligation shall execution functionality of the system, or automatic system matching permitted also apply to the Non-Attributable shall deliver a Liability Order to by this paragraph through the use of an Quotes/Orders of NNMS Order Entry Quoting Market Participants that anti-internalization qualifier (AIQ) Firms. Quoting Market Participants, and participate in the order-delivery quote/order flag containing the NNMS Order Entry Firms, shall functionality of the system. Non- following values: ‘‘Y’’ or ‘‘I’’, subject to participate in the NNMS as follows: Directed Orders entered into the NNMS the following restrictions: (i) NNMS Market Makers, NNMS system shall be delivered to or Y—if the Y value is selected, the Auto-Ex ECNs, and NNMS Order Entry automatically executed against Quoting system will execute the flagged quote/ Firms to the extent they enter a Non- Market Participants’ or NNMS Order order solely against attributable and Attributable Quote/Order shall Entry Firms’ Displayed Quotes/Orders non-attributable quotes/orders participate in the automatic-execution and Reserve Size, in strict price/time (displayed and reserve) of Nasdaq functionality of the NNMS, and shall priority, as described in the algorithm Quoting Market Participants and NNMS accept the delivery of an execution up contained in subparagraph (b)(B)(i) of Order Entry Firms other than the party to the size of the participant’s Displayed this rule. The individual time priority of entering the AIQ ‘‘Y’’ flagged quote/ Quote/Order and Reserve Size. each Quote/Order submitted to NNMS order. If the only available trading (ii) ITS/CAES Market Makers may shall be assigned by the system based on interest is that of the same party that elect to participate in the order delivery the date and time such Quote/Order was entered the AIQ ‘‘Y’’ flagged quote/ or the automatic execution functionality received. Remainders of Quote/Orders order, the system will not execute at an of the NNMS. ITS/CAES Market Makers reduced by execution, if retained by the inferior price level, and will instead that elect automatic execution shall system, shall retain the time priority of return the latest entered of those accept the delivery of an execution up their original entry. For purposes of the interacting quote/orders (or unexecuted to the size of the participant’s Displayed execution algorithm described below, portions thereof) to the entering party, Quote/Order and Reserve Size. ITS/ ‘‘Displayed Quotes/Orders’’ shall also provided, however, that in the case of a CAES Market Makers that elect order include any odd-lot, odd-lot portion of Discretionary Order interacting with a delivery shall accept the delivery of an a mixed-lot, or any odd-lot remainder of bid/offer entered by the system pursuant order up to the size of the ITS/CAES a round-lot(s) reduced by execution, to Rule 4710(b)(5), the Discretionary Market Maker’s Displayed Quote/Order share amounts that while not displayed Order (or unexecuted portions thereof) and Reserve Size. ITS/CAES Market in the Nasdaq Quotation Montage, will be returned. Maker that elect order delivery shall be remain in system and available for I—if the I value is selected, the system required to execute the full size of such execution. will execute against all available trading order (even if the delivered order is a (i) Execution Algorithm—Price/ interest, including the quote/orders of mixed lot or odd lot) unless that interest Time—The system will access interest the NNMS Order Entry Firm or Nasdaq is no longer available in the ITS/CAES in the system in the following priority Quoting Market Participant that entered Market Maker’s system, in which case and order: the AIQ ‘‘I’’ flagged order in price/time the ITS/CAES Market Maker is required priority. to execute in a size equal to the a. Displayed Quotes/Orders of NNMS b. If an NNMS Market Participant remaining amount of trading interest Market Makers, ITS/CAES Market enters a Preferenced Order, the order available in the ITS/CAES Market Makers, and NNMS ECNs, displayed shall be executed against (or delivered Maker’s system. Non-Attributable Quotes/Orders of in an amount equal to) both the [(ii)] (iii) NNMS Order-Delivery ECNs NNMS Order Entry Firms, and Displayed Quote/Order and Reserve shall participate in the order-delivery displayed non-attributable agency Size of the Quoting Market Participant functionality of the NNMS, and shall Quotes/Orders of UTP Exchanges (as to which the order is being directed, if accept the delivery of an order up to the permitted by subparagraph (e[f]) of this that Quoting Market Participant is at the size of the NNMS Order-Delivery ECN’s rule), in time priority between such best bid/best offer when the Preferenced Displayed Quote/Order and Reserve participants’ Quotes/Orders; Order is next in line to be delivered (or Size. The NNMS Order-Delivery ECN b. Reserve Size of Nasdaq Quoting executed). Any unexecuted portion of a shall be required to execute the full size Market Participants and NNMS Order Preferenced Order shall be returned to of such order (even if the delivered Entry Firms, in time priority between the entering NNMS Market Participant. order is a mixed lot or odd lot) unless such participants’ Quotes/Orders; and If the Quoting Market Participant is not that interest is no longer available in the c. Principal Quotes/Orders of UTP at the best bid/best offer when the ECN, in which case the ECN is required Exchanges, in time priority between Preferenced Order is next in line to be to execute in a size equal to the such participants’ Quotes/Orders. delivered (or executed), the Preferenced

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Order shall be returned to the entering e. If an NNMS Market Participant Discretionary Order that may be NNMS Market Participant. enters a Discretionary Order, the executed at a price in its discretionary c. If an NNMS Market Participant Discretionary Order shall first be price range will execute against Non- enters a Quote or Non-Directed Order executed against (or delivered in an Directed Orders and Quotes/Orders that would result in NNMS either: (1) amount equal to) the Quotes/Orders and entered by NNMS Participants in the delivering an execution to a Quoting Reserve Size of NNMS Market automatic execution functionality of the Market Participant(s) or an NNMS Order Participants (including displayed NNMS, and will be delivered to Non- Entry Firm that participates in the Discretionary Orders at their displayed Directed Orders and Quotes/Orders automatic-execution functionality of the prices) in conformity with this rule and entered by NNMS Order-Delivery ECNs. system at a price substantially away subject to any applicable exceptions. If For purposes of determining from the current inside bid/offer in that the full size of the incoming execution priority, the price priority of security; or (2) delivering a Liability Discretionary Order cannot be executed a displayed Discretionary Order will be Order to a Quoting Market Participant(s) at its displayed price, the order may also based on its displayed price when it that participates in the order-delivery be executed against (or delivered in an may be executed at its displayed price. functionality of the system at a price amount equal to) the Quotes/Orders and When displayed Discretionary Orders substantially away from the current Reserve Size of NNMS Market may be executed at prices within their inside bid/offer in that security, the Participants within the incoming discretionary price ranges, their price system shall instead process only those Discretionary Order’s discretionary priority vis-a´-vis one another will be portions of the order that will not result price range (including displayed based on their most aggressive in either an execution or delivery at a Discretionary Orders at their displayed discretionary prices, and their price price substantially away from the prices), in conformity with this rule and priority vis-a´-vis Quotes/Orders that are current inside best bid/offer in the subject to any applicable exception. If not Discretionary Orders will be based security and return the remainder to the the full size of the incoming upon the price at which they are entering party. For purposes of this Discretionary Order cannot be executed executable. subsection only, an execution or in this manner, the order may also be (f) A Fill or Return order in an ITS delivery based on a sell order shall be executed by (or receive delivery of) Security will be executed solely by the deemed to be substantially away from displayed Discretionary Orders with NNMS at the best bid/best offer, without the current inside bid if it is to be done discretionary price ranges that overlap delivering the order to an ITS Exchange. at a price lower than a break-price with the incoming Discretionary Order’s The NNMS will, if necessary, execute established by taking the inside bid, discretionary price range, in conformity against interest at successive price reducing it by 10% of the bid’s value, with this rule and subject to any levels. and then subtracting $0.01. For applicable exception. The unexecuted (C) Decrementation Procedures—The example, in a stock with a current portion of a Discretionary Order will size of a Quote/Order displayed in the inside bid of $10.00, the maximum price then be retained by NNMS for potential Nasdaq Order Display Facility and/or at which a single sell order could be display in conformity with Rule the Nasdaq Quotation Montage will be executed would be $8.99 calculated as 4707(b). decremented upon the delivery of a follows: ($10.00—($10.00 x .10 e.g. When a Discretionary Order is Liability Order or the delivery of an $1)—$.01 = $8.99). For offers, an displayed as a Quote/Order, Non- execution of a Non-Directed Order or execution or delivery based on a buy Directed Orders or Quotes/Orders Preferenced Order in an amount equal order shall be deemed to be entered at the displayed price to the system-delivered order or substantially away from the current (including incoming Discretionary execution. inside offer if it is done a price higher Orders with a displayed or discretionary (i) If an NNMS Auto-Ex ECN has its than a break-price established by taking price equal to the displayed bid or offer Attributable Quote/Order the inside offer, adding 10% of the Discretionary Order’s displayed price) and Reserve Size decremented to zero offer’s value to it, and then adding may be executed against (or delivered without transmission of another $0.01. For example, in a stock with a to) the displayed Discretionary Order, Attributable Quote/Order to Nasdaq, the current inside offer of $10.00, the and market orders may be executed system will zero out the side of the highest price at which a single sell order against (or delivered to) the displayed quote that is exhausted. If both the bid could be executed would be $11.01 Discretionary Order when its displayed and offer are decremented to zero calculated as follows: ($10.00 + ($10.00 price is at the inside. Non-Directed without transmission of a revised x .10 e.g. $1) + $.01 = $11.01. This Orders or Quotes/Orders (other than Attributable Quote/Order, the ECN will subsection shall not apply to ITS Discretionary Orders) entered at a price be placed into an excused withdrawal commitments received from ITS within the displayed Discretionary state until the ECN transmits to Nasdaq Exchanges or to orders based on such Order’s discretionary price range may be a revised Attributable Quote/Order. ITS commitments. executed by (or receive delivery of) the (ii) If an NNMS Order-Delivery ECN (d) An Auto-Ex order in a Nasdaq displayed Discretionary Order at the declines or partially fills a Non-Directed listed security will execute solely price of the incoming Non-Directed Order without immediately transmitting against the Quotes/Orders of NNMS Order or Quote/Order if there are no to Nasdaq a revised Attributable Quote/ Participants at the best bid/best offer displayed Quotes/Orders at that price or Order that is at a price inferior to the that participate in the automatic better. Incoming Discretionary Orders previous price, or if an NNMS Order- execution functionality of the NNMS with a discretionary price range that Delivery ECN fails to respond in any and that do not charge a separate quote- overlaps with the displayed manner within 30 seconds of order access fee to NNMS Participants Discretionary Order’s discretionary delivery, the system will cancel the accessing their Quotes/Orders through price range may be executed by (or delivered order and send the order (or the NNMS. An Auto-Ex order (or an receive delivery of) the displayed remaining portion thereof) back into the unexecuted portion thereof) will be Discretionary Order at the overlapping system for immediate delivery to the cancelled if it cannot be immediately price most favorable to the displayed next Quoting Market Participant in executed. Discretionary Order. A displayed queue.

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The system then will zero out the Maker certifies that it can meet the 5- interval designated by the NNMS ECN’s Quote/Orders at that price level second response time requirement with Market Maker; and on that side of the market, and the regularity sufficient to maintain a fair (ii) Nasdaq will refresh the market ECN’s quote on that side of the market and orderly market. maker’s displayed size to a level will remain at zero until the ECN (D) All entries in NNMS shall be designated by the NNMS Market Maker, transmits to Nasdaq a revised made in accordance with the or in the absence of such size level Attributable Quote/Order. If both the requirements set forth in the NNMS designation, to the automatic refresh bid and offer are zeroed out, the ECN User Guide, as published from time to size. will be placed into an excused time by Nasdaq. (iii) This functionality shall produce an Attributable Quote/Order. withdrawal state until the ECN (2) Refresh Functionality transmits to Nasdaq a revised (iv) The AQR functionality described Attributable Quote/Order. (A) Reserve Size Refresh—Once a in this subparagraph shall only be (iii) If an NNMS ECN’s Quote/Order Nasdaq Quoting Market Participant’s or available for use in connection with a has been zeroed out or if the ECN has NNMS Order Entry Firm’s Displayed NNMS Market Maker’s ‘‘Legacy Quote.’’ been placed into excused withdrawal as Quote/Order size on either side of the This functionality shall be available described in subparagraphs (b)(1)(C)(i) market in the security has been only to NNMS Market Makers. and (ii) of this rule, the system will decremented to an amount less than one (v) The AQR functionality shall not be continue to access the ECN’s Non- normal unit of trading due to NNMS available to any participant for any ITS Attributable Quotes/Orders that are in processing Nasdaq will refresh the Security. the NNMS, as described in Rule 4707 displayed size out of Reserve Size to a (3) Entry of Locking/Crossing Quotes/ and subparagraph (b) of this rule. size-level designated by the Nasdaq Orders—The system shall process (iv) If an NNMS ECN regularly fails to Quoting Market Participant or NNMS locking/crossing Quotes/Orders as meet a 5-second response time (as Order Entry Firm, or in the absence of follows: measured by the ECN’s Service Delivery such size-level designation, to the (A) Locked/Crossed Quotes/Orders Platform) over a period of orders, such automatic refresh size. The amount of During Market Hours—If during market that the failure endangers the shares taken out of reserve to refresh hours, a participant enters into the maintenance of a fair and orderly display size shall be added to any shares NNMS a Quote/Order that will lock/ market, Nasdaq will place that ECN’s remaining in the Displayed Quote/Order cross the market (as defined in NASD quote in a closed-quote state. Nasdaq and shall be of an amount that when Rule 4613(e) or in NASD Rule 5263(a) will lift the closed-quote state when the combined with the number of shares or (b)), the system will not display the NNMS ECN certifies that it can meet the remaining in the Nasdaq Quoting Quote/Order as a quote in Nasdaq; 5-second response time requirement Market Participant’s Displayed Quote/ instead the system will treat the Quote/ with regularity sufficient to maintain a Order before it is refreshed will equal Order as a marketable limit order and fair and orderly market. the displayed size-level designated by enter it into the system as a Non- (v) ITS/CAES Market Makers the Nasdaq Quoting Market Participant Directed Order for processing a. If an ITS/CAES Market Maker or, in the absence of such size-level (consistent with subparagraph (b) of this declines or partially fills a Non-Directed designation, to the automatic refresh rule) as follows: Order without immediately transmitting size. If there are insufficient shares (i) For locked-market situations, the to Nasdaq a revised Attributable Quote/ available to produce a Displayable order will be routed to the Quoting Order that is at a price inferior to the Quote/Order, the Nasdaq Quoting Market Participant or NNMS Order previous price, or if that ITS/CAES Market Participant’s Quote/Order, and Entry Firm next in queue who would be Market Maker fails to respond in any any odd-lot remainders, will be locked, and the order will be executed manner within 7 seconds of order refreshed, updated, or retained, in (or delivered for execution) at the lock delivery, the system will cancel the conformity with NNMS Rules 4707 and price; delivered order and send the order (or 4710 as appropriate. To utilize the (ii) For crossed-market situations, the remaining portion thereof) back into the Reserve Size functionality, a minimum order will be entered into the system system for immediate delivery to the of 100 shares must initially be displayed and routed to the next Quoting Market next Quoting Market Participant in in the Nasdaq Quoting Market Participants or NNMS Order Entry queue. Participant’s or NNMS Order Entry Firms in queue who would be crossed, b. If the bid side of the ITS/CAES Firm’s Displayed Quote/Order, and the and the order will be executed (or Market Maker’s Quote/Order is zeroed Displayed Quote/Order must be delivered for execution) at the price of out, the system then will automatically refreshed to at least 100 shares. This the Displayed Quote/Order that would establish a bid of $0.01 for 100 shares. functionality will not be available for have been crossed. If the offer side of the ITS/CAES Market use by UTP Exchanges. Once the lock/cross is cleared, if the Maker’s Quote/Order is zeroed out, the (B) Auto Quote Refresh (‘‘AQR’’)— participant’s order is not completely system then will automatically establish Once an NNMS Market Maker’s filled, the system may [will], if an offer of two times the system best Displayed Quote/Order size and Reserve consistent with the parameters of the offer plus $0.01 and offer for 100 shares. Size on either side of the market in the Quote/Order, reformat the order and c. If an ITS/CAES Market Maker security has been decremented to an display it in Nasdaq [(consistent with regularly fails to meet a 5-second amount less than one normal unit of the parameters of the Quote/Order)] as response time (as measured by the ITS/ trading due to NNMS executions, the a Quote/Order on behalf of the entering CAES Market Maker’s Service Delivery NNMS Market Maker may elect to have Quoting Market Participant or Order Platform) over a period of orders, such The Nasdaq Stock Market refresh the Entry Firm. If an order is not eligible to that the failure endangers the market maker’s quotation as follows: be reformatted and displayed, the maintenance of a fair and orderly (i) Nasdaq will refresh the market NNMS will reject the remainder of the market, Nasdaq will place that ITS/ maker’s quotation price on the bid or order back to the entering participant. CAES Market Maker’s quote in a closed- offer side of the market, whichever is In ITS Securities, orders entered by quote state. Nasdaq will lift the closed- decremented to an amount less than a NNMS Order Entry Firms are not quote state when the ITS/CAES Market normal unit of trading, by a price eligible to be reformatted and displayed.

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(B) Locked/Crossed Quotes/Orders market from being created by holding the last valid displayed inside bid/offer Immediately Before the Open—If the such Quotes/Orders in queue. in the security before all such bids/ market in a Nasdaq-listed security is (i) Exception—The following offers were exhausted; or (b) the market locked or crossed at 9:29:30 a.m., exception shall apply to the above maker’s last displayed bid/offer before Eastern Time, the NNMS will clear the locked/crossed processing parameters: exhaustion. If the resulting bid/offer locked and/or crossed Quotes/Order by If an ITS/CAES Market Maker has quote would create a locked or crossed executing (or delivering for execution) entered a Locking/Crossing Quote/Order market, NNMS will instead re-open the the highest bid against the lowest into the system that would become exhausted market maker’s bid/offer offer(s) against which it is marketable, at subject to the automated processing quote at a price $0.01 inferior to the the price of the newer in time of the two described in section (C) above, the unexhausted inside bid/offer in that quotes/orders. This process will be system shall, before sending the order to security. If at any time this automatic repeated until an un-locked and un- any other ITS/CAES Market Maker or quote restoration process would result crossed market condition is achieved. NNMS Order Entry Firm, first attempt to in the creation of a bid/offer of less than Between 9:29:30 a.m. and 9:29:59 match off the order against the locking/ $0.01, the system will refresh that bid/ Eastern Time, once NNMS has cleared crossing ITS/CAES Market Maker’s own offer to a price of $0.01. Except as a locked or crossed market, or if a newly Quote/Order if that participant’s Quote/ provided in subparagraph (b)(6) of this submitted quote/order would create a Order is at the highest bid or lowest rule, an NNMS Market Maker that locked or crossed market, NNMS will offer, as appropriate. An ITS/CAES withdraws from a security may not re- prevent a locked or crossed market from Market Maker may avoid this automatic register in the system as a market maker being created by processing such matching through the use of anti- in that security for twenty (20) business locking or crossing quote/order in a internalization qualifier as set forth in days. manner consistent with subparagraph Rule 4710(b)(1)(B)(ii)(a). NNMS Order (6) Notwithstanding the provisions of (b)(3)(a) of this Rule. Entry Firms that enter locking/crossing subparagraph (5) above: (i) Exception—The following Quotes/Orders shall have those Quotes/ (A) an NNMS Market Maker that Orders processed as set forth in obtains an excused withdrawal pursuant exception shall apply to the above paragraph (B) above, unless they to Rule 4619 or an ITS/CAES Market locked/crossed processing parameters: voluntarily select a ‘‘Y’’ AIQ Value as Maker that obtains an excused If a Nasdaq Quoting Market provided for in Rule 4710 (b)(1)(B)(ii)(a). withdrawal pursuant to Rule 6350 prior Participant has entered a Locking/ (4) An NNMS Market Maker may to withdrawing from NNMS may reenter Crossing Quote/Order into the system terminate its obligation by keyboard NNMS according to the conditions of its that would become subject to the withdrawal (or its equivalent) from withdrawal; and automated processing described in NNMS at any time. However, the market (B) an NNMS Market Maker or ITS/ section (B) above, the system shall, maker has the specific obligation to CAES Market Maker that fails to before sending the order to any other monitor its status in NNMS to assure maintain a clearing arrangement with a Quoting Market Participant or NNMS that a withdrawal has in fact occurred. registered clearing agency or with a Order Entry Firm, first attempt to match Any transaction occurring prior to the member of such an agency, and is off the order against the locking/ effectiveness of the withdrawal shall thereby withdrawn from participation in crossing Nasdaq Quoting Market remain the responsibility of the market ACT and NNMS for NNMS securities, Participant’s own Quote/Order if that maker. may reenter NNMS after a clearing participant’s Quote/Order is at the (5) If an NNMS Market Maker’s arrangement has been reestablished and highest bid or lowest offer, as Attributable Quote/Order is reduced to the market maker has compiled with appropriate. A Nasdaq Quoting Market less than a round-lot amount on one ACT participant requirements. Provided Participant may avoid this automatic side of the market due to NNMS however, that if the Association finds matching through the use of anti- executions, the NNMS will close the that the ACT market maker’s failure to internalization qualifier as set forth in Market Maker’s quote in the NNMS on maintain a clearing arrangement is Rule 4710(b) (1)(B)(ii)(a). NNMS Order that side of the market, and the NNMS voluntary, the withdrawal of quotations Entry Firms that enter locking/crossing Market Maker will be permitted a grace will be considered voluntary and Quotes/Orders shall have those Quotes/ period of 30 seconds within which to unexcused. Orders processed as set forth in take action to restore its Attributable (7) The Market Operations Review paragraph (B) above, unless they Quote/Order, if the market maker has Committee shall have jurisdiction over voluntarily select a ‘‘Y’’ AIQ Value as not authorized use of the AQR proceedings brought by market makers provided for in Rule 4710 (b)(1)(B)(ii)(a). functionality or does not otherwise have seeking review of their removal from (C) Locked/Crossed Quotes/Orders in an Attributable Quote/Order on both NNMS pursuant to subparagraph (b)(5) ITS Securities at the Open—If the sides of the market in the system. An of this rule. market in an ITS Security is locked or NNMS Market Maker that fails to (8) In the event that a malfunction in crossed at 9:30 a.m., Eastern Time, the transmit an Attributable Quote/Order in the Quoting Market Participant’s NNMS will clear the locked and/or a security within the allotted time will equipment occurs, rendering crossed Quotes/Order by executing (or have the exhausted side of its quotation communications with NNMS delivering for execution) the highest bid restored by the system at a price $0.01 inoperable, the Quoting Market against the lowest offer(s) against which inferior to the lowest displayed bid Participant is obligated to immediately it is marketable, at the price of the price or the highest displayed offer price contact Nasdaq Market Operations by newer in time of the two quotes/orders. in that security as appropriate. If all bids telephone to request withdrawal from This process will be repeated until an and/or offers are exhausted so that there NNMS and a closed-quote status, and if un-locked and un-crossed market are no longer any Quote/Orders the Quoting Market Participants is an condition is achieved. While the NNMS displayed on the bid and/or offer side of NNMS Market Maker an excused is clearing a locked or crossed market, the market, the system will refresh a withdrawal from Nasdaq pursuant to if a newly submitted Quote/Order would market maker’s exhausted bid or offer Rule 4619 or an ITS/CAES Market create a locked or crossed market, quote to a normal unit of trading priced Maker an excused withdrawal pursuant NNMS will prevent a locked or crossed $0.01 inferior to the lesser of either: (a) to Rule 6350. If withdrawal is granted,

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Nasdaq Market Operations personnel governed by the Nasdaq Workstation ranking of these Quote/Order for will enter the withdrawal notification Subscriber Agreement, as amended for purposes of processing Non-Directed into NNMS from a supervisory terminal UTP Exchanges. The Nasdaq Orders, as described in subparagraph (b) and shall close the quote. Such manual Workstation Subscriber Agreement, as of this rule. A UTP Agency Quote/Order intervention, however, will take a amended for UTP Exchanges may shall not be displayed in the Nasdaq certain period of time for completion expand but shall not contract the rights Quotation Montage under the [MMID] and, unless otherwise permitted by the and obligations set forth in these rules. MPID for the UTP Exchange. Rather, Association pursuant to its authority Access to UTP Exchanges may be made UTP Agency Quotes/Orders shall be under Rule 11890, the Quoting Market available on terms that differ from the reflected in the Nasdaq Order Display Participants will continue to be terms applicable to members but may Facility and Nasdaq Quotation Montage obligated for any transaction executed not unreasonably discriminate among in the same manner in which Non- prior to the effectiveness of the similarly situated UTP Exchanges. The Attributable Quotes/Orders from Nasdaq withdrawal and closed-quote status. following provisions shall apply to UTP Quoting Market Participants are (c) Directed Order Processing—A Exchanges that choose to participate in reflected in Nasdaq, as described in participant may enter a Directed Order the NNMS Rule 4707(b)(2). in Nasdaq-listed securities into the (1) Order Entry—UTP Exchanges that (3) Non-Directed Order Processing— NNMS to access a specific Quote/Order elect to participate in the system shall UTP Exchanges that elect to participate in the Nasdaq Quotation Montage and to be permitted to enter Directed and Non- in the system shall be required to begin the negotiation process with a Directed Orders into the system subject provide automatic execution against particular Quoting Market Participant. to the conditions and requirements of their Quotes/Orders for Nasdaq Quoting The system will deliver an order (not an Rule 4706. Directed and Non-Directed Market Participants and NNMS Order execution) to the Quoting Market Orders entered by UTP Exchanges shall Entry Firms, shall accept an execution Participant designated as the recipient be processed (unless otherwise of an order up to the size of the UTP of the order. Upon delivery, the Quoting specified) as described in subparagraphs Exchange’s displayed Quote/Order, and Market Participant shall owe no liability (b) and (c) of this rule. shall have Non-Directed Orders they under the Firm Quote Rule to that order, (2) Display of UTP Exchange Quotes/ enter into the system processed as unless the Quoting Market Participant to Orders in Nasdaq. described in subparagraph (b) of this which a Directed Order is being sent has (A) UTP Exchange Principal Orders/ rule. indicated that it wishes to receive Quotes—UTP Exchanges that elect to (4) Directed Order Processing—UTP Directed Orders that are Liability Orders participate in the system shall transmit Exchanges that elect to participate in the (as described in Rule 4706(b)). to the NNMS a single bid Quote/Order system shall participate in the Directed Additionally, upon delivery, the system and a single offer Quote/Order. Upon Order processing as described in will not decrement the receiving transmission of the Quote/Order to subparagraph (c) of this rule. Quoting Market Participant’s Quote/ Nasdaq, the system shall time stamp the (5) Decrementation—UTP Exchanges Order. This provision shall not apply to Quote/Order, which time stamp shall shall be subject to the decrementation Preferenced Orders. determine the ranking of the Quote/ procedures described in subparagraph (d) NNMS Order Entry Firms. All Order for purposes of processing Non- (b) of this rule. entries in NNMS shall be made in Directed Orders. The NNMS shall (6) Scope of Rules—Nothing in these accordance with the procedures and display the best bid and best offer rules shall apply to UTP Exchanges that requirements set forth in the NNMS Quote/Order transmitted to Nasdaq by a elect not to participate in the system. User Guide and these rules. Orders may UTP Exchange in the Nasdaq Quotation be entered in NNMS by the NNMS Montage under the [MMID] MPID for the 4711. Clearance and Settlement Order Entry Firm through either its UTP Exchange, and shall also display All transactions executed in NNMS Nasdaq terminal or computer interface. such Quote/Order in the Nasdaq Order shall be cleared and settled through a The system will transmit to the firm on Display Facility as part of the aggregate registered clearing agency using a the terminal screen and printer, if trading interest when the UTP continuous net settlement system. requested, or through the computer Exchange’s best bid/best offer Quote/ interface, as applicable, an execution Order falls within the number of price 4712. Obligation To Honor System report generated immediately following levels authorized for aggregation and Trades the execution. display pursuant to Rule 4701(ee). (a) If an NNMS Participant, or clearing (e) UTP Exchanges. Participation in member acting on his behalf, is reported (B) UTP Exchange Agency Quotes/ the NNMS by UTP Exchanges is by NNMS to clearing, or shown by the Orders voluntary. If a UTP Exchange does not activity reports generated by NNMS as participate in the NNMS System, the (i) A UTP Exchange that elect to constituting a side of a System trade, UTP Exchange’s quote will not be participate in the system may transmit such NNMS Participant, or clearing accessed through the NNMS, and the to the NNMS Quotes/Orders at a single member acting on his behalf, shall NNMS will not include the UTP as well as multiple price levels that honor such trade on the scheduled Exchange’s quotation for order meet the following requirements: are not settlement date. processing and execution purposes. for the benefit of a broker and/or dealer (b) Nasdaq shall have no liability if an A UTP Exchange may voluntarily that is with respect to the UTP Exchange NNMS Participant, or a clearing member participate in the NNMS System if it a registered or designated market maker, acting on his behalf, fails to satisfy the executes a Nasdaq Workstation dealer or specialist in the security at obligations in paragraph (a). Subscriber Agreement, as amended, for issue; and are designated as Non- UTP Exchanges, and complies with the Attributable Quotes/Orders (‘‘UTP 4713. Compliance With Rules and terms of this subparagraph (e[f]) of this Agency Order/Quote’’). Registration Requirements rule. The terms and conditions of such (ii) Upon transmission of a UTP (a) Failure by an NNMS Participant to access and participation, including Agency Quote/Order to Nasdaq, the comply with any of the rules or available functionality and applicable system shall time stamp the order, registration requirements applicable to rules and fees, shall be set forth in and which time stamp shall determine the NNMS identified herein shall subject

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such NNMS Participant to censure, fine, [(2)] (3) Stock Dividends and Stock Non-Attributable Quote/Order seeking suspension or revocation of its Splits: Buy side order prices shall be full anonymity will be processed registration as an NNMS Market Maker, determined by first rounding up the anonymously. The transaction reports ITS/CAES Market Maker, Order Entry dollar value of the stock dividend or will indicate the details of the Firm, and/or NNMS ECN or any other split to the nearest penny. The resulting transactions, but will not reveal contra fitting penalty under the Rules of the amount shall then be subtracted from party identities. Association. the price of the buy order. Unless (2)(A) The processing described in (b)(1) If an NNMS Participant fails to marked ‘‘Do Not Increase’’, the size of paragraph (b)(1) shall not apply to maintain a clearing relationship as the order shall be increased by first, (A) transactions executed in NNMS when required under paragraphs (a)(2), (c)(2), Multiplying the size of the original the member whose Quote/Order is or (d)(3) of Rule 4705, it shall be order by the numerator of the ratio of decremented is an Order-Delivery ECN removed from NNMS until such time as the dividend or split, then (B) dividing that charges an access fee. a clearing arrangement is reestablished. that result by the denominator of the (B) Except as required to comply with (2) An NNMS Participant that is not ratio of the dividend or split, then (C) the request of a regulator, or as ordered in compliance with its obligations under rounding that result to the next lowest by a court or arbitrator, Order-Delivery paragraphs (a)(2), (c)(2), or (d)(3) of Rule share. ECNs shall not disclose the identity of 4705 shall be notified when Nasdaq [(3)] (4) Dividends Payable in Either the member that submitted a Non- exercises it authority under paragraph Cash or Securities at the Option of the Attributable Quote/Order that (b)(1) of Rule 4713. Stockholder: Buy side order prices shall decremented the Order-Delivery ECN’s (3) The authority and procedures be reduced by the dollar value of either Quote/Order. contained in paragraph (b) do not the cash or securities, whichever is (3) The Association will reveal a otherwise limit the Association’s greater. The dollar value of the cash member’s identity in the following authority, contained in other provisions shall be determined using the formula circumstances: of the Associations rules, to enforce its in paragraph (1) above, while the dollar (A) When the National Securities rules or impose any fitting sanction. value of the securities shall be Clearing Corporation (‘‘NSCC’’) ceases determined using the formula in to act for a member, or the member’s 4715. Adjustment of Open Quotes and/ paragraph (2) above. If the stockholder clearing firm, and NSCC determines not or Orders opts to receive securities, the size of the to guarantee the settlement of the NNMS will automatically adjust the order shall be increased pursuant to the member’s trades; formula in subparagraph (2) above. price and/or size of open quotes and/or (B) for regulatory purposes or to [(4)] (5) Combined Cash and Stock orders in all NNMS securities (unless comply with an order of an arbitrator or Dividends/Split: In the case of a otherwise noted) resident in the system combined cash dividend and stock court; or in response to issuer corporate actions split/dividend, the cash dividend (C) on risk management reports related to a dividend, payment or portion shall be calculated first as per provided to the member’s contra parties distribution, on the ex-date of such section (1) above, and stock portion each day after 4 p.m., which disclose actions, except where a cash dividend thereafter pursuant to sections (2) and/ trading activity on an aggregate dollar or distribution is less than one cent or (3) above. value basis. ($0.01), as follows: [(5)] (6) Reverse Splits: All orders (buy (4) The Association will reveal to a (a) Quotes—All bid and offer side and sell) shall be cancelled and returned member, no later than the end of the day quotes shall be purged from the system. to the entering firm. on the date an anonymous trade was (b) Sell Orders—Sell side orders in (d) Open buy and sell orders that are executed, when the member’s Quote/ Nasdaq-listed and NYSE-listed adjusted by the system pursuant to the Order has been decremented by another securities shall not be adjusted by the above rules, and that thereafter Quote/Order submitted by that same system and must be modified, if desired, continuously remain in the system, member. by the entering party, except for reverse shall retain the time priority of their (5)(A) In order to satisfy members’ splits where such sell side orders shall original entry. record keeping obligations under SEC be purged from the system. Sell side Rules 17a–3(a)(1) and 17a–4(a), Nasdaq orders in Amex-listed securities shall be 4719. Anonymity 2004–015 shall, with the exception of those adjusted in accordance with the (a) Pre-Trade Anonymity circumstances described in procedures set forth below for Buy (1) With the exception of those subparagraph (B) below, retain for the Orders in the event of a Stock Dividend transactions described in paragraph period specified in Rule 17a–4(a) the or Stock Split. (a)(2) below, the identity of the member identity of each member that executes a (c) Buy Orders—Buy side orders shall submitting a Non-Attributable Quote/ fully anonymous transaction described be adjusted by the system based on the Orders seeking pre-trade anonymity will in paragraph (b) of Rule 4719. The particular corporate action impacting remain anonymous until execution, at information shall be retained in its the security (i.e. cash dividend, stock which time the member’s identity will original form or a form approved under dividend, both, stock split, reverse split) be revealed to its contra party. Rule 17a–6. as set forth below: (2) A Non-Attributable Quote/Order (B) In the situations described in (1) Odd lot orders in ITS Securities seeking pre-trade anonymity will be paragraphs (b)(2) or (b)(4) of Rule 4719, that result from partial execution rather processed on a fully anonymous basis in and solely with respect to the member than order entry shall be canceled accordance with paragraph (b) below that submits, and receives an execution rather than adjusted. when it matches and executes against a of, a fully anonymous Non-Attributable [(1)] (2) Cash Dividends: Buy side Non-Attributable Quote/Order seeking Quote/Order that is a Preferenced Order, order prices shall be first reduced by the full anonymity. the member retains the obligation to dividend amount and the resulting price comply with Rules 17a–3(a)(1) and 17a– will then be rounded down to the (b) Full Anonymity 4(a) because it possesses the identity of nearest penny unless marked ‘‘Do Not (1) Transactions executed in NNMS in its contra party. Reduce’’. which at least one member submits a * * *

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5200. Intermarket Trading System/ 5230. ITS Operations solicit comments on the proposed rule Computer Assisted Execution System change from interested parties. No Change. 5210. Definitions I. Self-Regulatory Organization’s 5240. Pre-Opening Application— Statement of the Terms of Substance of (a)–(h) No Change. Opening by ITS/CAES Market Maker (i) ‘‘CAES’’ means the ‘‘Computer the Proposed Rule Change Assisted Execution System’’, the No Change. NSCC is proposing to amend computerized order routing and 5250. Pre-Opening Application— Procedure XV to give NSCC more execution facility for ITS Securities, as Openings on Other Participant Markets flexibility in determining the intraday from time to time modified or mark-to-the-market amount it will No Change. supplemented, that is operated by The collect from a member for unsettled Nasdaq Stock Market, Inc. and made 5260. System Trade and Quotations positions. available to NASD members. CAES 5261. Obligation To Honor System II. Self-Regulatory Organization’s functionality is offered through the Trades Statement of the Purpose of, and ‘‘Nasdaq National Market Execution Statutory Basis for, the Proposed Rule System’’ or ‘‘NNMS’’ which operates No Change. Change pursuant to the Rule 4700 Series. 5262. Trade-Throughs In its filing with the Commission, 5220. ITS/CAES Registration No Change. NSCC included statements concerning In order to participate in ITS, a market the purpose of and basis for the 5263. Locked or Crossed Markets maker must be registered with the proposed rule change and discussed any Association as an ITS/CAES Market No Change. comments it received on the proposed Maker in each security in which a 5264. Block Transactions rule change. The text of these statements market will be made in ITS. Such may be examined at the places specified registration shall be conditioned upon No Change. in item IV below. NSCC has prepared the ITS/CAES Market Maker’s 5265. Authority To Cancel or Adjust summaries, set forth in sections (A), (B), continuing compliance with the Transactions and (C) below, of the most significant following requirements: aspects of these statements.2 (a) registration as a CQS market maker No Change. pursuant to Rule 6320 and compliance (A) Self-Regulatory Organization’s 6300. Consolidated Quotations Service Statement of the Purpose of, and with the Rule 6300 Series; (CQS) (b) execution of an ITS/CAES Market Statutory Basis for, the Proposed Rule Maker application agreement with the No Change. Change NSCC Rule 15 (Financial Association at least two days prior to 6400. Reporting Transactions in Listed Responsibility and Operational the requested date of registration; Securities (c) participation in NNMS in Capability) provides that NSCC may accordance with the Rule 4700 and No Change. obtain such adequate assurances of a 5200 Series; [FR Doc. 04–5114 Filed 3–5–04; 8:45 am] member’s financial responsibility and ([c]d) compliance with SEC Rule operational capability as NSCC may at BILLING CODE 8010–01–P 15c3–1; any time or from time to time deem ([d]e) compliance with the ITS Plan, necessary or advisable in order to SEC Rule 11Ac1–1 and all applicable SECURITIES AND EXCHANGE protect NSCC, Settling Members, Rules of the Association; COMMISSION Municipal Comparison Only Members, ([e]f) the maintenance of continuous Fund Members, Insurance Carrier two-sided quotations in the absence of [Release No. 34–49353; File No. SR– Members, creditors, or investors. the grant of an excused withdrawal or NSCC–2003–09] Currently, Procedure XV (Clearing a functional excused withdrawal by the Fund Formula and Other Matters) Association; Self-Regulatory Organizations; describes the criteria for determining ([f]g) maintenance of the physical National Securities Clearing which securities meet classifications for security of the equipment used to Corporation; Notice of Filing of additional mark-to-the-market payments interface with the ITS System located on Proposed Rule Change to Amend the for high risk/volatile issues and the premises of the ITS/CAES Market Procedure for Determining Intraday provides specific formulas that may be Makers to prevent the unauthorized Mark-to-the-Market Payments used to determine additional deposit entry of communications into the ITS amounts. Generally, NSCC assesses on March 2, 2004. System; and an intraday basis an additional mark-to- ([g]h) acceptance and settlement of Pursuant to section 19(b)(1) of the the-market charge to a member when each ITS System trade that the ITS Securities Exchange Act of 1934 the member maintains a position in a 1 System identifies as effected by such (‘‘Act’’), notice is hereby given that on security where the intraday exposure to ITS/CAES Market Maker, or if May 20, 2003, the National Securities NSCC is in excess of 10% of the settlement is to be made through Clearing Corporation (‘‘NSCC’’) filed member’s excess net capital. In another clearing member, guarantee of with the Securities and Exchange addition, with respect to illiquid the acceptance of settlement of such Commission (‘‘Commission’’) and on unsettled positions, NSCC may request identified ITS System trade by the October 20, 2003, amended the additional collateral if the member’s net clearing member on the regularly proposed rule change described in items unsettled position in any one security is scheduled settlement date. I, II, and III below, which items have greater than 25% of the security’s been prepared primarily by NSCC. The average daily volume. 5221. Suspension or Revocation of ITS/ Commission is publishing this notice to CAES Registration 2 The Commission has modified the text of the No Change. 1 15 U.S.C. 78s(b)(1). summaries prepared by NSCC.

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NSCC is replacing the formulas arguments concerning the foregoing, proposed rule change File No. SR– currently reflected in its procedures including whether the proposed rule NSCC–2003–03 pursuant to section with a more generalized provision to change is consistent with the Act. 19(b)(1) of the Securities Exchange Act give NSCC the flexibility to determine Persons making written submissions of 1934 (‘‘Act’’).1 Notice of the proposed what amount, if any, should be should file six copies thereof with the rule change was published in the collected based on conditions that exist Secretary, Securities and Exchange Federal Register on January 16, 2004.2 at that time.3 In addition, the reference Commission, 450 Fifth Street, NW., No comment letters were received. For to the authority which permits this Washington, DC 20549–0609. the reasons discussed below, the charge is being corrected to reflect Comments may also be submitted Commission is granting approval of the NSCC Rule 15, section 4. electronically at the following e-mail proposed rule change. NSCC believes that the proposed rule address: [email protected]. All I. Description change is consistent with the comment letters should refer to File No. requirements of section 17A of the Act SR–NSCC–2003–09. This file number The purpose of the proposed rule 4 and the rules and regulations should be included on the subject line change is to modify NSCC Procedures thereunder applicable to NSCC because if e-mail is used. To help the VII.J. ‘‘CNS Accounting Operation, it will assure the safeguarding of funds Commission process and review your Recording of CNS Buy-Ins’’ and X.A.1. and securities for which it is responsible comments more efficiently, comments ‘‘Execution of Buy-Ins, CNS System, by permitting NSCC to more should be sent in either hardcopy or by Equity Securities and Corporate Debt appropriately collect collateral to cover e-mail but not by both methods. Copies Securities’’ with regard to the execution its exposure from its members’ unsettled of the submission, all subsequent time of CNS buy-ins. Except with positions. amendments, all written statements respect to securities subject to a with respect to the proposed rule voluntary corporate reorganization, a (B) Self-Regulatory Organization’s change that are filed with the member having a long CNS position at Statement on Burden on Competition Commission, and all written the end of any day may submit to NSCC NSCC does not believe that the communications relating to the a notice of intention to buy-in (‘‘buy-in proposed rule change will have an proposed rule change between the notice’’) specifying a quantity of impact on or impose a burden on Commission and any person, other than securities (not exceeding such long CNS competition. those that may be withheld from the positions) the member intends to buy-in public in accordance with the (‘‘buy-in position’’). The day the CNS (C) Self-Regulatory Organization’s buy-in notice is submitted is referred to Statement on Comments on the provisions of 5 U.S.C. 552, will be available for inspection and copying in as N, and N+1 and N+2 refer to the Proposed Rule Change Received From succeeding days. Each day commences Members, Participants or Others the Commission’s Public Reference Section, 450 Fifth Street, NW., in the evening and includes both an No written comments relating to the Washington, DC 20549. Copies of such evening and daytime allocation. The proposed rule change have been filing also will be available for CNS buy-in position is given high solicited or received. NSCC will notify inspection and copying at the principal priority for allocation through N+2. the Commission of any written office of NSCC. Pursuant to NSCC Procedure VII, if a comments received by NSCC. All submissions should refer to File CNS buy-in position is not satisfied at the end of the day cycle on N+2, the III. Date of Effectiveness of the No. SR–NSCC–2003–09 and should be submitted by March 29, 2004. CNS buy-in may be executed. In effect, Proposed Rule Change and Timing for members have from the completion of Commission Action For the Commission by the Division of the day cycle on N+2 to the close of the Market Regulation, pursuant to delegated markets to execute the CNS buy-in. Within 35 days of the date of authority.5 publication of this notice in the Federal Operationally, as the day cycle generally Jill M. Peterson, Register or within such longer period (i) completes at 3:10 p.m. eastern standard as the Commission may designate up to Assistant Secretary. time (‘‘e.s.t.’’), participants face a 90 days of such date if it finds such [FR Doc. 04–5116 Filed 3–5–04; 8:45 am] narrow timeframe within which they longer period to be appropriate and BILLING CODE 8010–01–P may execute CNS buy-ins. In the event publishes its reasons for so finding or that settlement and recycle times are (ii) as to which the self-regulatory extended or delayed, that window of organization consents, the Commission SECURITIES AND EXCHANGE time is further reduced. will: COMMISSION At the request of participants and (A) By order approve such proposed [Release No. 34–49352; File No. SR–NSCC– after consultation with the Securities rule change or 2003–03] Industry Association Buy-In Committee, (B) Institute proceedings to determine NSCC is modifying Procedures VII and whether the proposed rule change Self-Regulatory Organizations; The X to permit the execution of CNS buy- should be disapproved. National Securities Clearing ins beginning at 3 p.m. e.s.t. or at such Corporation; Order Granting Approval time as established by NSCC because of IV. Solicitation of Comments of a Proposed Rule Change Relating to market events (e.g., days the Interested persons are invited to Execution Time for CNS Buy-Ins marketplaces close early). NSCC will submit written data, views, and advise participants of any earlier March 2, 2004. execution time through an important 3 Additional factors that NSCC may use in On March 24, 2003, the National notice five business days in advance. determining intraday mark-to-the-market Securities Clearing Corporation The change in time is not a requirement requirements include but are not limited to (1) (‘‘NSCC’’) filed with the Securities and for executions of buy-ins but is to give percent of total security float, (2) average daily Exchange Commission (‘‘Commission’’) security volume, (3) position size (quantity and value), (4) portfolio concentration, and (5) industry/ and on March 14, 2003, amended 1 15 U.S.C. 78s(b)(1). sector concentration. 2 Securities Exchange Act Release No. 49061 4 15 U.S.C. 78q–1. 5 17 CFR 200.30–3(a)(12). (January 12, 2004), 69 FR 2641 (January 16, 2004).

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participants the ability to execute CNS ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 contemplated adopting several further buy-ins in a more efficient manner. notice is hereby given that on January amendments to the Constitution.5 This 16, 2004, the New York Stock Exchange, filing proposes those additional II. Discussion Inc. (‘‘NYSE’’ or ‘‘Exchange’’) filed with amendments. Section 17A(b)(3)(F) 3 of the Act the Securities and Exchange The proposed amendments to the requires that the rules of a clearing Commission (‘‘Commission’’) the Exchange’s Constitution will agency be designed to promote the proposed rule change as described in accomplish the following: prompt and accurate clearance and Items I and II below, which Items have • Amend Article IV, section 12(a) to settlement of securities transactions. By been prepared by the Exchange. The codify that each of the Standing allowing NSCC to establish an earlier Commission is publishing this notice to Committees of the Board of Directors and standard timeframe for CNS buy- solicit comments on the proposed rule shall have the authority to engage ins, the proposed rule change provides change from interested persons. independent legal counsel and other NSCC members with a longer and I. Self-Regulatory Organization’s advisors as it determines necessary to consistent time period in which to Statement of the Terms of Substance of carry out its duties, specifying that they execute CNS buy-ins to satisfy their the Proposed Rule Change should be other than the counsel or CNS long-positions. As such, the other advisors who advise Exchange proposed rule change is consistent with The Exchange proposes to amend its officers or employees.6 NSCC’s obligation to facilitate the Constitution and Rules. The changes to • Amend Article IV, section 12(a) to the NYSE Constitution and Rules prompt and accurate clearance and clarify that the Chief Executive Officer constitute follow-up amendments settlement of securities transactions. (‘‘CEO’’) is recused from Board related to the Exchange’s new Therefore, the Commission finds that deliberations on the activities of the governance and management NSCC’s proposed rule change is Standing Committees specified in that architecture, which was approved by consistent with its obligations under paragraph.7 the Securities and Exchange section 17A(b)(3)(F) of the Act. • Amend Article IV, section 14(a) to Commission on December 17, 2003.3 III. Conclusion clarify that rulemaking on the subjects II. Self-Regulatory Organization’s described in that paragraph as normally On the basis of the foregoing, the Statement of the Purpose of, and confined to the Board or its committees Commission finds that the proposed Statutory Basis for, the Proposed Rule may, if necessary, be authorized by an rule change is consistent with the Change officer of the Exchange between board requirements of the Act and in In its filing with the Commission, the meetings, subject to informing the Board particular section 17A of the Act and at its next meeting, and to the prior the rules and regulations thereunder. Exchange included statements concerning the purpose of, and basis for, approval of the Chief Regulatory Officer It is therefore ordered, pursuant to the proposed rule change and discussed if on a regulatory matter.8 section 19(b)(2) of the Act,4 that the any comments it received on the • Amend Article VI, section 1 to proposed rule change (File No. SR– proposed rule change. The text of these clarify that it is the Chief Regulatory NSCC–2003–03) be and hereby is statements may be examined at the Officer who appoints regulatory officers, approved. places specified in Item III below. The and amend section 3 of that Article to For the Commission, by the Division of Exchange has prepared summaries, set clarify that the CEO’s responsibilities Market Regulation, pursuant to delegated forth in sections A, B, and C below, of are subject to the specific provisions 5 authority. the most significant aspects of such elsewhere in the Constitution regarding Jill M. Peterson, statements. the separation of the regulatory Assistant Secretary. The amended and restated functions. [FR Doc. 04–5117 Filed 3–5–04; 8:45 am] Constitutional provisions and revised • Modify Article V, section 2(b) to BILLING CODE 8010–01–P Rules, marked to show changes from the add an individual investor Exchange’s existing Constitution and Rules, are set forth in Exhibit A hereto. 5 Id., at note 4. SECURITIES AND EXCHANGE 6 A. Self-Regulatory Organization’s This was first proposed with respect to the COMMISSION Audit Committee only, but was later expanded to Statement of the Purpose of, and cover any Standing Committee and to add the [Release No. 34–49345; File No. SR–NYSE– Statutory Basis for, the Proposed Rule caveat regarding use of different advisors. 2004–02] Change 7 These are the Nomination & Governance, Human Resources & Compensation, Audit, and 1. Purpose Regulatory Oversight & Regulatory Budget Self-Regulatory Organizations; Notice By order dated December 17, 2003, Committees. of Filing and Order Granting 8 As originally provided to the membership in a Accelerated Approval of Proposed the Commission approved a proposed Special Membership Bulletin regarding Additional Rule Change by the New York Stock rule change submitted by the Exchange Amendments to the Constitution (‘‘Special Exchange, Inc. Relating to Follow-up to amend and restate the Exchange’s Membership Bulletin’’), dated November 26, 2003, Constitution to reform the governance this language would have authorized an officer to Amendments to Its Constitution and ‘‘adopt rules or otherwise act as aforesaid.’’ The Rules in Connection With Its New and management architecture of the Exchange notes that, at the suggestion of Governance and Management Exchange.4 The Commission’s approval Commission staff, the ‘‘otherwise act’’ language was Architecture order noted that the Exchange deleted to avoid ambiguity. The Exchange further indicates that in the same section, again at the suggestion of Commission staff, language was added March 1, 2004. 1 15 U.S.C. 78s(b)(1). to clarify that a ‘‘committee consisting solely of Pursuant to section 19(b)(1) of the 2 17 CFR 240.19b–4. directors’’ means a committee consisting solely of Securities Exchange Act of 1934, (the 3 See Securities Exchange Act Release No. 48946 independent directors, i.e., excluding the Chief (December 17, 2003), 68 FR 74678 (December 24, Executive Officer. Under Article XIV, section 1 of 2003) (‘‘Approval Order’’). the Constitution, minor, clarifying changes such as 3 15 U.S.C. 78q–1(b)(3)(F). 4 See Securities Exchange Act Release No. 48946 these may be made by the Board of the Exchange 4 15 U.S.C. 78s(b)(2). (December 17, 2003); 68 FR 74678 (December 24, without the need for a further notice to the 5 17 CFR 200.30–3(a)(12). 2003). members or a waiting period.

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representative to the Board of able to carry out the purposes of the Act; provisions of 5 U.S.C. 552, will be Executives. the requirement under section 6(b)(3)10 available for inspection and copying in • Modify Article V, section 2(b)(ii) to that the rules of an exchange assure a the Commission’s Public Reference remove the requirement that Specialist fair representation of its members in the Room. Copies of such filing will also be representatives on the Board of selection of its directors and available for inspection and copying at Executives be the chief or a principal administration of its affairs and provide the principal office of the Exchange. All executive officer of the specialist firm, that one or more directors shall be submissions should refer to File No. thereby increasing the pool of potential representative of issuers and investors; SR–NYSE–2004–02 and should be candidates, while adding a requirement and the requirement under section submitted by March 29, 2004. that each person in this category be 11 6(b)(5) that an exchange have rules IV. Commission’s Findings and Order registered as a specialist and spend that are designed to prevent fraudulent Granting Accelerated Approval of substantial time on the floor of the and manipulative acts and practices, to Proposed Rule Change Exchange. promote just and equitable principles of In addition to the foregoing trade, to remove impediments to and The Commission finds that the Constitutional amendments, the perfect the mechanism of a free and proposed rule change is consistent with proposed rule change also includes open market, and, in general, to protect the requirements of the Act and the several amendments to the Exchange’s investors and the public interest. rules and regulations thereunder Rules. In general, each of these changes applicable to a national securities is intended to conform the Exchange’s B. Self-Regulatory Organization’s exchange.12 In particular, the Rules to its new Constitution. Statement on Burden on Competition Commission finds that the proposed More specifically, the proposed The Exchange does not believe that rule change is consistent with section amendments to the Exchange’s Rules the proposed rule change will impose 6(b)(1)13 of the Act, which requires that will accomplish the following: any burden on competition that is not the exchange be so organized and have • Accommodate the separation of the necessary or appropriate in furtherance the capacity to be able to carry out the offices of the Chairman of the Board of of the purposes of the Act. purposes of the Act. The Commission Directors and the CEO by, among other also finds that the proposed rule change C. Self-Regulatory Organization’s things, differentiating the authority and is consistent with section 6(b)(3)14 of the Statement on Comments on the responsibilities of the Chairman and Act, which requires that one or more Proposed Rule Change Received From CEO. directors of an exchange be • Eliminate the office, authority and Members, Participants or Others representative of issuers and investors, responsibilities of the Vice Chairman. The Exchange has neither solicited and section 6(b)(5)15 of the Act, which • Provide generally that the various nor received written comments on the requires that the rules of an exchange be administrative duties and proposed rule change. designed to promote just and equitable principles of trade, to remove responsibilities exercised under the III. Solicitation of Comments Rules by the Floor Directors will now be impediments to and perfect the exercised by the Floor representatives Interested persons are invited to mechanism of a free and open market serving on the new Board of Executives. submit written data, views, and and a national market system, and in • Specify under Rule 103C (Listed arguments concerning the foregoing, general, to protect investors and the Company Relations Proceedings) that including whether the proposed rule public interest. the Listed Company Relations change is consistent with the Act. The Commission believes that the Subcommittee of the Quality of Markets Persons making written submissions proposed rule change should help Committee, previously consisting of two should file six copies thereof with the facilitate the implementation of the listed company members of the Secretary, Securities and Exchange NYSE’s new governance structure, to committee and two Vice Chairmen of Commission, 450 Fifth Street, NW., the benefit of the Exchange, its the Exchange, will instead consist of Washington, DC 20549–0609. constituencies, investors and the public four members of the Board of Comments may also be submitted generally.16 The Commission believes Executives, two of whom shall be electronically at the following e-mail that the proposed Constitutional representatives of listed companies. address: [email protected]. All changes relating to the operation of the • Amend Rule 476 (Disciplinary comment letters should refer to File No. Exchange’s Standing Committees, Proceedings) to specify that a review by SR–NYSE–2004–02. This file number namely the authority of the Standing the Board may be required by any should be included on the subject line Committees to engage independent legal member of the Board of Executives, as if e-mail is used. To help the counsel and other advisors, and the well as by any member of the Board of Commission process and review your Directors. comments more efficiently, comments 12 In approving this proposal, the Commission • Amend Rule 499, Commentary .70 should be sent in hardcopy or by e-mail has considered its impact on efficiency, but not by both methods. Copies of the competition, and capital formation. 15 U.S.C. 78c(f). (as well as the identical provision found 13 submission, all subsequent 15 U.S.C. 78f(b)(1). in section 804 of the Listed Company 14 15 U.S.C. 78f(b)(3). Manual) to cross reference specifically amendments, all written statements 15 15 U.S.C. 78f(b)(5). to the Committee specified in section with respect to the proposed rule 16 The Commission notes that the NYSE 12(b)(1) of Article IV of the Exchange’s change that are filed with the expressed its intention to pursue these Constitution. Commission, and all written Constitutional changes in the Special Membership communications relating to the Bulletin, and in a letter to the Director, Division of 1. Statutory Basis Market Regulation, which outlined the proposed proposed rule change between the additional changes to the Constitution. See Special The basis for this proposed rule Commission and any person, other than Membership Bulletin, supra note 8, and letter from change is the requirement under section those that may be withheld from the Darla C. Stuckey, Corporate Secretary, NYSE, to 6(b)(1)9 of the Act that an exchange be public in accordance with the Annette L. Nazareth, Director, Division of Market Regulation, Commission, dated December 4, 2003. organized and have the capacity to be The Commission also referred to these prospective 10 15 U.S.C. 78f(b)(3). Constitutional changes in the Approval Order, at 9 15 U.S.C. 78f(b)(1). 11 15 U.S.C. 78f(b)(5). notes 14, 22, 23, 35, 36, 39, 40, and 88.

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limitation on the involvement of the given an opportunity to provide their 02), is hereby approved on an Exchange’s CEO in the deliberations of input in the Exchange’s governance. accelerated basis. the Standing Committees, should help The Commission finds that the For the Commission, by the Division of ensure the independence of these key proposed amendments to the Market Regulation, pursuant to delegated committees, which are charged with Exchange’s Rules conform these Rules authority.21 overseeing critical Exchange operations. to recent changes to the Constitution. Jill M. Peterson, The Commission also believes that the The Commission notes, for example, Assistant Secretary. proposed Constitutional changes that the proposed changes to Exchange relating to the NYSE’s Chief Regulatory Exhibit A Rules that further delineate the Officer, including the explicit authority authority and responsibilities of the Text of the Proposed Rule Change of the Chief Regulatory Officer to NYSE Chairman and CEO are consistent (Changes are italicized; deleted material appoint other regulatory officers, and with the Exchange’s goal to clarify the is in [brackets].) the clarification of the authority of the Exchange’s CEO regarding regulatory roles of these two positions. The New York Stock Exchange, Inc. Commission also notes that the matters, are designed to further insulate Constitution the Exchange’s regulatory function from Exchange has proposed other changes to undue management pressures. the Exchange’s Rules to reflect its new Article IV In addition, the Commission believes governance and management structure. Board of Directors that the NYSE’s proposals to remove the For example, by replacing references to requirement that specialist ‘‘Floor Directors’’ in the Exchange’s * * * * * representatives on the Board of Rules with ‘‘Board of Executive Floor Sec. 12. Standing Committees. The Executives be the chief or a principal Representatives,’’ the Exchange simply Standing Committees and their officer of the specialist firm, and to add reflects the fact that, under the new respective Chairmen shall be appointed the requirement that the specialist governance structure, the position of by the Board at its annual organizational representative spend a substantial ‘‘Floor Director’’ no longer exists. The meeting. The Board shall adopt for each amount of time on the floor of the Commission also believes that revising Standing Committee a charter consistent Exchange, should broaden the pool of the composition of the Listed Company with the duties prescribed in the qualified specialist candidates for the Relations Subcommittee of the Quality subsections below, and including such Board of Executives. The Commission of Markets Committee to consist of four additional duties as may be considered also believes that the Exchange’s Board of Executive members, two of appropriate and not inconsistent with proposal to allow the Board to delegate whom represent listed companies, and a this Constitution. Each Standing the rulemaking authority referenced in senior officer of the Exchange reflects Committee shall have the authority to section 14(a) of the Constitution to an the recent Constitutional changes. engage independent legal counsel and Exchange officer between Board Similarly, in the Commission’s view the other advisors as it determines meetings (subject to appropriate notice rule revisions to permit a member of the necessary to carry out its duties, but and approval, where appropriate, from Board of Executives to call for Board may not use counsel or other advisors the Chief Regulatory Officer) should review of a determination or penalty who advise Exchange officers or provide adequate flexibility for the imposed by a Hearing Panel comports employees. Exchange to effect necessary changes with the recent change to Article IX of (a) Committees Consisting Solely of during the periods between Board the Constitution. Finally, the Directors. The Standing Committees meetings, while maintaining the Board’s Commission believes that other described in Section 12(a)(1)–(4) shall and the Chief Regulatory Officer’s proposed changes to the Exchange’s consist solely of directors, other than oversight and control. Rules to delete references to obsolete the Chief Executive Officer, and shall The Commission also believes that the terms and offices conform the Rules to report to the Board. Such Standing Exchange’s proposal to require that at the Constitution. Committees may be combined with any least one member of the Board of other such Standing Committee, be Accordingly, the Commission finds Executives represent individual subdivided into one or more such good cause, pursuant to section investors in equity securities furthers Standing Committees, or the Board may 19(b)(2)19 of the Act, for approving the the objective of section 6(b)(3) 17 of the constitute itself as a committee of the proposed rule change prior to the Act that investors be represented in the whole in respect of such a Standing thirtieth day after the date of governance of an exchange. The Committee. [; provided, however, that if publication of notice thereof in the Commission notes that in order to fulfill the Board constitutes itself] The Chief Federal Register. The Commission the requirements of section 6(b)(3) of the Executive Officer shall be recused from believes that granting accelerated Act, the NYSE Constitution now deliberations of the Board, whether it is approval to the proposal should help requires that the Nominating & acting as the Board or as a committee the Exchange to implement the recent Governance Committee recommend at of the whole, with respect to the changes to the NYSE’s governance and least one candidate representing issuers activities of the Nominating & management structure, clarify certain and one candidate representing Governance Committee, the Human Constitution provisions, and conform investors for membership on the Board Resources & Compensation Committee, various Exchange rules to the new of Directors.18 The Commission believes the Audit Committee or the Regulatory Constitution. that the current proposal to reserve a Oversight & Regulatory Budget specific slot for an individual investor V. Conclusion Committee [, the Chief Executive Officer representative to the Board of shall be recused from such Board Executives advances the goal of It is therefore ordered, pursuant to deliberations]. ensuring that the various Exchange section 19(b)(2) of the Act,20 that the (1) Nominating & Governance constituencies are represented and proposed rule change (SR–NYSE–2004– Committee. The Nominating & Governance Committee shall be 17 15 U.S.C. 78f(b)(3). 19 15 U.S.C. 78s(b)(2). 18 NYSE Constitution, Article IV, section 12(a)(1). 20 Id. 21 17 CFR 200.30–3(a)(12).

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responsible for (i) recommending to the together with the other directors elected the Board’s Human Resources & Board candidates for Board membership by the members, determining and Compensation Committee for action. in accordance with Article IV, Section 2 approving such compensation, (ii) (b) Joint Committees and candidates for Trustees of the reviewing and approving Gratuity Fund, (ii) recommending to the recommendations regarding (1) The Regulation, Enforcement & Board candidates for Board of compensation and personnel actions Listing Standards Committee shall be Executives membership, (iii) conducting involving senior Exchange personnel, composed of both directors (other than the Board’s annual governance review, including such recommendations the Chief Executive Officer) and Board (iv) reviewing and recommending the involving senior regulatory personnel of Executives members (including at Exchange’s corporate governance received from the Regulatory Oversight least one Industry Member of the Board guidelines, (v) establishing an & Regulatory Budget Committee, and of Executives) as selected by the Board; appropriate process for, and overseeing (iii) reporting annually to the members provided, however, that a majority of implementation of, the Board’s self- and the public on the compensation of the members of such committees voting assessments (including Board self- the five most highly compensated on a matter subject to a vote of such assessment, committee self-assessments officers of the Exchange (as well as Committee shall be directors. Such and director assessments) and the Board director compensation) and on the committee shall report to the Regulatory of Executives’ self-assessments, (vi) compensation philosophy and Oversight & Regulatory Budget recommending director compensation, methodology used to award that Committee and shall (i) review and and (vii) succession planning for the compensation (including information provide general advice with respect to Chairman and Chief Executive Officer of relating to appropriate comparisons, the Exchange’s programs for market the Exchange. In discharging its benchmarks, performance measures and surveillance, member and member responsibilities under clause (i) of the evaluation processes consistent with the organization regulation and immediately preceding sentence, the mission of the Exchange). enforcement, and the listing and de- Nominating & Governance Committee (3) Audit Committee. The Audit listing of securities, and (ii) hear appeals shall propose persons as candidates for Committee shall be responsible for of disciplinary determinations and the Board who, in the opinion of the assisting the board in its oversight of the determinations to de-list a listed Committee, (a) are committed to serving integrity of the Exchange’s financial company. (2) Additional joint committees may the interests of the public and statements, the Exchange’s compliance be appointed by the Board from time to strengthening the Exchange as a public with legal and regulatory requirements, time in its discretion; provided that securities market; and (b) include and the independent auditor’s qualifications and independence, each shall consist of at least one director among their number individuals at least (other than the Chief Executive Officer). one of whom is intended to allow the including the direct responsibility for (i) the hiring, firing and compensation of All such committees shall report to the Exchange to meet the requirements of Board. section 6(b)(3) of the Act concerning the independent auditor, (ii) overseeing the independent auditor’s engagement, Sec. 13. Special Committees, issuers and at least one of whom is Advisory Committees, Etc. Special intended to allow the Exchange to meet (iii) meeting regularly in executive session with the auditor, (iv) reviewing committees, subcommittees, advisory the requirements of section 6(b)(3) of the committees, boards or councils may be Act concerning investors. In addition, the auditor’s reports with respect to the Exchange’s internal controls, (v) pre- appointed from time to time in the the Nominating & Governance approving all audit and non-audit Board’s discretion and may be Committee shall establish procedures to services performed by the auditor and comprised of individuals who are not solicit the input of investors in equity (vi) determining the budget and staffing directors or members of the Board of securities and members regarding Board for the Internal Audit Unit. The Audit Executives. candidates. The Nominating & Committee charter shall contain Sec. 14. Delegation. Governance Committee shall also solicit additional duties and responsibilities (a) Delegation Authority. The Board input from the various Exchange comparable to those required of issuers may delegate such of its powers as it communities regarding candidates for listed on the Exchange. may from time to time determine, appointment by the Board to the Board (4) The Regulatory Oversight & subject to the provisions of the of Executives. Consensus Regulatory Budget Committee. The Constitution and applicable law, to the recommendations for candidates to Regulatory Oversight & Regulatory Board of Executives, to such officers and represent the groups referenced in Budget Committee shall be responsible employees of the Exchange, and to such clauses (ii), (iii) and (iv) of Article V, for (i) assuring the effectiveness, vigor committees, composed either of Section 2(b) put forward by the and professionalism of the Exchange’s directors or otherwise, as the Board may respective representatives of those regulatory program, (ii) determining the from time to time authorize; provided, groups shall be forwarded to the Board budget for the Regulatory Group, the however, that, except as this as the recommendations of the Listings and Compliance Unit, the Constitution otherwise provides, the Nominating & Governance Committee Hearing Board, the Arbitration Unit and Board may not delegate, and no unless and to the extent such Committee the Regulatory Quality Review Unit and committee may re-delegate, to the Board determines that a candidate does not (iii) oversight of the Regulation, of Executives, to officers and employees qualify for the position. Enforcement & Listing Standards of the Exchange or to any committee (2) Human Resources & Compensation Committee and the Regulatory Quality other than a committee consisting solely Committee. The Human Resources & Review Unit. This Committee shall of directors (other than the Chief Compensation Committee shall be determine the Exchange’s regulatory Executive Officer), authority either to responsible for (i) reviewing and plan, budget and staffing proposals adopt rules under Article VIII, Section approving corporate goals and annually and shall be responsible for 1 or Article IX, Section 1, or to act on objectives relevant to Chief Executive assessing the Exchange’s regulatory any subject matter described in Article Officer compensation, evaluating the performance and recommending IV, Section 12(a) or (b)(1), except by Chief Executive Officer’s performance in compensation and personnel actions effecting a rule change within the light of those goals and objectives, and, involving senior regulatory personnel to meaning of Section 19(b)(1) of the Act.

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Notwithstanding the foregoing, the Industry Members of the Board of referenced in subsections (i), (ii), and Board may authorize an officer or Executives shall propose persons who, (iii) herein collectively shall be called officers of the Exchange to adopt rules in their opinion, (i) are committed to ‘‘Industry Members of the Board of as aforesaid, so long as the Board is serving the interests of the public and Executives’’). If the Board increases the informed of any such action at its next strengthening the Exchange as a public size of the Board of Executives it shall meeting, and the prior approval of the market, and (ii) will allow the Exchange strive to maintain approximately the Chief Regulatory Officer is obtained for to meet the requirements of section same balance between Industry any regulatory matter. Any committee of 6(b)(3) of the Act concerning members Members of the Board of Executives and directors to which authority is delegated of the Exchange. other members of the Board of to adopt rules under Article VII, Section Sec. 2. Composition of Board of Executives as is represented above. If 1 or Article IX, Section 1 shall include Executives. the Board increases the size of the Board thereon at least one director nominated (a) The Board of Executives shall of Executives, it shall also be free to add by the Industry Members of the Board provide a reasonably balanced members to the Board of Executives of Executives, as provided in Article IV, representation of the many communities who represent other elements of the Section 2. The Board shall diligently that come together in the Exchange: Exchange community. Each person who oversee the activities of the Board of listed companies, investors, members is not a member of the Exchange and is Executives, the officers and employees and member organizations, and lessor appointed to the Board of Executives of the Exchange, and any committees to members. shall, by the acceptance of such which the Board has delegated authority (b) The Board of Executives shall position, be deemed to have agreed to pursuant hereto. consist of the Chairman of the Board uphold this Constitution. (b) Limitation of Delegation (who shall be the Chairman of the Board * * * * * Authority. A member, member of Executives), the Chief Executive organization, allied member or Officer (if such individual is not also the Article VI approved person affected by a decision Chairman), and at least 20 but no more Officers than 25 members (‘‘Board of Executives of any officer, employee or committee Sec. 1. Officers. The officers of the acting under powers delegated by the members’’). The Board of Executives members (other than the Chairman and Exchange shall include the Chairman of Board may require a review by the the Board, the Chief Executive Officer, Board of such decision, by filing with Chief Executive Officer) shall be appointed by the Board at its annual the President, if there be one, the Chief the Secretary of the Exchange a written Regulatory Officer, one or more Vice demand therefore within 10 days after organizational meeting and shall consist of (i) at least six individuals who are Presidents (one or more of whom may the decision has been rendered, except be designated as Executive Vice as otherwise provided in Article IX, either the chief executive or a principal executive officer of a member Presidents or as Senior Vice Presidents Section 6. Any and all powers delegated or by other designations), a Secretary, a by the Board may continue to be organization that engages in a business involving substantial direct contact with Treasurer, a Controller and such other exercised by the Board notwithstanding officers as the Chief Executive Officer such delegation, and the Board may securities customers, (ii) at least two individuals, each of whom is registered may propose, subject to the approval of exercise such review and oversight over the Board. Any office may be occupied the exercise of (or omission to exercise) as a specialist and spends a substantial part of his or her time on the Floor of by more than one individual. An officer, any delegated authority as it shall at any if a member of the Exchange at the time time determine. the Exchange, [who are either the chief executive or a principal executive of election, shall promptly thereafter * * * * * officer of a specialist member dispose of his or her membership by Article V organization,] (iii) at least two sale or lease, and if by lease, the power individuals, each of whom spends a to vote must be disposed of by the lease. Board of Executives majority of his or her time on the Floor The Board shall appoint the Chairman, Sec. 1. Powers and Authority of the of the Exchange, and has as a substantial the Chief Executive Officer, and the Board of Executives. The Board shall part of his or her business the execution Chief Regulatory Officer. If the establish a Board of Executives. Subject of transactions on the Floor of the Chairman is neither the Chief Executive to the Board’s ultimate authority, review Exchange for other than his or her own Officer nor chosen from among the and oversight and except with respect to account or the account of his or her directors elected by the members, he or the responsibilities delegated to the member organization, but who shall not she must satisfy the independence Standing Committees, pursuant to be registered as a specialist, (iv) at least criteria for Board membership set forth Article IV, Section 12, the Board of two individuals who are lessor members in Article IV, Section 2 of this Executives shall advise the Chief who are not affiliated with a broker or Constitution. The President and the Executive Officer in his or her dealer in securities, (v) at least four non-regulatory officers of the Exchange management of the operations of the individuals who are either the chief shall be appointed by the Chief Exchange. Copies of any materials, executive or a principal executive Executive Officer, subject to approval of documents or reports prepared or officer of an institution that is a the Board. The Chief Regulatory Officer received by the Board of Executives significant investor in equity securities, shall appoint the officers reporting to shall be furnished to the Board of as least one of whom shall be a fiduciary him or her, subject to approval of the Directors. Industry Members of the of a public pension fund; (vi) at least Board. Each officer of the Exchange, by Board of Executives (as defined in one individual intended to represent his or her acceptance of such office, Section 2 of this Article) shall also be individuals who invest in equity shall be deemed to have agreed to responsible for recommending to the securities and are retail clients of uphold this Constitution. While no Board candidates for Board membership member organizations, and (vii) at least officer of the Exchange shall have any in accordance with, and who meet the four individuals who are either the chief authority to recommend candidates for criteria provided for in, Article IV, executive or a principal executive election to the Board or for appointment Section 2 of this Constitution. In officer of a listed company (the by the Board to any committee, the discharging this responsibility, the members of the Board of Executives Board or the Nominating & Governance

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Committee may solicit the input of any New York Stock Exchange, Inc. (b) Any claim for loss arising from Exchange officer at its own initiative Rules errors or omissions of an ITS clerk or and discretion. clerks shall be presented in writing to Sec. 2. The Chairman. The Chairman Rule 16 the Exchange no later than the opening shall preside at all meetings of the Liability of Exchange Relating to of trading on the next business day Board and of the Board of Executives Operation of ITS and Pre-Opening following the day on which the error or and shall decide all questions of order, Application omission giving rise to the loss occurred subject, however, to an appeal to the or within such longer period as the * * * * * Board; provided, however, that if the (B)(a) For the convenience of Exchange shall consider equitable under Chairman is also the Chief Executive members on the Floor, the Exchange the circumstances. (c) All disputed claims shall be Officer, he or she shall not participate shall furnish employees, known as ‘‘ITS in executive sessions of the Board. If the clerks’’, who will, on behalf of such referred for binding arbitration to an Chairman is not the Chief Executive members, send and receive through the arbitration panel and the decision of a Officer, he or she shall act as liaison System commitments and obligation to majority of the arbitrators selected to officer between the Board and the Chief trade, pre-opening notifications and hear and determine the controversy Executive Officer. In addition to his or responses thereto. All errors and shall be final and there shall be no her usual duties, the Chairman shall omissions made by one or more ITS appeal to the Board of Directors from make an Annual Report on the clerks with respect to any single System the decision of such panel. The Exchange’s activities to a Plenary Transaction or proposed System arbitration panel shall be composed of Session. Transaction shall give rise to a single an odd number of panelists. Each of the Sec. 3. The Chief Executive Officer. claim against the Exchange by the on- parties to the dispute shall select one Subject to the authority of the Board, Floor member who instructed the ITS member or allied member to serve as and to the functional separation of the clerk or clerks who made the errors or panelist on the arbitration panel. The regulatory functions of the Exchange as omissions for all loss, cost, damage or panelists so selected shall then select described in this Constitution, the Chief expense (hereinafter called ‘‘loss’’) one or more additional panelist(s); Executive Officer of the Exchange shall suffered by such member, or any other provided that the additional panelist(s) be responsible for the management and member or member organization for so selected are either members or allied administration of the affairs of the which he acted, as a result of such error members of the Exchange, and provided Exchange. and omissions, but only to the extent further that no member of the arbitration Sec. 4. Chief Regulatory Officer and and as provided in this paragraph (B), panel may be a person with a direct or Other Officers. and the Exchange shall be free to assert indirect financial interest in the claim. (a) Chief Regulatory Officer. Subject to any defense to such claim it may have. In the event that the initial panelists the authority of the Board and the No claim shall arise as to errors or selected by the parties to the dispute Regulatory Oversight & Regulatory omissions which are found to have cannot agree on the selection of the Budget Committee, and to the resulted from any failure by a member additional panelist or panelists, as the administrative standards and policies (whether or not such member is a party case may be, then in that event such established by the Chief Executive to the claim against the Exchange additional panelist(s) shall be appointed Officer made applicable to the Chief pursuant to this paragraph (B)) to place by a [Floor Director] BOE Floor Regulatory Officer by the Regulatory or cancel an instruction clearly and Representative who has no direct or Oversight & Regulatory Budget accurately with the ITS clerk on a indirect financial interest in the claim. Committee, the Chief Regulatory Officer timely basis, in writing on such form or Each party to the dispute may make oral shall be responsible for the management forms as the Exchange may provide for and written submissions and present and administration of the regulatory such purpose, and containing such witnesses to the arbitration panel. functions of the Exchange. information as may be required by the Rule 22 (b) Other Officers. The President and Exchange from time to time in Disqualification Because of Personal other officers shall have such functions connection with such instruction. and responsibilities as the Chief In addition, no claim shall be allowed Interest Executive Officer may from time to time if, in the opinion of the arbitration panel (a) No member of the Board of assign, subject to the approval of the provided for in subparagraph (c) of this Directors or of the Board of Executives Board, and, in the case of senior paragraph (B), the member making such or of any committee authorized by the regulatory personnel, subject to the claim did not take promptly, upon Board shall participate (except to the specific oversight and control of the discovery of the error or omission, all extent of testifying at the request of such Regulatory Oversight & Regulatory proper steps to correct such error or Board or of such committee) in the Budget Committee. omission and to establish and mitigate investigation or consideration of any Sec. 5. Absence, Inability to Act or the loss resulting therefrom. matter relating to any member, allied Vacancy in Office of the Chairman. In Further, it shall be the responsibility member, approved person, or member case of the absence, inability to act or of the member on the Floor who places organization with knowledge that such vacancy in office of the Chairman of the an instruction with an ITS clerk to keep member, allied member, approved Board, such other person or persons as abreast of the status of that instruction. person, or member organization is the Board, by the affirmative vote of a The ITS clerk shall only be responsible indebted to such director or committee majority of the entire Board, may to respond, as promptly as possible, to member, or to their member designate shall assume all the functions the member’s inquiry concerning the organization or any participant therein, and discharge all the duties of the status of his instruction. No claim shall or that they, their member organization Chairman. be allowed which is based on a or any participant therein is indebted to Sec. 6. Removal. Any officer of the member’s assertion that he was not such member, allied member, approved Exchange may be removed, either with made aware of the status of his person, or member organization, or without cause, by the affirmative vote instruction and thus failed to take excluding, however, any indebtedness of a majority of the entire Board. further appropriate action. arising in the ordinary course of

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business out of transactions on any Director] BOE Floor Representative as Supplementary Material: exchange, out of transactions in the are prescribed by the Rules of the Board * * * * * over-the-counter markets, or out of the or as may be designated by the Board. .11 Temporary Reallocation of lending and borrowing of securities. For purposes of this rule, a Floor Stocks.—The [Chairman, Vice (b) No person shall participate in the Governor, by virtue of his appointment Chairman] Chief Executive Officer and adjudication of any matter in which as such, shall also be deemed to be a the [Senior Floor Director] two most Floor Official, and, therefore they are personally interested. senior BOE Floor Representatives, or in empowered to perform such duties as Rule 37 the absence from the Floor of [any] are specifically prescribed by the Rules either of them, the next senior [Floor Visitors of the Board or as may be designated by Director] BOE Floor Representative the Board regarding Floor Officials. Visitors shall not be admitted to the present on the Floor, acting by a Floor of the Exchange except by * * * * * majority shall have the power to permission of an Officer of the Rule 51 reallocate temporarily any stock on an Exchange, a Senior Floor Official, emergency basis to another location on Hours for Business Executive Floor Official, a Floor the Floor whenever in their opinion Governor, or a [Floor Director] BOE Except as may be otherwise such reallocation would be in the public Floor Representative between the hours determined by the Board of Directors as interest. of 10:00 a.m. and 3:30 p.m. Approval of to particular days, the Exchange shall be The member to whom a stock has an Exchange Officer or a [Floor Director] open for the transaction of business on been temporarily reallocated under the BOE Floor Representative (or Senior every business day, excluding provisions of this Rule will be registered Floor Official, Executive Floor Official, Saturdays, (a) for a 9:30 a.m. to 4:00 as the regular specialist therein until the or Floor Governor in the absence of the p.m. trading session and (b) for the Board of Directors determines the [Floor Directors] BOE Floor purposes of ‘‘Off-Hours Trading’’ (as ultimate location of the security. Representatives) is required to bring Rule 900 (Off-Hours Trading: visitors onto the Floor 30 minutes before Applicability and Definitions) defines Rule 103B or after the opening and 30 minutes that term), during such hours as the Specialist Stock Allocation prior to closing. Exchange may from time to time specify. Allocation Policy and Procedures Rule 38 Except as may be otherwise III. Allocation Panel Communications determined by the Board of Directors, Selection Communications or announcements the [Chairman of the Board] Chief shall not be posted on the bulletin board Executive Officer shall have the power Panel members are nominated by the without the consent of the [Chairman of to halt or suspend trading in some or all membership. A selection committee, the Board] Chief Executive Officer, or a securities traded on the Exchange, to appointed by the [Floor Directors] BOE person authorized by the Exchange to close some or all Exchange facilities, Floor Representatives, reviews the give such consent. and to determine the duration of any nominations and recommends panel such halt, suspension or closing, when appointments to the [Floor Directors] Rule 46 he deems such action to be necessary or BOE Floor Representatives, who finalize Floor Officials—Appointment appropriate for the maintenance of a fair recommendations for presentation to the and orderly market or the protection of QOMC. The selection committee (a) Each [Director who is active on the investors, or otherwise in the public Floor] member of the Board of operates in accordance with such interest, due to extraordinary guidelines as are established and made Executives who represents the groups circumstances, such as (1) actual or referenced in clauses (ii) and (iii) of known to the membership from time to threatened physical danger, severe time. The selection committee and, in Article V, Section 2(b) of the climatic conditions, civil unrest, Constitution shall be a BOE Floor turn, the [Floor Directors] BOE Floor terrorism, acts of war, or loss or Representatives seek to develop a Representative and shall be [appointed] interruption of facilities utilized by the approved as a Floor Official. representative panel that maximizes Exchange, or (2) a request by a professional expertise and broad (b) The Chairman, in consultation governmental agency or official, or (3) a with the [Floor Directors] BOE Floor exposure on the Floor by including period of mourning or recognition for a members from various types of firms Representatives and with the approval person or event. In considering such of the Board, shall, at the annual and from diverse locations on the Floor. action, the [Chairman of the Board] To the maximum extent possible, the meeting of the Board of Directors or at Chief Executive Officer shall consult such other time as may be deemed Floor members on the panel are with [the Vice Chairman, if available, expected to be a core group of necessary: and]such available [Floor Directors] (i) designate as Floor Officials such experienced, senior professionals, such BOE Floor Representatives as he deems other members as he may determine, as former Allocation Committee appropriate under the circumstances. who shall perform such duties as are chairmen, Senior Floor Officials, The [Chairman of the Board] Chief prescribed by the Rules of the Board to Executive Floor Officials, and current Executive Officer shall notify the Board serve at the pleasure of the Board of and former Floor Governors. of actions taken pursuant to this Rule, Directors or until the next annual In the case of allied members and except for a period of mourning or election of the Exchange and their representatives of institutional investor recognition for a person or event, as successors are appointed and take organizations, the allied member soon thereafter as is feasible. office. organization and the institutional (ii) designate twenty such other * * * * * investor organization are appointed to members as Floor Governors, who shall Rule 103 the panel. The individual representative be empowered to perform any duty, is then selected by the organization. A make any decision or take any action Registration of Specialists [Floor Director] BOE Floor assigned to or required of a [Floor * * * * * Representative gives guidance to the

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organization in selecting an appropriate Rule 103C All indications require the representative. Listed Company Relations Proceedings supervision and approval of a Floor Official. If it involves a bank or Eligibility (a) A listed company may file with the brokerage stock, a [Floor Director] BOE New Listings & Client Service Division Professional expertise and experience Floor Representative’s approval is a written notification (‘‘Issuer Notice’’), required. If a [Floor Director] BOE Floor are essential to the excellence of the signed by the company’s chief executive allocation system. Therefore, a Floor Representative is unavailable, a Floor officer, that it wishes to commence a Governor’s or Senior Floor Official’s member must have a minimum of 5 proceeding whereby the Quality of years experience as a member on the approval must be obtained. In addition Markets Committee (‘‘QOMC’’) shall to the mandatory criteria, specialists Floor in order to be eligible for attempt to mediate and resolve non- should use their judgment as to when it appointment to the Allocation Panel. In regulatory issues that have arisen is appropriate to seek Floor Official the case of allied members and between the company and its assigned approval for disseminating a price representatives of institutional investor specialist unit. The Issuer Notice shall indication. organizations, the organization shall indicate the specific issues sought to be Mandatory indication policy applies select a representative with at least 5 mediated and resolved, and what steps, to a foreign-listed security only if the years of trading experience in listed if any, have been taken to try to address opening price will be at a significant equities and a senior position on the them before the filing of the Notice. price change (see chart above) from its trading desk, and each may designate (b) The QOMC shall refer the Issuer closing price in the foreign market or one alternate who meets the Panel Notice to its Listed Company Relations the current price in the foreign market. qualifications, subject to approval by the Subcommittee (the ‘‘Subcommittee’’) Mandatory indications for convertible [Floor Directors] BOE Floor which shall consist of [two listed preferred stocks are only required if an Representatives. company members of the QOMC, as indication was disseminated in the * * * * * well as a senior officer and two vice underlying common stock. chairman of the Exchange, provided In this regard the following V. Policy Notes these individuals are also members of procedures should be followed for Allocation Freeze Policy the QOMC] four Board of Executives delayed opening and trading halt members (two of whom are indications: In the event that a specialist unit: (i) representatives of listed companies) and The length of time for the loses its registration in a specialty stock a senior officer of the Exchange. The dissemination of indications should be as a result of proceedings under Subcommittee shall review the Issuer in proportion to the anticipated Exchange Rules 103A, 475 or 476; or (ii) Notice and shall notify the subject disparity of the opening or reopening voluntarily withdraws its registration in specialist unit that a Listed Company price from the prior sale. a specialty stock as a result of possible Relations Proceeding (‘‘LCRP’’) is being The number of indications should proceedings under those rules, the unit commenced pursuant to this rule, and increase in proportion to the anticipated will be ineligible to apply for future that the LCRP shall run for one year disparity in the opening or reopening allocations for the six month period from the date of notice to the specialist price, with increasingly definitive, immediately following the reassignment unit, unless concluded earlier by the ‘‘telescoped’’ indications when an of the security (‘‘Allocation listed company. The specialist unit shall initial narrow indication spread is Prohibition’’). be provided with a copy of the Issuer impractical. Notice, and shall be given two weeks An indication should be published Following the Allocation Prohibition, within which to submit a written immediately when trading is halted for a second six month period will begin response to the Subcommittee. a non-regulatory order imbalance. Such during which a specialist unit may * * * * * indications should be broad enough to apply for new listings, provided that the allow flexibility, but narrow enough to unit demonstrates to the Exchange Rule 123A convey as accurate a picture of supply relevant efforts taken to resolve the Miscellaneous Requirements and demand as possible at the time. In circumstances that triggered the most cases, a final indication with a one * * * * * Allocation Prohibition. The point spread would be appropriate. determination as to whether a unit may Broker’s Obligation In the Handling of Further telescoping to one-half point apply for new listings will be made by Certain Orders could result in unnecessary delay due to Exchange staff, in consultation with the a change in the terms of a pivotal order. [Floor Directors] BOE Floor .45 Members’ off-floor orders.—Two persons consisting of two [Floor Even if an indication is not Representatives. The factors the disseminated, specialists should Exchange will consider will vary Directors] BOE Floor Representatives, or in the absence of any of them, Floor endeavor to provide brokers with an depending on the unit’s particular Governors, Senior Floor Officials, or approximate range within which they situation, but may include one or more Executive Floor Officials in the order of believe a stock will open. steps such as: seniority, have the authority to limit or Tape indications before the opening —Supplying additional manpower/ ban the execution of off-Floor orders for should be disseminated at 9:15 a.m., if experience; accounts in which members or member possible, but any tape indications organizations have an interest. disseminated prior to 9:30 a.m. require —Changes in professional staff; the approval of a [Floor Director] BOE —Attaining appropriate dealer * * * * * Floor Representative or Floor Governor, participation; Rule 123D or the approval of a Floor Official if it —Enhancing back-office staff; and Openings and Halts in Trading relates to a spin-off or if trading had been halted and not resumed the prior —Implementing more stringent (1) Delayed Openings/Halts in day. supervision/new procedures. Trading— ITS Pre-Opening Applications must * * * * * * * * * * be followed when necessary based upon

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the anticipated opening price. For elapse between the first indication and If Client Service Division makes a example, a Pre-Opening Notification a stock’s reopening. However, where recommendation that trading should be must be issued if a stock is going to more than one indication is halted in a stock pending a public open more than .10 of a point from a disseminated, a stock may re-open three announcement by the company and the composite last sale under $15 or more minutes after the last indication, [Floor Director] BOE Floor than .25 of a point from a composite last provided that at least five minutes must Representative or Floor Governor sale of $15 or higher. The spread in the have elapsed from the dissemination of disagrees, he or she should seek the Pre-Opening Application may not the first indication. opinion of another [Floor Director] BOE exceed .50 of a point if the consolidated Tape indications must be Floor Representative or Floor Governor. close is under $50 or one point if the disseminated with the approval of a If the [Floor Director] BOE Floor consolidated close is $50 or higher with Floor Official prior to the opening or Representatives or Floor Governors are limited exception. If a Pre-Opening reopening in a stock subject to a Application is required on an opening in agreement that trading should not be regulatory or nonregulatory halt in halted, trading should continue. If one or any reopening and a tape indication trading or a delayed opening. A Floor of the two is in agreement with the is also issued, the indication satisfies Governor should be consulted if a recommendation to halt trading, then the Pre-Opening Application significant price change is anticipated. trading should be halted. While the time requirement if it is also sent to the ITS A [Floor Director] BOE Floor participants by the specialist in the form Representative or Floor Governor period may vary from case-to-case as a of Pre-Opening Notification. In that should be consulted in any case where result of the particular circumstances case, the maximum ITS spread would there is not complete agreement among involved, normally if the announcement not apply. Three minutes must elapse the Floor Officials participating in the is not made within approximately 30 from the time a Pre-Opening discussion. minutes after the delay or halt is Application is issued, and an additional Floor Governors should keep apprised implemented, the Exchange may one minute if subsequent notifications of developments when consulted, and commence the opening or reopening of are required, before a stock should open. should seek the assistance of [Floor trading in the stock. Special care is As with other openings, tape Director] BOE Floor Representatives, taken to ensure that material non’public indications are discretionary for IPO’s when appropriate, as soon as possible. information is not disclosed, even with the approval of a [Floor Director] Floor Governors should be prepared to inadvertently, as a result of someone BOE Floor Representative or Floor balance the opportunity for brokers to overhearing details relating to trading Governor except that it is mandatory if participate in the opening with the need halts or delayed opening situations. the opening price change as measured for timeliness, and should assist in from the offering price meets the * * * * * identifying opportunities for opening requirements for a mandatory the security, based upon the shifting Rule 304 indication. If an indication is disseminated after supply and demand in conjunction with Allied Members and Approved Persons appropriate specialist participation. the opening bell, it must be considered * * * * * a delayed opening. In addition, any Specialists should make every effort stock that is not opened with a trade or to balance timeliness with the (f) When an allied member is elected reasonable quotation within 30 minutes opportunity for customer reaction and Chairman of the Board [of Directors] or after the opening of business must be participation. Although the correct price Chief Executive Officer or is elected to considered a delayed opening (except based on information available at the membership in the Exchange, his allied for IPO’s) and requires Floor Official time is always the goal, specialists and membership shall terminate. supervising Floor Governors should supervision, as well as an indication. * * * * * That 30-minute time frame may only be recognize customers’ desires for a timely extended by a [Floor Director] BOE opening. When the specialist and Floor Rule 308 Governor agree that all participants have Floor Representative on a Floor-wide Acceptability Proceedings basis. had a reasonable opportunity to More than one indication should be participate, the specialist should open * * * * * disseminated if an opening will be the stock. (g) Any person whose application has outside the first indication or if the first Once trading has commenced, trading been disapproved by an Acceptability may only be halted with the approval of indication had a wide spread, especially Committee, or any member of the Board a Floor Governor or two Floor Officials. if the time frame for delayed openings of Directors or of the Board of A [Floor Director] BOE Floor has been extended by the [Floor Executives of the Exchange may require Director] BOE Floor Representative. A Representative, or in their absence a a review by the Board of any reduction in time between indications Senior Floor Governor, should be determination of an Acceptability can be used when multiple indications consulted if it is felt that trading should are disseminated. Generally, a minimum be halted in a bank or brokerage stock Committee. A request for review shall of 10 minutes must elapse between the due to a potential misperception be made by filing with the Secretary of first indication and a stock’s opening as regarding the company’s financial the Exchange a written request measured by the time the indication viability. therefore, within twenty days after appears on the PDU. However, when Sometimes the Client Service Division notification of the determination of the more than one indication is is notified by a listed company in Acceptability Committee. Upon review, disseminated, a stock may open five advance of publication concerning news the Board of Directors may sustain any minutes after the last indication which might have a substantial market determination, or may modify or reverse provided that at least 10 minutes must impact. That Division will immediately any such determination as it deems have elapsed from the dissemination of notify the Floor Operations Division, appropriate. The determination of the the first indication. which will advise a [Floor Director] BOE Board of Directors shall be final and With respect to a post-opening trading Floor Representative or Floor Governor, conclusive action by the Exchange. halt, a minimum of five minutes must or in their absence a Floor Official.

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Rule 422 Rule 476 consideration of the record before the Loans of and to Directors, etc. Disciplinary Proceedings Involving Hearing Panel. Upon review, the Board of Directors, by the affirmative vote of Without the prior consent of the Charges Against Members, Member Organizations, Allied Members, a majority of the Directors then in office, Board of Directors no member of the may sustain any determination or Board of Directors or of the Board of Approved Persons, Employees, or Others penalty imposed, or both, may modify Executives or of any committee of the or reverse any such determination, and Exchange, and no officer or employee of * * * * * may increase, decrease or eliminate any the Exchange shall directly or indirectly (b) All proceedings under this Rule, such penalty, or impose any penalty make any loan of money or securities to except as to matters referred to in permitted under the provisions of this or obtain any such loan from any paragraph (c), shall be conducted at a Rule, as it deems appropriate. Unless member organization member, allied Hearing in accordance with the the Board of Directors otherwise member, approved person, employee or provisions of this Rule and shall be held specifically directs, the determination any employee pension, retirement or before a Hearing Panel consisting of at and penalty, if any, of the Board of similar plan of any member organization least three persons: A Hearing Officer, Directors after review shall be final and unless such loan be (a) fully secured by who shall be Chairman of the Panel, conclusive subject to the provisions for readily marketable collateral, or (b) with the remainder of the Panel being review of the Securities Exchange Act of made by a director or committee members of the Hearing Board. 1934. member to or obtained by a director or The Chairman [of the Board of the Notwithstanding the foregoing, if committee member from the member Exchange], subject to the approval of the either party upon review applies to the organization of which he is a member, Board of Directors, shall from time to Board of Directors for leave to adduce allied member or employee or from a time appoint a Hearing Board to be member, allied member or employee composed of such number of members additional evidence, and shows to the therein. and allied members of the Exchange satisfaction of the Board of Directors who are not members of the Board of that the additional evidence is material Rule 440B Directors, and registered employees and and that there was reasonable ground Short Sales non-registered employees of members for failure to adduce it before the and member organizations, as the Hearing Panel, the Board of Directors * * * * * may remand the case to a Hearing Panel Supplementary Material: Chairman [of the Board of the Exchange] shall deem necessary. The members of for further proceedings, in whatever Interpretations of Securities and the Hearing Board shall be appointed manner and on whatever conditions the Exchange Commission and New York annually and shall serve at the pleasure Board of Directors considers Stock Exchange Rules of the Board of Directors. The Chairman appropriate. * * * * * [of the Board of the Exchange], subject (g) In lieu of the procedures set forth .19 Exemptions from the requirements to the approval of the Board of in paragraph (d) above, a Hearing Panel, of Regulation § –240.10a–2(a). Under Directors, shall also designate from at a Hearing called for that purpose, amended Regulation § –240.10a–2, if a among the officers and employees of the shall also determine whether a member, broker discovers prior to delivery date Exchange a Chief Hearing Officer and member organization, allied member, that a sale was effected pursuant to an one or more other Hearing Officers who approved person, or registered or non- order which through error was shall have no Exchange duties or registered employee of a member or incorrectly marked ‘‘long,’’ the functions relating to the investigation or member organization has committed requirements of Regulation § –240.10a– preparation of disciplinary matters and any one or more of the offenses 2(a) will not apply provided the who shall be appointed annually and specified in paragraph (a) above, on the exchange on which the transaction took shall serve as Hearing Officers at the basis of a written Stipulation and place or the NASD as to a sale which pleasure of the Board of Directors. Consent entered into between the took place in the over-the-counter * * * * * respondent and any authorized officer market is satisfied as to the existence of (f) The Division or Department of the or employee of the Exchange. Any such the conditions described in (i), (ii) and Exchange which brought the charges, Stipulation and Consent shall contain a (iii) of Regulation § –240.10a–2(b)(2). the respondent, or any member of the stipulation with respect to the facts, or Members should submit all requests Board of Directors or of the Board of the basis for findings of fact by the to the Exchange for exemptions to the Executives of the Exchange may require Hearing Panel; a consent to findings of [Floor Directors] BOE Floor a review by the Board of any fact by the Hearing Panel, including a Representatives as promptly as possible determination or penalty, or both, finding that a specified offense had been after discovery of the errors involved. imposed by a Hearing Panel. A request committed; and a consent to the Such requests may be made in writing, for review shall be made by filing with imposition of a specified penalty. or by telephone or telegraph provided the Secretary of the Exchange a written Notice of any Hearing held for the they are promptly confirmed in writing request therefor, which states the basis purpose of considering a Stipulation by the member or member organization. and reasons for such review, within and Consent shall be served upon the Out-of-town organizations may submit twenty-five days after notice of the respondent as provided in paragraph (d) their requests through their New York determination and/or penalty is served above. In any such Hearing, if the correspondents. upon the respondent. The Secretary of Hearing Panel determines that the In order that the Exchange may make the Exchange shall give notice of any respondent has committed an offense, it a proper determination in each case, it such request for review to the Division may impose the penalty agreed to in is imperative that all requests contain or Department of the Exchange which such Stipulation and Consent or any sufficient information to indicate clearly brought the charges and any respondent penalty which is less severe than the that the conditions described in (i), (ii) affected thereby. stipulated penalty, as it deems and (iii) of Regulation § –240.10a– Any review by the Board of Directors appropriate. In addition, a Hearing 2(b)(2) actually obtain. shall be based on oral arguments and Panel may reject such Stipulation and * * * * * written briefs and shall be limited to Consent.

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Such rejection shall not preclude the to in such Stipulation and Consent or simultaneously (1) issue a press release parties to the proceeding from entering any penalty which is less severe than disclosing the company’s status and into a modified Stipulation and Consent the stipulated penalty, or may remand basis for the Exchange’s determination which shall be presented to a Hearing for further proceedings. Unless the and (2) begin daily dissemination of Panel in accordance with the provisions Board of Directors otherwise specifically ticker and information notices of this subsection, nor shall such directs, the determination and penalty, identifying the security’s status, and rejection preclude the Exchange from if any, of the Board of Directors after include similar information on the bringing or presenting the same or review shall be final and conclusive Exchange’s web site. The notice to the different charges to a Hearing Panel in subject to the provisions for review of issuer shall also inform the issuer of its accordance with the provisions of the Securities Exchange Act of 1934. right to a review of the determination by paragraph (d) above. The Exchange shall * * * * * the Committee specified in Section keep a record of any Hearing conducted 12(b)(1) of Article IV of the Exchange’s under this Rule and a written notice of Rule 476A Constitution [a Committee of the Board the result setting forth the requirements Imposition of Fines for Minor Violation of Directors of the Exchange (a majority contained in Section 6(d)(1) of the of Rules of the members of such Committee Securities Exchange Act of 1934 shall be * * * * * voting on each determination must be served on the parties to the proceeding. (d) Any person against whom a fine public Directors)], provided a written The determination of the Hearing is imposed pursuant to this Rule may request for such review is filed with the Panel and any penalty imposed shall be contest the Exchange’s determination by Secretary of the Exchange within ten final and conclusive, twenty-five days filing with the Division or Department business days after receiving the after notice thereof has been served of the Exchange taking the action not aforementioned notice. upon the respondent in the manner later than the date by which such * * * * * provided in paragraph (d) above, unless determination must be contested, a a request to the Board of Directors for c. If a review is requested, the review written response meeting the review of such determination and/or will be scheduled for the first Review requirements of an ‘‘Answer’’ as penalty is filed as hereinafter provided. Day which is at least 25 business days provided in Rule 476(d), at which point If such a request to the Board of from the date the request for review is the matter shall become a ‘‘disciplinary Directors for review is filed as filed with the Secretary of the Exchange, proceeding’’ subject to the provisions of hereinafter provided, any penalty unless the next subsequent Review Day Rule 476. In any such disciplinary imposed shall be stayed pending the must be selected to accommodate the proceeding, if the Hearing Panel outcome of such review. Committee’s schedule. Because Section Any member of the Board of Directors determines that the person charged is 12(b)(1) of Article IV of the Constitution or of the Board of Executives of the guilty of the rule violation(s) charged, specifies that a majority of the members Exchange may require a review by the the Panel shall (i) be free to impose any of the Committee voting on a matter Board of any determination or penalty, one or more of the disciplinary shall be members of the Exchange’s or both, imposed by a Hearing Panel in sanctions provided in Rule 476 and (ii) Board of Directors, the [The] Chairman connection with a Stipulation and determine whether the rule violation(s) of the Committee will disclose to the Consent. In addition, the Division or is minor in nature. The Division or company and the staff at the Department of the Exchange which Department of the Exchange which commencement of the review which of entered into the written consent may commenced the action under this Rule, the Committee members [industry require a review by the Board of the person charged, and any member of Directors present] will be voting on the Directors of any penalty which is less the Board of Directors or of the Board matter, although all Committee severe than the stipulated penalty. The of Executives of the Exchange may members [directors] will be entitled to respondent or the Division or require a review by the Board of any participate in the discussion. The Department which entered into the determination by the Hearing Panel by Committee’s review and final decision written consent may require a review by proceeding in the manner described in shall be based on oral argument (if any) the Board of Directors of any rejection Rule 476(f). and the written briefs and of a Stipulation and Consent by the * * * * * accompanying materials submitted by Hearing Panel. Rule 499 the parties. A request for review shall be made by * * * * * filing with the Secretary of the Exchange Suspension From Dealings or Removal a written request therefor, which states From List by Action of the Exchange Listed Company Manual the basis and reasons for such review, The aim of the New York Stock Section 804.00 Procedure for Delisting within twenty-five days after notice of Exchange is to provide the foremost • the determination and/or penalty is auction market for securities of well- If the Exchange staff should served on the respondent. The Secretary established companies in which there is determine that a security be removed of the Exchange shall give notice of any a broad public interest and ownership. from the list, it will so notify the issuer such request for review to the Division Securities admitted to the list may be in writing, describing the basis for such or Department of the Exchange involved suspended from dealings or removed decision and the specific policy or in the proceeding and any respondent from the list at any time. criterion under which such action is to affected thereby. Supplementary Material: be taken. The Exchange will Any review by the Board of Directors .70 Procedure for Delisting.— simultaneously (1) issue a press release shall consist of oral arguments and a. If the Exchange staff should disclosing the company’s status and written briefs and shall be limited to determine that a security be removed basis for the Exchange’s determination consideration of the record before the from the list, it will so notify the issuer and (2) begin daily dissemination of Hearing Panel. Upon review, the Board in writing, describing the basis for such ticker and information notices of Directors, by the affirmative vote of decision and the specific policy or identifying the security’s status, and a majority of the Directors then in office, criterion under which such action is to include similar information on the may fix and impose the penalty agreed be taken. The Exchange will Exchange’s Web site.

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• The notice to the issuer shall also Rule 800 Exchange may from time to time inform the issuer of its right to a review Basket Trading: Applicability and prescribe, whenever two Floor of the determination by the Committee Definitions Governors make such a determination, a specified in Section 12(b)(1) of Article discontinuous auction market shall be IV of the Exchange’s Constitution [a Applicability of 800 Series declared. The Basket Book Dealer shall Committee of the Board of Directors of The Rules in this 800 series (Rules monitor market conditions and the Exchange (a majority of the members 800 through 817) shall apply to (i) all adherence to the guidelines and shall of such Committee voting on each Exchange contracts made on the conduct the discontinuous auction determination must be public Exchange through the ‘‘ESP Service’’ (as market as follows: Directors)], provided a written request this Rule defines that term) and (ii) the (i) Within five minutes from the time for such a review is filed with the handling of orders, and the conduct of at which the discontinuous auction Secretary of the Exchange within ten accounts and other matters, relating to market is declared, the Basket Book business days after receiving the baskets executed through the ESP Dealer will disseminate an initial aforementioned notice. Service by any member or member indication of interest. * * * * * organization. As modified by this Rule (ii) The Basket Book Dealer will • 800, all other Exchange Rules shall also periodically disseminate any change in If a review is requested, the review so apply, except that the following shall any indication of interest or any will be scheduled for the first Review not so apply: superior indication of interest, and, if he Day which is at least 25 business days * * * * * has not updated an indication of interest from the date the request for review is (F) references in incorporated Rules to within 15 minutes from the previous filed with the Secretary of the Exchange, ‘‘Floor Officials’’ shall refer solely to update, he will indicate that no change unless the next subsequent Review Day ‘‘Floor Governors’’ and ‘‘[Floor has occurred. must be selected to accommodate the Directors] BOE Floor Representatives’’. The [Chairman] Chief Executive Committee’s schedule. Because Section * * * * * Officer, the [Chairman] Chief Executive 12(b)(1) of Article IV of the Constitution Officer-designated Officer(s), two [Floor specifies that a majority of the members Rule 808 Directors] BOE Floor Representatives or of the Committee voting on a matter Basket Book Dealers two Floor Governors may terminate the shall be members of the Exchange’s discontinuous auction market after Board of Directors, the [The] Chairman * * * * * determining that the conditions that Supplementary Material: of the Committee will disclose to the precipitated the discontinuous auction company and the staff at the Temporary Reallocation of Baskets market no longer exist. commencement of the review which of .10 The [Chairman] Chief Executive The Basket Book Dealer may open or the Committee members [industry reopen the regular auction market in the Directors present] will be voting on the Officer or, in his absence, such Exchange Officer(s), as the [Chairman] basket only upon the later of: matter, although all Committee (i) 15 minutes after the initial members [directors] will be entitled to Chief Executive Officer may designate, or, alternatively, a majority, but not indication of interests, and participate in the discussion. The (ii) Five minutes after he disseminates Committee’s review and final decision fewer than two, of the [Floor Directors] BOE Floor Representatives then a revised or updated indication of shall be based on oral argument (if any) interest. and the written briefs and available on the Floor, may determine to The Exchange may from time to time accompanying materials submitted by reallocate temporarily any basket on an prescribe different discontinuous the parties. emergency basis to another member or member organization on the Floor auction market time parameters. The * * * * * whenever in their opinion such existence of a discontinuous auction Rule 792 reallocation would be in the public market suspends the obligations of interest. specialists, Basket Book Dealers and Days and Hours for Options Trading * * * * * Competitive Basket Market-Makers to * * * * * establish, maintain and communicate Rule 816 component stock, mini-basket and (c) The [Chairman, Vice Chairman basket quotations. and the Senior Floor Director or, in the Discontinuous Auction Markets; Basket absence from the Floor of any of them, Trading Halts Basket Trading Halts the next senior Floor Director] Chief Discontinuous Auction Markets (b) In addition to any halt in basket Executive Officer and the two most (a) Whenever such market conditions trading pursuant to Rule 80B (Trading senior BOE Floor Representatives, or in as the Exchange may from time to time Halts Due to Extraordinary Market the absence from the Floor of any of specify are present, the Exchange shall Volatility) as Rule 800 incorporates that them, the next senior BOE Floor declare a discontinuous auction market. Rule into these Basket Rules, basket Representative present on the Floor, Whenever the [Chairman] Chief trading through the ESP Service shall acting by a majority shall have the Executive Officer or, in his absence, halt whenever the [Chairman] Chief power to suspend trading in all option such other Exchange Officer(s) as the Executive Officer or, in his absence, contracts whenever in their opinion [Chairman] Chief Executive Officer may such other Exchange Officer(s) as the such suspension would be in the public designate, or, alternatively, a majority, [Chairman] Chief Executive Officer may interest. A special meeting of the Board but not fewer than two, of the [Floor designate, or, alternatively, a majority, of Directors to consider the continuation Directors] BOE Floor Representatives but not fewer than two, of the [Floor or termination of such suspension or then available on the Floor, determine Directors] BOE Floor Representatives closing the market shall be held as soon that market conditions make it then available on the Floor, determines thereafter as a quorum of Directors can unreasonable to conduct basket trading that market conditions warrant such a be assembled. pursuant to regular auction procedures, halt. * * * * * or, pursuant to such guidelines as the Supplementary Material:

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.10 Prior to disseminating any change A. Self-Regulatory Organization’s coordination with persons engaged in in an indication of interest or superior Statement of the Purpose of, and facilitating transactions in securities, indication of interest, or indicating that Statutory Basis for, the Proposed Rule and to remove impediments to and no change has occurred, pursuant to Change perfect the mechanism of a free and paragraph (a)(ii) of this Rule, the Basket 1. Purpose open market and a national market Book Dealer may execute paired-off buy system. and sell basket orders at a price that a PCX Rule 6.62 lists and defines several types of orders that are B. Self-Regulatory Organization’s Floor Governor has approved. Statement on Burden on Competition [FR Doc. 04–5112 Filed 3–5–04; 8:45 am] permissible at the PCX. Of the several types of orders defined, three are The Exchange does not believe that BILLING CODE 8010–01–P complex orders: spread, straddle and the proposed rule change will impose combination orders.3 The PCX proposes any burden on competition that is not to add another type of complex order, SECURITIES AND EXCHANGE necessary or appropriate in furtherance ratio orders, to the list of orders COMMISSION of the purposes of the Act. included in Rule 6.62.4 A ratio order is either a spread, straddle, or combination C. Self-Regulatory Organization’s [Release No. 34–49342; File No. SR–PCX– order in which the stated number of Statement on Comments on the 2004–09] option contracts to buy (sell) is not Proposed Rule Change Received From equal to the stated number of option Members, Participants, or Others Self-Regulatory Organizations; Notice contracts to sell (buy), provided that the Written comments on the proposed of Filing and Immediate Effectiveness number of contracts differs by a rule change were neither solicited nor of a Proposed Rule Change by the permissible ratio. Under the PCX received. Pacific Exchange, Inc. To Allow Ratio proposal, a permissible ratio is any ratio Orders to be Executed at the Exchange that is equal to or greater than one to III. Date of Effectiveness of the three (.333) or less than or equal to three Proposed Rule Change and Timing for March 1, 2004. to one (3.0). For example, a one to two Commission Action Pursuant to section 19(b)(1) of the (.5) ratio, a two to three (.667) ratio, or The foregoing proposed rule change, Securities Exchange Act of 1934 a two to one (2.0) ratio is permissible, as amended, has become effective (‘‘Act’’)1 and Rule 19b–4 thereunder,2 whereas a one to four (.25) or four to one pursuant to section 19(b)(3)(A) of the notice is hereby given that on February (4.0) ratio is not. Act 7 and Rule 19b–4(f)(6)8 thereunder, 19, 2004, the Pacific Exchange, Inc. The PCX believes that ratio orders are because it (i) does not significantly (‘‘PCX’’ or ‘‘Exchange’’) filed with the merely slight variations on the types of affect the protection of investors or the Securities and Exchange Commission complex orders currently permitted at public interest; (ii) does not impose any (‘‘Commission’’) the proposed rule the PCX. For this reason, the PCX significant burden on competition; and change as described in items I, II and III believes that it is appropriate to treat (iii) does not become operative for 30 below, which items have been prepared ratio orders in a manner similar to the days from the date on which it was by the Exchange. The Commission is existing complex orders that currently filed, or such shorter time as the publishing this notice to solicit permitted to trade at the PCX. Commission may designate if consistent comments on the proposed rule change Accordingly, the PCX proposes to have with the protection of investors and the from interested persons. ratio orders within the permissible ratio public interest. At any time within 60 follow the current priority rules under days of the filing of the proposed rule I. Self-Regulatory Organization’s PCX Rule 6.75(h) Commentary .04. change, the Commission may summarily Statement of the Terms of Substance of Specifically, PCX Rule 6.75(h) abrogate such rule change if it appears the Proposed Rule Change Commentary .04 sets forth the proper to the Commission that such action is trading procedures for combination, The Exchange is proposing amend its necessary or appropriate in the public spread and straddle orders. Under the rules to allow ratio orders to be interest, for the protection of investors, PCX proposal, ratio orders that are equal executed at the Exchange. The text of or otherwise in furtherance of the to or greater than one to three (.333) or the proposed rule change is available at purposes of the Act. The PCX provided less than or equal to three to one (3.0) the PCX and at the Commission. the Commission with written notice of will be treated the same as combination, its intent to file this proposed rule II. Self-Regulatory Organization’s spread and straddle orders. change at least five business days prior Statement of the Purpose of, and 2. Statutory Basis to the date of filing the proposed rule Statutory Basis for, the Proposed Rule change. Change The Exchange believes the proposed rule change is consistent with section IV. Solicitation of Comments In its filing with the Commission, the 6(b) of the Act,5 in general, and furthers Interested persons are invited to PCX included statements concerning the the objectives of section 6(b)(5) of the submit written data, views and purpose of and basis for the proposed Act,6 in particular, because it is arguments concerning the foregoing, rule change and discussed any designed to prevent fraudulent and including whether the proposal is comments it received on the proposed manipulative acts and practices, to consistent with the Act. Persons making rule change. The text of these statements promote just and equitable principles of written submissions should file six may be examined at the places specified change, to foster cooperation and copies thereof with the Secretary, in item IV below. The PCX has prepared Securities and Exchange Commission, summaries, set forth in sections A, B, 3 These types of orders are defined in PCX Rule 450 Fifth Street, NW., Washington, DC and C below, of the most significant 6.62(d), (g), and (h), respectively. 20549–0609. Comments may also be 4 The proposed rule change is based on the rules aspects of such statements. of the Chicago Board Options Exchange, Inc., Rules submitted electronically at the following 6.45 and 6.53. 1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78f(b). 7 15 U.S.C. 78(s)(b)(3)(A). 2 CFR 240.19b–4. 6 15 U.S.C. 78f(b)(5). 8 17 CFR 240.19b–4(f)(6).

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e-mail address: [email protected]. proposed rule change.3 The proposed the shares as soon as possible and such All comment letters should refer to File rule change, as amended, has been filed undertaking has been secured by the No. SR–PCX–2004–09. This file number by PCX under Rule 19b–4(f)(6) under delivery and maintenance of collateral should be included on the subject line the Act.4 The Commission is publishing consisting of cash or cash equivalents if e-mail is used. To help the this notice to solicit comments on the satisfactory to the fund which underlies Commission process and review your proposed rule change, as amended, from the option as described in the fund or comments more efficiently, comments interested persons. unit trust prospectus; and should be sent in hardcopy or by e-mail (b) I. Self-Regulatory Organization’s but not by both methods. Copies of the (i) Any non-U.S. component securities Statement of the Terms of Substance of submission, all subsequent (including fixedincome) [stocks] in the the Proposed Rule Change amendments, all written statements index or portfolio on which the Fund with respect to the proposed rule The Exchange is proposing to amend Shares are based that are not subject to change that are filed with the the definition of Exchange-Traded Fund comprehensive surveillance agreements Commission, and all written Shares (‘‘ETFs’’) in order to facilitate the do not in the aggregate represent more communications relating to the listing and trading of options and FLEX than 50% of the weight of the index or proposed rule change between the options on fixed-income ETFs. Proposed portfolio; Commission and any person, other than new language is italicized; deleted (ii) Securities (including fixed those that may be withheld from the language is in [brackets.] income) [stocks] for which the primary public in accordance with the * * * * * market is in any one country that is not provisions of 5 U.S.C. 552, will be Rule 3.6(a)—(c)—No change. subject to a comprehensive surveillance available for inspection and copying in Commentary: agreement do not represent 20% or the Commission’s Public Reference .01—.05—No change. more of the weight of the index; and (iii) Securities (including fixed Room. Copies of such filing will also be .06 Securities deemed appropriate for income) [stocks] for which the primary available for inspection and copying at options trading shall include shares or market is in any two countries that are the principal office of the PCX. All other securities (‘‘Exchange-Traded not subject to comprehensive submissions should refer to File No. Fund Shares’’) that are principally traded on a national securities exchange surveillance agreements do not SR–PCX–2004–09 and should be represent 33% or more of the weight of submitted by March 29, 2004. or through the facilities of a national securities association and reported as a the index. For the Commission, by the Division of .07—No change. national market security, and that Market Regulation, pursuant to delegated * * * * * authority.9 represent an interest in a registered investment company organized as an Rule 6.1 (a)—No change. Margaret H. McFarland, (b) Definitions.The following terms as open-end management investment Deputy Secretary. used in Rule 6 shall, unless the context company, a unit investment trust or a otherwise indicates, have the meanings [FR Doc. 04–5054 Filed 3–5–04; 8:45 am] similar entity which holds securities BILLING CODE 8010–01–P herein specified: constituting or otherwise based on or (1)—(31)—No change. representing an investment in an index (32) Exchange-Traded Fund Share— SECURITIES AND EXCHANGE or portfolio of securities, provided: For purposes of these Rules, the term (a) COMMISSION Exchange-Traded Fund Share shall (i) The Exchange-Traded Fund Shares include Exchange-listed securities [Release No. 34–49340; File No. SR–PCX– meet the criteria and guidelines for representing interests in open-end unit 2004–06] underlying securities set forth in Rule investment trusts or open-end 3.6(a); or management investment companies that Self-Regulatory Organizations; Notice (ii) The Exchange-Traded Fund hold securities (including fixed income of Filing and Immediate Effectiveness Shares must be available for creation or securities) based on an index or a of a Proposed Rule Change and redemption each business day in cash or portfolio of securities. Amendment No. 1 Thereto by the in kind from the investment company at Pacific Exchange, Inc. to Facilitate * * * * * a price related to the net asset value. In Rules 8.1—8.17 Reserved. Listing and Trading of Options and addition, the investment company shall FLEX Options of Fixed-Income provide that fund shares may be created * * * * * Rule 8.100 (a)—Applicability. Rules Exchange-Traded Fund Shares even though some or all of the securities 8.100 et seq. are applicable only to needed to be deposited have not been February 27, 2004. Flexible Exchange Options. Except to received by the unit investment trust or the extent that specific rules in this Pursuant to section 19(b)(1) of the the management investment company, Section govern, or unless the context Securities Exchange Act of 1934 provided the authorized creation 1 2 otherwise requires, the provisions of the (‘‘Act’’), and Rule 19b–4 thereunder, participant has undertaken to deliver notice is hereby given that on January Constitution and other rules and policies of the Board of Governors shall 30, 2004, the Pacific Exchange, Inc. 3 Letter from Tania J.C. Blanford, Regulatory (‘‘PCX’’ or ‘‘Exchange’’) filed with the Policy, to Nancy J. Sanow, Assistant Director, be applicable to the trading on the Securities and Exchange Commission Division of Market Regulation, Commission, dated Exchange of such securities. Pursuant to (‘‘Commission’’ or ‘‘SEC’’) the proposed February 17, 2004. (‘‘Amendment No. 1’’). In the provisions of Rule 4.1, Flexible Amendment No. 1, the PCX made technical Exchange Options are included within rule change as described in items I and corrections to the proposed rule change. II below, which items have been 4 17 CFR 240.19b–4(f)(6). For purposes of the definition of ‘‘security’’ or prepared by PCX. On February 18, 2004, determining the effective date and calculating the ‘‘securities’’ as such terms are used in the PCX filed Amendment No. 1 to the 60-day period within which the Commission may the Constitution and Rules of the summarily abrogate the proposed rule change under Exchange. section 19(b)(3)(C) of the Act, the Commission 9 17 CFR 200.30–3(a)(12). considers that period to commence on February 18, [(1) Flexible Exchange Options on the 1 15 U.S.C. 78s(b)(1). 2004, the date PCX filed Amendment No. 1. See 15 following indexes are approved for 2 17 CFR 240.19b–4. U.S.C. 78s(b)(3)(C). trading on the Exchange:

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(A) the Wilshire Small Cap Index. following options series of iShares III. Date of Effectiveness of the (B) the PCX Technology Index. Trust: iShares 1–3 Year Treasury Bond Proposed Rule Change and Timing for (C) the Dow Jones Co. Taiwan Index. Fund, iShares 7–10 Year Treasury Bond Commission Action (D) the Morgan Stanley Emerging Fund, iShares Lehman 20+ Year The foregoing rule change, as Growth Index. Treasury Bond Fund, and iShares GS $ amended, has been filed by the (2) Flexible Exchange Options on the InvesTop Corporate Bond Fund. Exchange pursuant to section following Exchange-Traded Fund 19(b)(3)(A) of the Act 9 and Shares, as defined in Rule 6.1(b)(32), are The Exchange also proposes to delete obsolete language from PCX Rules subparagraph (f)(6) of Rule 19b–4 approved for trading on the Exchange: thereunder.10 PCX has designated the (A) Nasdaq-100 Index Tracking Stock 8.100(a) and 8.102(e) to facilitate the addition of options on fixed-income proposed rule change as one that: (i) (Symbol: QQQ)] Does not significantly affect the (b)—(d)—No change. ETFs. These rules currently delineate protection of investors or the public * * * * * each FLEX Options product that is listed and traded on the Exchange. As interest; (ii) does not impose any Rule 8.101(a)—(b)—No change. significant burden on competition; and the products listed are no longer traded * * * * * (iii) does not become operative for 30 on the Exchange, the PCX proposes to Rule 8.102(a)—(d)—No change. days from the date on which it was (e) Special Terms for FLEX Equity make an administrative change and filed, or such shorter time as the Options. delete the obsolete language referencing Commission may designate. Therefore, 5 (1) Reserved. [FLEX Equity Option FLEX Options product names. the foregoing rule change, as amended, transactions are limited to transactions This proposed rule change is has become effective pursuant to section in options on: substantially similar to the rule change 19(b)(3)(A) of the Act 11 and Rule 19b– (A) the Wilshire Small Cap Index. proposals filed by the Chicago Board 4(f)(6) thereunder.12 At any time within (B) The PCX Technology Index Options Exchange 6 (‘‘CBOE’’) and the 60 days of the filing of the proposed rule (C) The Dow Jones Co. Taiwan Index. International Securities Exchange, Inc. change, the Commission may summarily (D) The Morgan Stanley Emerging (‘‘ISE’’),7 which were approved by the abrogate the rule change if it appears to Growth Index.] Commission. Thus, the Exchange is the Commission that the action is (3)—(4)—No change. necessary or appropriate in the public (f)—No change. proposing to modify PCX Rule 6.1(b)(32) and related PCX rules to substantially interest, for the protection of investors, * * * * * mirror the proposed rule changes or would otherwise further the purposes II. Self-Regulatory Organization’s submitted by the BOE and ISE. of the Act. Pursuant to Rule 19b–4(f)(6)(iii) under Statement of the Purpose of, and 2. Statutory Basis the Act,13 the proposal may not become Statutory Basis for, the Proposed Rule operative for 30 days after the date of its Change The Exchange believes that the filing, or such shorter time as the In its filing with the Commission, the proposal is consistent with the Commission may designate if consistent Exchange included statements objectives of section 6(b)(5) of the Act,8 with the protection of investors and the concerning the purpose of and basis for in general, that it will promote just and public interest, and the self-regulatory the proposed rule change and discussed equitable principles of trade to prevent organization must file notice of its any comments it received on the fraudulent and manipulative acts and, intent to file the proposed rule change proposed rule change. The text of these in general, to protect investors and the at least five business days beforehand. statements may be examined at the public interest. The Exchange has requested that the places specified in item IV below. The Commission waive the five-day pre- PCX has prepared summaries, set forth B. Self-Regulatory Organization’s filing requirement and the 30-day in sections A, B and C below, of the Statement on Burden on Competition operative delay so that the proposed most significant aspects of such The Exchange does not believe that rule change will become immediately statements. effective upon filing. the proposed rule change, as amended, The Commission believes that A. Self-Regulatory Organization’s will impose any burden on competition waiving the five-day pre-filing provision Statement of the Purpose of, and that is not necessary or appropriate in and the 30-day operative delay is Statutory Basis for, the Proposed Rule furtherance of the purposes of the Act. consistent with the protection of Change C. Self-Regulatory Organization’s investors and the public interest. The 1. Purpose Statement on Comments on the Commission believes that waiving the pre-filing requirement and accelerating PCX Rule 6.1(b)(32) defines ETFs as Proposed Rule Change Received From Members, Participants, or Others the operative date does not raise any securities representing ‘‘open-end unit new regulatory issues, significantly investment trusts or open-end Written comments on the proposed affect the protection of investors or the management investment companies that public interest, or impose any hold securities based on an index or a rule change were neither solicited nor received. significant burden on competition. The portfolio of securities.’’ The purpose of Commission notes that the ISE and the the proposed rule change is to amend 5 CBOE have already adopted this definition in order to facilitate the The Exchange notes that PCX intends to conform its rules to those of other exchanges by not substantially similar rules to trade listing and trading of options and FLEX referencing product names available for trading. See options on fixed income ETFs. For these options on investment products that are e.g., CBOE Rule 24A–1. reasons, the Commission designates the based on an index of fixed-income 6 See Securities Exchange Act Release No. 46435 securities. The Exchange, therefore, (August 29, 2002), 67 FR 57046 (September 6, 2002) (File No. SR–CBOE–2002–47). 9 15 U.S.C. 78s(b)(3)(A). proposes to add the words ‘‘including 10 7 See Securities Exchange Act Release No. 48226 17 CFR 240.19b–4(f)(6). fixed income securities’’ to the (July 25, 2003), 68 FR 45298 (August 1, 2003) (File 11 See supra note 9. definition of ETFs. The proposed rule No. SR–ISE–2003–19). 12 See supra note 10. change will allow the listing of the 8 15 U.S.C. 78f(b)(5). 13 17 CFR 240.19b–4(f)(6)(iii).

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proposed rule change as effective and Consolidated Appropriations Act, 2000). Lieutenant Junior Grade Mary Stewart, operative immediately. The U.S. Advisory Commission on Commandant (G–MSO–4), U.S. Coast Public Diplomacy is a bipartisan Guard Headquarters, 2100 Second IV. Solicitation of Comments Presidentially appointed panel created Street, SW., Room 1601, Washington, Interested persons are invited to by Congress in 1948 to provide DC 20593–0001 or by calling (202) 267– submit written data, views and oversight of U.S. Government activities 2079. arguments concerning the foregoing, intended to understand, inform and including whether the proposal is Dated: March 1, 2004. influence foreign publics. The Steven D. Poulin, consistent with the Act. Persons making Commission reports its findings and written submissions should file six Executive Secretary, Shipping Coordinating recommendations to the President, the Committee, Department of State. copies thereof with the Secretary, Congress and the Secretary of State and [FR Doc. 04–5145 Filed 3–5–04; 8:45 am] Securities and Exchange Commission, the American people. Current 450 Fifth Street, NW., Washington, DC Commission members include Barbara BILLING CODE 4710–07–P 20549–0609. Comments may also be M. Barrett of Arizona, who is the submitted electronically at the following Chairman; Harold C. Pachios of Maine; DEPARTMENT OF STATE e-mail address: [email protected]. Ambassador Penne Percy Korth of All comment letters should refer to File Washington, DC; Ambassador Elizabeth Office of the Secretary No. SR–PCX–2004–06. The file number F. Bagley of Washington, DC; Charles should be included on the subject line ‘‘Tre’’ Evers III of Florida; Jay T. Snyder [Public Notice: 4648] if e-mail is used. To help the of New York; and Maria Sophia Aguirre Commission process and review your of Washington, DC. Removal of the Restriction on the Use comments more efficiently, comments For more information, please contact of United States Passports for Travel should be sent in hardcopy or by e-mail Matt J. Lauer at (202) 203–7880. To, In or Through Libya but not by both methods. Copies of the submission, all subsequent Dated: February 26, 2004. The restriction on the use of U.S. amendments, all written statements Matt J. Lauer, passports for travel to, in, or through with respect to the proposed rule Executive Director, U.S. Advisory Libya set forth in Public Notice 4542 of change that are filed with the Commission on Public Diplomacy, November 24, 2003 (68 FR 65981), is Commission, and all written Department of State. hereby revoked. communications relating to the [FR Doc. 04–5144 Filed 3–5–04; 8:45 am] The public notice shall be effective proposed rule change between the BILLING CODE 4710–11–P from the date of signature. Commission and any person, other than Dated: February 23, 2004. those that may be withheld from the Colin L. Powell, DEPARTMENT OF STATE public in accordance with the Secretary of State, Department of State. provisions of 5 U.S.C. 552, will be [Public Notice 4636] [FR Doc. 04–5146 Filed 3–5–04; 8:45 am] available for inspection and copying in the Commission’s Public Reference Shipping Coordinating Committee; BILLING CODE 4710–10–P Room. Notice of Change in Meeting Agenda Copies of such filing will also be available for inspection and copying at As announced in meeting notice 4609 DEPARTMENT OF TRANSPORTATION the principal office of the Exchange. All published on March 1, 2004, the submissions should refer to the File No. Shipping Coordinating Committee Federal Aviation Administration SR–PCX–2004–06 and should be (SHC) will conduct an open meeting at submitted by March 29, 2004. 9:30 a.m. on Tuesday, March 23rd, Notice of Intent to Request Renewal For the Commission, by the Division of 2004, in Room 2415 of the United States From the Office of Management and Market Regulation, pursuant to delegated Coast Guard Headquarters Building, Budget (OMB) of Seven Current Public authority.14 2100 2nd Street, SW., Washington, DC Collections of Information 20593–0001. The primary purpose of Jill M. Peterson, AGENCY: Federal Aviation the meeting is to prepare for the Assistant Secretary. Administration (FAA), DOT. upcoming 51st session of the Marine [FR Doc. 04–5115 Filed 3–5–04; 8:45 am] Environment Protection Committee ACTION: Notice. BILLING CODE 8010–01–P[FEDREG][VOL]*[/VOL][NO]*[/ (MEPC 51). Following discussion of the NO][DATE]*[/DATE][NOTICES] SUMMARY: In compliance with the agenda items related to MEPC 51, the Paperwork Reduction Act (44 U.S.C. SHC will discuss the outcome of the 3501 et seq.), the FAA invites public DEPARTMENT OF STATE Diplomatic Conference on Ballast Water comment on seven currently approved Management for Ships by the [Public Notice 4612] public information collections which International Maritime Organization will be submitted to OMB for renewal. (IMO) held at IMO Headquarters in U.S. Advisory Commission on Public London, England from February 9th to DATES: Comments must be received on Diplomacy; Notice of Meeting 13th, 2004. or before May 7, 2004. A closed meeting of the U.S. Advisory Documents associated with the ADDRESSES: Comments may be mailed Commission on Public Diplomacy will Diplomatic Conference will be available or delivered to the FAA at the following be held at the U.S. Department of State in Adobe Acrobat format on CD-ROM. address: Ms. Judy Street, Room 612, in Washington, DC on March 10, 2004 To request documents please write to Federal Aviation Administration, at 9 a.m. the address provided below or by Standards and Information Division, The Commission was reauthorized following the Internet link: http:// APF–100, 800 Independence Ave., SW., pursuant to Pub. L. 106–113 (H.R. 3194, www.uscg.mil/hq/g-m/mso/ Washington, DC 20591. imomepc.htm. Interested persons may FOR FURTHER INFORMATION CONTACT: Ms. 14 17 CFR 200.30–3(a)(12). seek information by writing to Judith D. Street at the above address, on

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(202) 267–9895, or by e-mail at: Turbine Engine Powered Airplanes. Date aspect of FAA’s regulatory activities. [email protected]. of manufacture and compliance status Neither publication of this notice nor SUPPLEMENTARY INFORMATION: In stamped on the nameplate of each the inclusion or omission of information accordance with the Paperwork turbojet engine permit rapid in the summary is intended to affect the Reduction Act of 1995, an agency may determination by FAA inspectors, legal status of any petition or its final not conduct or sponsor, and a person is owners, and operators whether an disposition. not required to respond to a collection engine can be legally installed and DATES: Comments on petitions received of information unless it displays a operated on an aircraft within the must identify the petition docket currently valid OMB control number. United States. The current estimated number involved and must be received Therefore, the FAA solicits comments annual reporting burden is 100 hours. on or before March 29, 2004. on the following current collections of 6. 2120–0569, Airports Grants ADDRESSES: information. Comments should evaluate Program. The FAA collects data from You may submit comments the necessity of the collection, the airport sponsors and planning agencies (identified by DOT DMS Docket Number accuracy of the agency’s estimate of the in order to administer the Airports FAA–200X–XXXXX) by any of the burden, the quality, utility, and clarity Grants Program. Data is used to following methods: • of the information to be collected, and determine eligibility, ensure proper use Web Site: http://dms.dot.gov. possible ways to minimize the burden of of Federal finds and ensure project Follow the instructions for submitting the collection. accomplishments. The current comments on the DOT electronic docket 1. 2120–0018, Certification estimated annual reporting burden is site. Procedures for Products and Parts FAR 67,714 hours. • Fax: 1–202–493–2251. 21. 14 CFR part 21 prescribes 7. 2120–0631, Terrain Awareness and • Mail: Docket Management Facility; certification procedures for aircraft, Warning System (TAWS). This rule U.S. Department of Transportation, 400 aircraft engines, propellers, products mandates that all turbine powered Seventh Street, SW., Nassif Building, and parts. The information collected is airplanes of 6 or more passenger seating Room PL–401, Washington, DC 20590– used to determine compliance and carry a Terrain Awareness and Warning 001. applicant eligibility. The respondents System (TAWS). TAWS is a passive, • Hand Delivery: Room PL–401 on are aircraft parts designers, electronic safety device located in the the plaza level of the Nassif Building, manufacturers, and aircraft owners. The airplane’s avionics bay. TAWS alerts 400 Seventh Street, SW., Washington, current estimated annual reporting pilots when there is terrain the DC, between 9 am and 5 pm, Monday burden is 44,101 hours. airplane’s flight path. Since this is a through Friday, except Federal 2. 2120–0022, Certificate: Mechanics, 100% passive and electronic collection, Holidays. Repairmen, Parachute Riggers, and the estimated annual hourly reporting • Federal eRulemaking Portal: Go to Inspection Authorizations—FAR Part burden is estimated at the minimum of http://www.regulations.gov. Follow the 65. Title 49 U.S.C. sections 44702 and 1 hour. online instructions for submitting 44703 authorize the issuance of airman Issued in Washington, DC on March 2, comments. certificates. FAR part 65 prescribes 2004. Docket: For access to the docket to requirements for mechanics, repairmen, Judith D. Street, read background documents or parachute riggers, and inspection FAA Information Collection Clearance comments received, go to http:// authorizations. The information Officer, APF–100. collected shows applicant eligibility for dms.dot.gov at any time or to Room PL– [FR Doc. 04–5151 Filed 3–5–04; 8:45 am] certification. The current estimated 401 on the plaza level of the Nassif annual reporting burden is 34,432 BILLING CODE 4910–13–M Building, 400 Seventh Street, SW., hours. Washington, DC, between 9 am and 5 pm, Monday through Friday, except 3. 2120–0056, Report of Inspections DEPARTMENT OF TRANSPORTATION Required by Airworthiness Directives, 14 Federal Holidays. CFR Part 39. Airworthiness directives Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: Tim are regulations issued to require action Adams (202) 267–8033, Sandy to correct unsafe conditions in aircraft, [Summary Notice No. PE–2004–13] Buchanan-Sumter (202) 267–7271, engines, propellers, and appliances. Petitions for Exemption; Summary of Office of Rulemaking (ARM–1), Federal Reports of inspections are often needed Petitions Received Aviation Administration, 800 when emergency corrective action is Independence Avenue, SW., taken to determine if the action was AGENCY: Federal Aviation Washington, DC 20591. adequate for the unsafe condition. The Administration (FAA), DOT. This notice is published pursuant to respondents are aircraft owners and ACTION: Notice of petitions for 14 CFR 11.85 and 11.91. operators. The current estimated annual exemption received and of dispositions Issued in Washington, DC, on March 3, reporting burden is 2,144 hours. of prior petitions. 2004. 4. 2120–0067, Air Taxi and Commercial Operator Activity Survey. SUMMARY: Pursuant to FAA’s rulemaking Donald P. Byrne, Enplanement data collected from air provisions governing the application, Assistant Chief Counsel for Regulations. taxi and commercial operators are processing, and disposition of petitions Petitions for Exemption required for the calculation of air carrier for exemption part 11 of Title 14, Code sponsor apportionments as specified by of Federal Regulations (14 CFR), this Docket No.: FAA–2004–16911. the Airport Improvement Program (AIP), notice contains a summary of certain Petitioner: American Airlines, Inc. and 49 U.S.C. part A Air Commerce petitions seeking relief from specified Section of 14 CFR Affected: 14 CFR Safety, and part B, Airport Development requirements of 14 CFR, dispositions of 121.434(c)(1) and (2). and Noise. The current estimated certain petitions previously received, Description of Relief Sought: To annual reporting burden is 750 hours. and corrections. The purpose of this permit an American Airlines, Inc., 5. 2120–0508, Fuel Venting and notice is to improve the public’s check airman to take a rest period Exhaust Emission Requirements for awareness of, and participation in, this during the cruise portion of a flight leg

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in which the check airman is observing present oral statements at the meeting or comments. Comments should also state the operating experience of a qualifying may present written statements to the the commenter’s interest in the waiver pilot. committee at any time. Arrangements application, and address the waiver [FR Doc. 04–5150 Filed 3–5–04; 8:45 am] may be made by contacting the person criteria given in § 388.4 of MARAD’s BILLING CODE 4910–13–P listed under the heading FOR FURTHER regulations at 46 CFR Part 388. INFORMATION CONTACT. DATES: Submit comments on or before Sign and oral interpretation can be April 7, 2004. DEPARTMENT OF TRANSPORTATION made available at the meeting, as well ADDRESSES: Comments should refer to as an assistive listening device, if docket number MARAD–2004–17231. Federal Aviation Administration requested 10 calendar days before the Written comments may be submitted by meeting. If you are in need of assistance hand or by mail to the Docket Clerk, Aviation Rulemaking Advisory or require a reasonable accommodation Committee Meeting on Air Carrier U.S. DOT Dockets, Room PL–401, for this event, please contact the person Department of Transportation, 400 7th Operations FOR FURTHER INFORMATION listed under St., SW., Washington, DC 20590–0001. AGENCY: Federal Aviation CONTACT. You may also send comments Administration (FAA), DOT. Issued in Washington, DC on March 2, electronically via the Internet at http:// ACTION: Notice of meeting. 2004. dmses.dot.gov/submit/. All comments Matthew J. Schack, will become part of this docket and will SUMMARY: The FAA is issuing this notice Assistant Executive Director for Air Carrier be available for inspection and copying to advise the public of a meeting of the Operations, Aviation Rulemaking Advisory at the above address between 10 a.m. Federal Aviation Administration Committee. and 5 p.m., e.t., Monday through Friday, Aviation Rulemaking Advisory [FR Doc. 04–5162 Filed 3–5–04; 8:45 am] except federal holidays. An electronic Committee to discuss air carrier BILLING CODE 4910–13–P version of this document and all operations issues. documents entered into this docket is DATES: The meeting will be held on available on the World Wide Web at March 23, 2004, at 1 p.m. DEPARTMENT OF TRANSPORTATION http://dms.dot.gov. ADDRESSES: The meeting will be held in Maritime Administration FOR FURTHER INFORMATION CONTACT: Conference Room 806, Federal Office Michael Hokana, U.S. Department of Building 10A (the ‘‘FAA Building’’), 800 [Docket Number: MARAD–2004–17231] Transportation, Maritime Independence Ave., SW., Washington, Administration, MAR–830 Room 7201, Requested Administrative Waiver of DC, 20591. 400 Seventh Street, SW., Washington, the Coastwise Trade Laws FOR FURTHER INFORMATION CONTACT: DC 20590. Telephone 202–366–0760. Linda Williams, Office of Rulemaking, AGENCY: Maritime Administration, SUPPLEMENTARY INFORMATION: As 800 Independence Avenue, SW., Department of Transportation. described by the applicant the intended Washington, DC 20591, telephone (202) ACTION: Invitation for public comments service of the vessel GREY GHOST is: 267–9685. on a requested administrative waiver of Intended Use: ‘‘Charter Fishing.’’ SUPPLEMENTARY INFORMATION: Pursuant the Coastwise Trade Laws for the vessel Geographic Region: The Northeastern to section 10(a)(2) of the Federal GREY GHOST. U.S. from New Jersey to Maine. Advisory Committee Act (Pub. L. 92– Dated: March 3, 2004. SUMMARY: As authorized by Public Law 463, 5 U.S.C. App II), notice is hereby By Order of the Maritime Administrator. given of a meeting of the Aviation 105–383 and Public Law 107–295, the Joel C. Richard, Rulemaking Advisory Committee on Air Secretary of Transportation, as Carrier Operations to be held on March represented by the Maritime Secretary, Maritime Administration. 23, 2004. Administration (MARAD), is authorized [FR Doc. 04–5118 Filed 3–5–04; 8:45 am] The agenda will include a report from to grant waivers of the U.S.-build BILLING CODE 4910–81–P the All Weather Operations Working requirement of the coastwise laws under Group. As tasked by ARAC, the Working certain circumstances. A request for Group is to harmonize positions on such a waiver has been received by DEPARTMENT OF TRANSPORTATION MARAD. The vessel, and a brief issues related to low-visibility Research and Special Programs description of the proposed service, is operations. The ARAC Working Group Administration will identify harmonization issues in listed below. The complete application the following areas and will work to is given in DOT docket 2004–17231 at [Docket No. RSPA–2004–16964 (Notice No. reach and document consensus on those http://dms.dot.gov. Interested parties 04–1)] issues: Maintenance of harmonization of may comment on the effect this action all weather operations criteria based on may have on U.S. vessel builders or Information Collection Activities experience gained from recent businesses in the U.S. that use U.S.-flag AGENCY: Research and Special Programs certification programs and operations; vessels. If MARAD determines, in Administration. evolution of criteria to support Global accordance with Public Law 105–383 ACTION: Notice and request for Navigation Satellite System Landing and MARAD’s regulations at 46 CFR comments. Systems (GLS); new technologies that Part 388 (68 FR 23084; April 30, 2003), are being applied to low visibility that the issuance of the waiver will have SUMMARY: In accordance with the operations; and complete harmonization an unduly adverse effect on a U.S.- Paperwork Reduction Act of 1995, the of operating minima criteria and vessel builder or a business that uses Research and Special Programs implementation processes. U.S.-flag vessels in that business, a Administration (RSPA, we) invites Attendance is open to the interested waiver will not be granted. Comments comments on certain information public but may be limited by the space should refer to the docket number of collections pertaining to hazardous available. Members of the public must this notice and the vessel name in order materials transportation for which RSPA make arrangements in advance to for MARAD to properly consider the intends to request renewal from the

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Office of Management and Budget SUPPLEMENTARY INFORMATION: Section tank owners, operators and users, and (OMB). 1320.8 (d), title 5, Code of Federal DOT compliance personnel to verify DATES: Interested persons are invited to Regulations requires RSPA to provide that the cargo tanks are requalified, submit comments on or before May 7, the public and affected agencies an maintained and are in proper condition 2004. opportunity to comment on information for the transportation of hazardous ADDRESSES: You may submit comment collection and recordkeeping requests. materials in accordance with the HMR. by any of the following methods: This notice identifies information (3) Manufacturers’ data reports, • Web site: http://dms.dot.gov. collections RSPA is submitting to OMB certificates and related papers: These Follow the instructions for submitting for renewal and extension. These reports are prepared by cargo tank comments on the Department of collections are contained in 49 CFR manufacturers and certifiers, and are Transportation (DOT) electronic docket parts 110 and 130 and the Hazardous used by cargo tank owners, operators, site. Materials Regulations (HMR; 49 CFR users and DOT compliance personnel to • Fax: 1–202–493–2251. parts 171–180). RSPA has revised verify that a cargo tank motor vehicle • Mail: Docket Management System, burden estimates, where appropriate, to was designed and constructed to meet U.S. Department of Transportation, 400 reflect current reporting levels or all requirements of the applicable Seventh St., SW., Washington, DC adjustments based on changes in specification. 20590–0001. proposed or final rules published since Affected Public: Manufacturers, • Hand delivery: To the Docket the information collections were last assemblers, repairers, requalifiers, Management System, Room PL–401 on approved. The following information is certifiers and owners of cargo tanks. the Plaza Level of the Nassif Building, provided for each information Annual Reporting and Recordkeeping 400 Seventh Street, SW., Washington, collection: (1) Title of the information Burden: Number of Respondents: 41,366. DC between 9 a.m. and 5 p.m. Monday collection, including former title if a change is being made; (2) OMB control Total Annual Responses: 132,600. through Friday, except Federal holidays. Total Annual Burden Hours: 102,021. Instructions: You must include the number; (3) summary of the information collection activity; (4) description of Frequency of Collection: Periodically. agency name and docket number RSPA– Title: Inspection and Testing of 2004–16964 (Notice No. 04–1) for this affected public; (5) estimate of total annual reporting and recordkeeping Portable Tanks and Intermediate Bulk notice at the beginning of your Containers. comment. Comments are to be burden; and (6) frequency of collection. RSPA will request a three-year term of OMB Control Number: 2137–0018. submitted in duplicate. Persons wishing Summary: This information collection approval for each information collection to receive confirmation of receipt of consolidates provisions for activity and, when approved by OMB, their comments must include a self- documenting qualifications, publish notice of the approval in the addressed stamped postcard. Internet inspections, tests and approvals users may access all comments received Federal Register. RSPA requests comments on the pertaining to the manufacture and use of by the Department of Transportation at following information collections: portable tanks and intermediate bulk http://dms.dot.gov. Note that all Title: Requirements for Cargo Tanks. containers under various provisions of comments received will be posted OMB Control Number: 2137–0014. the HMR. It is necessary to ascertain without change to http://dms.dot.gov Summary: This information collection whether portable tanks and intermediate including any personal information consolidates and describes the bulk containers have been qualified, provided. Please see the Privacy Act information collection provisions in inspected and retested in accordance section of this document. parts 178 and 180 of the HMR involving with the HMR. The information is used Docket: You may view the public the manufacture, qualification, to verify that certain portable tanks and docket through the Internet at http:// maintenance and use of all specification intermediate bulk containers meet dms.dot.gov or in person at the Docket cargo tank motor vehicles. It also required performance standards prior to Management System office at the includes the information collection and their being authorized for use, and to address listed above. recordkeeping requirements for persons document periodic requalification and Direct requests for a copy of an who are engaged in the manufacture, testing to ensure the packagings have information collection to Deborah assembly, requalification and not deteriorated due to age or physical Boothe or T. Glenn Foster, at the U.S. maintenance of DOT specification cargo abuse to a degree that would render Department of Transportation, Office of tank motor vehicles. The types of them unsafe for the transportation of Hazardous Materials Standards (DHM– information collected include: hazardous materials. Applicable 10), 400 Seventh St., SW., Washington, (1) Registration statements: Cargo tank sections are as follows: § 173.32— DC 20590–0001. manufacturers and repairers, and cargo requirements for the use of portable FOR FURTHER INFORMATION CONTACT: tank motor vehicle assemblers are tanks; § 173.35—hazardous materials in Deborah Boothe or T. Glenn Foster, required to register with DOT by intermediate bulk containers; § Office of Hazardous Materials Standards furnishing information relative to their 178.245–6—certification markings for (DHM–10) at the address listed above. qualifications to perform the functions DOT–51 portable tanks; § 178.245–7— Privacy Act: Anyone is able to search in accordance with the HMR. The manufacturer’s data report for DOT–51 the electronic form of all comments registration statements are used by DOT portable tanks: § 178.255–14— received into any of our dockets by the to ensure that these persons possess the certification markings for DOT–60 name of the individual submitting the knowledge and skills necessary to portable tanks; § 178.255–15— comment (or signing the comment, if perform the required functions and that manufacturer’s data report for DOT–60 submitted on behalf of an association, they are performing the specified portable tanks; § 178.270–14— business, labor union, etc.). You may functions in accordance with the certification marking of IM portable review DOT’s complete Privacy Act applicable regulations. tanks; § 178.801—testing, retesting and Statement in the Federal Register (2) Requalification and maintenance recordkeeping for intermediate bulk published on April 11, 2000 (volume 65, reports: These reports are prepared by containers; and § 180.352—periodic number 70, pages 19477–78) or you may persons who requalify or maintain cargo retests and inspections for intermediate visit http://dms.dot.gov. tanks. This information is used by cargo bulk containers.

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Affected Public: Manufacturers and Title: Testing Requirements for Non- manage hazardous materials owners of portable tanks and bulk Packaging. emergencies, particularly those intermediate bulk containers. OMB Control Number: 2137–0572. involving transportation. Sections in Recordkeeping: Summary: Detailed packaging this part address information collection Number of Respondents: 8,770. manufacturing specifications have been and recordkeeping with regard to Total Annual Responses: 86,100. replaced by a series of performance tests applying for grants, monitoring Total Annual Burden Hours: 66,390. that a non-bulk packaging must be expenditures, and reporting and Frequency of collection: On occasion. capable of passing before it is requesting modifications. Title: Hazardous Materials Incident authorized to be used for transporting Affected Public: State and local Reports. hazardous materials. The HMR require governments, Indian tribes. OMB Control Number: 2137–0039. proof that packagings meet these testing Annual Reporting and Recordkeeping: Summary: This collection is requirements. Manufacturers must Annual Respondents: 66. applicable when an incident occurs in retain records of design qualification Annual Responses: 66. transportation as prescribed in § § tests and periodic retests. Manufacturers Annual Burden Hours: 4,082. 171.15 and 171.16 of the HMR. A must notify, in writing, persons to Frequency of collection: On occasion. Hazardous Materials Incident Report, whom packagings are transferred of any Title: Response Plans for Shipments DOT Form F 5800.1, must be completed specification requirements that have not of Oil. by the person in physical possession of been met at the time of transfer; and the OMB Control Number: 2137–0591. the hazardous material at the time a type and dimensions of any closures, Summary: In recent years, several hazardous material incident occurs in including gaskets, needed to satisfy major oil discharges have damaged the transportation, such as a release of performance test requirements. marine environment of the United materials, serious accident, evacuation, Subsequent distributors must also States. Under the authority of the or closure of a major transportation provide written notification. Federal Water Pollution Control Act, as artery. Incidents meeting criteria in § Performance-oriented packaging amended by the Oil Pollution Act of 171.15 also require a telephonic report. standards allow manufacturers and 1990, RSPA issued regulations in 49 This information collection enhances shippers much greater flexibility in CFR part 130 that require preparation of the Department’s ability to evaluate the selecting more economical packagings. written spill response plans. effectiveness of its regulatory program, Affected Public: Each non-bulk Affected Public: Carriers that determine the need for regulatory packaging manufacturer that tests transport oil in bulk, by motor vehicle changes, and address emerging packagings to ensure compliance with or rail. hazardous materials transportation the HMR and subsequent distributors. Annual Reporting and Recordkeeping: safety issues. The requirements apply to Annual Reporting and Recordkeeping: Annual Respondents: 8,000. all interstate and intrastate carriers Annual Respondents: 5,000. Annual Responses: 8,000. engaged in the transportation of Annual Responses: 15,000. Annual Burden Hours: 10,560. hazardous materials by rail, air, water, Annual Burden Hours: 30,000. Frequency of collection: On occasion. and highway. Frequency of collection: On occasion. Title: Cargo Tank Motor Vehicles in Affected Public: Person in physical Title: Container Certification Liquefied Compressed Gas Service. possession of a hazardous material at Statement. OMB Control Number: 2137–0595. the time an incident occurs in OMB Control Number: 2137–0582. Summary: These information transportation. Summary: Shippers of explosives, in collection and recordkeeping Annual Reporting and Recordkeeping: freight containers or transport vehicles requirements pertain to the Number of Respondents: 1,781. by vessel, are required to certify on manufacture, certification, inspection, Total Annual Responses: 17,810. shipping documentation that the freight repair, maintenance, and operation of Total Annual Burden Hours: 23,746. container or transport vehicle meets DOT specification MC 330, MC 331, and Frequency of collection: On occasion. minimal structural serviceability certain nonspecification cargo tank Title: Flammable Cryogenic Liquids. requirements. This requirement is motor vehicles used to transport OMB Control Number: 2137–0542. intended to ensure an adequate level of liquefied compressed gases. These Summary: Paragraph (h) of § 177.840 safety for transport of explosives aboard information collection and specifies certain safety procedures and vessel and ensure consistency with recordkeeping requirements are documentation requirements for drivers similar requirements in international intended to ensure certain cargo tank of these motor vehicles. Provisions in § standards. motor vehicles used to transport 177.840(l) of the HMR require the Affected Public: Shippers of liquefied compressed gases are operated carriage on a motor vehicle of written explosives in freight containers or safely, and to minimize the potential for procedures for venting flammable transport vehicles by vessel. catastrophic releases during unloading cryogenic liquids and for emergency Annual Reporting and Recordkeeping: and loading operations. They include: response. These requirements are Annual Respondents: 650. (1) Requirements for operators of cargo intended to ensure a high level of safety Annual Responses: 890,000 HM tank motor vehicles in liquefied when transporting flammable containers & 4,400 explosive containers. compressed gas service to develop cryogenics, which are characterized by Annual Burden Hours: 14,908. operating procedures applicable to extreme flammability and high Frequency of collection: On occasion. unloading operations and carry the compression ratio when in a liquid Title: Hazardous Materials Public operating procedures on each vehicle; state. Sector Training and Planning Grants. (2) inspection, maintenance, marking Affected Public: Carriers of cryogenic OMB Control Number: 2137–0586. and testing requirements for the cargo materials. Summary: Part 110 of 49 CFR sets tank discharge system, including Annual Reporting and Recordkeeping: forth the procedures for reimbursable delivery hose assemblies; and (3) Total Respondents: 65. grants for public sector planning and requirements for emergency discharge Total Annual Responses:18,200. training in support of the emergency control equipment on certain cargo tank Total Annual Burden Hours: 1,213. planning and training efforts of States, motor vehicles transporting liquefied Frequency of collection: On occasion. Indian tribes and local communities to compressed gases that must be installed

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and certified by a Registered Inspector. Form Number: Form 8612. DEPARTMENT OF THE TREASURY (See sections 180.416(b)(d)(f); Abstract: Form 8612 is used by real Internal Revenue Service 180.405;180.407(h); 177.840(l); and estate investment trusts to compute and 173.315(n)). pay the excise tax on undistributed Affected Public: Carriers in liquefied Proposed Collection; Comment income imposed under section 4981 of Request for Form 8328 compressed gas service, manufacturers the Internal Revenue Code. The IRS uses and repairers. the information to verify that the correct AGENCY: Internal Revenue Service (IRS), Annual Reporting and Recordkeeping: amount of tax has been reported. Treasury. Annual Respondents: 6,958. ACTION: Notice and request for Annual Responses: 965,596. Current Actions: There are no changes comments. Annual Burden Hours: 200,615. being made to the form at this time. Frequency of collection: On occasion. Type of Review: Extension of a SUMMARY: The Department of the Issued in Washington, DC on March 2, currently approved collection. Treasury, as part of its continuing effort 2004. Affected Public: Business or other for- to reduce paperwork and respondent Edward T. Mazzullo, profit organizations. burden, invites the general public and Director, Office of Hazardous Materials other Federal agencies to take this Estimated Number of Respondents: opportunity to comment on proposed Standards. 20. [FR Doc. 04–5100 Filed 3–5–04; 8:45 am] and/or continuing information Estimated Time Per Respondent: 9 BILLING CODE 4910–60–P collections, as required by the hours, 45 minutes. Paperwork Reduction Act of 1995, Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. DEPARTMENT OF THE TREASURY Hours: 196. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Form The following paragraph applies to all 8328, Carryforward Election of Unused Internal Revenue Service of the collections of information covered Private Activity Bond Volume Cap. by this notice: Proposed Collection; Comment DATES: Written comments should be Request for Form 8612 An agency may not conduct or received on or before May 7, 2004 to be sponsor, and a person is not required to assured of consideration. AGENCY: Internal Revenue Service (IRS), respond to, a collection of information Treasury. ADDRESSES: Direct all written comments unless the collection of information to Glenn Kirkland, Internal Revenue ACTION: Notice and request for displays a valid OMB control number. Service, room 6411, 1111 Constitution comments. Books or records relating to a collection Avenue NW., Washington, DC 20224. of information must be retained as long SUMMARY FOR FURTHER INFORMATION CONTACT: : The Department of the as their contents may become material Treasury, as part of its continuing effort in the administration of any internal Requests for additional information or to reduce paperwork and respondent revenue law. Generally, tax returns and copies of the form and instructions burden, invites the general public and tax return information are confidential, should be directed to Allan Hopkins, at other Federal agencies to take this as required by 26 U.S.C. 6103. (202) 622–6665, or at Internal Revenue opportunity to comment on proposed Service, room 6407, 1111 Constitution and/or continuing information Request for Comments: Comments Avenue NW., Washington, DC 20224, or collections, as required by the submitted in response to this notice will through the Internet, at Paperwork Reduction Act of 1995, be summarized and/or included in the [email protected]. Public Law 104–13 (44 U.S.C. request for OMB approval. All SUPPLEMENTARY INFORMATION: 3506(c)(2)(A)). Currently, the IRS is comments will become a matter of Title: Carryforward Election of soliciting comments concerning Form public record. Comments are invited on: Unused Private Activity Bond Volume 8612, Return of Excise Tax on (a) Whether the collection of Cap. Undistributed Income of Real Estate information is necessary for the proper OMB Number: 1545–0874. Investment Trusts. performance of the functions of the Form Number: Form 8328. agency, including whether the DATES: Written comments should be Abstract: Internal Revenue Code information shall have practical utility; received on or before May 7, 2004 to be section 4146(f) requires that an annual (b) the accuracy of the agency’s estimate assured of consideration. volume limit be placed on the amount of the burden of the collection of of private activity bonds issued by each ADDRESSES: Direct all written comments information; (c) ways to enhance the State. Code section 146(f)(3) provides to Glenn Kirkland, Internal Revenue quality, utility, and clarity of the that the unused amount of the private Service, room 6411, 1111 Constitution information to be collected; (d) ways to activity bonds for specific programs can Avenue, NW., Washington, DC 20224. minimize the burden of the collection of be carried forward for 3 years depending FOR FURTHER INFORMATION CONTACT: information on respondents, including on the type of project. In order to carry Requests for additional information or through the use of automated collection forward the unused amount of the copies of the form and instructions techniques or other forms of information private activity bond, an irrevocable should be directed to Larnice Mack at technology; and (e) estimates of capital election can be made by the issuing Internal Revenue Service, room 6407, or start-up costs and costs of operation, authority. Form 8328 allows the issuer 1111 Constitution Avenue NW., maintenance, and purchase of services to execute the carryforward election. Washington, DC 20224, or at (202) 622– to provide information. Current Actions: There are no changes 3179, or through the Internet at Approved: February 27, 2004. being made to the form at this time. ([email protected]). Type of Review: Extension of a Glenn Kirkland, SUPPLEMENTARY INFORMATION: Title: currently approved collection. Return of Excise Tax on Undistributed IRS Reports Clearance Officer. Affected Public: Business or other for- Income of Real Estate Investment Trusts. [FR Doc. 04–5155 Filed 3–5–04; 8:45 am] profit organizations and individuals or OMB Number: 1545–1013. BILLING CODE 4830–01–P households.

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Estimated Number of Respondents: DEPARTMENT OF THE TREASURY Type of Review: Extension of a 10,000. currently approved collection. Internal Revenue Service Estimated Time Per Respondent: 13 Affected Public: Business or other for- hours, 13 minutes. profit organizations and individuals or Proposed Collection; Comment households. Estimated Total Annual Burden Request for Form 1363 Estimated Number of Respondents: Hours: 132,200. AGENCY: Internal Revenue Service (IRS), 100,000. The following paragraph applies to all Treasury. Estimated Time Per Respondent: 4 of the collections of information covered ACTION: Notice and request for hours, 30 minutes. by this notice: comments. Estimated Total Annual Burden An agency may not conduct or Hours: 450,000. SUMMARY: The Department of the The following paragraph applies to all sponsor, and a person is not required to Treasury, as part of its continuing effort of the collections of information covered respond to, a collection of information to reduce paperwork and respondent by this notice: unless the collection of information burden, invites the general public and An agency may not conduct or displays a valid OMB control number. other Federal agencies to take this sponsor, and a person is not required to Books or records relating to a collection opportunity to comment on proposed respond to, a collection of information of information must be retained as long and/or continuing information unless the collection of information as their contents may become material collections, as required by the displays a valid OMB control number. in the administration of any internal Paperwork Reduction Act of 1995, Books or records relating to a collection revenue law. Generally, tax returns and Public Law 104–13 (44 U.S.C. of information must be retained as long tax return information are confidential, 3506(c)(2)(A)). Currently, the IRS is as their contents may become material as required by 26 U.S.C. 6103. soliciting comments concerning Form in the administration of any internal 1363, Export Exemption Certificate. Request for Comments: Comments revenue law. Generally, tax returns and submitted in response to this notice will DATES: Written comments should be tax return information are confidential, be summarized and/or included in the received on or before May 7, 2004 to be as required by 26 U.S.C. 6103. assured of consideration. request for OMB approval. All Request for Comments: Comments comments will become a matter of ADDRESSES: Direct all written comments submitted in response to this notice will to Glenn Kirkland, Internal Revenue public record. Comments are invited on: be summarized and/or included in the Service, room 6411, 1111 Constitution (a) Whether the collection of request for OMB approval. All Avenue, NW., Washington, DC 20224. comments will become a matter of information is necessary for the proper FOR FURTHER INFORMATION CONTACT: public record. Comments are invited on: performance of the functions of the Requests for additional information or (a) Whether the collection of agency, including whether the copies of the form and instructions information is necessary for the proper information shall have practical utility; should be directed to Allan Hopkins, at performance of the functions of the (b) the accuracy of the agency’s estimate (202) 622–6665, or at Internal Revenue agency, including whether the of the burden of the collection of Service, room 6407, 1111 Constitution information shall have practical utility; information; (c) ways to enhance the Avenue, NW., Washington, DC 20224, (b) the accuracy of the agency’s estimate quality, utility, and clarity of the or through the Internet, at of the burden of the collection of information to be collected; (d) ways to [email protected]. information; (c) ways to enhance the minimize the burden of the collection of SUPPLEMENTARY INFORMATION: Title: quality, utility, and clarity of the information on respondents, including Export Exemption Certificate. information to be collected; (d) ways to through the use of automated collection OMB Number: 1545–0685. minimize the burden of the collection of techniques or other forms of information Form Number: Form 1363. information on respondents, including technology; and (e) estimates of capital Abstract: Internal Revenue Code through the use of automated collection or start-up costs and costs of operation, section 427(b)(2) exempts exported techniques or other forms of information maintenance, and purchase of services property from the excise tax on technology; and (e) estimates of capital to provide information. transportation of property. Regulation § or start-up costs and costs of operation, 49.4271–1(d)(2) authorizes the filing of maintenance, and purchase of services Approved: March 1, 2004. Form 1363 by the shipper to request tax to provide information. Glenn Kirkland, exemption for a shipment or a series of Approved: March 1, 2004. IRS Reports Clearance Officer. shipments. The information on the form Glenn Kirkland, [FR Doc. 04–5157 Filed 3–5–04; 8:45 am] is used by the IRS to verify shipments IRS Reports Clearance Officer. BILLING CODE 4830–01–P of property made tax-free. Current Actions: There are no changes [FR Doc. 04–5158 Filed 3–5–04; 8:45 am] being made to the form at this time. BILLING CODE 4830–01–P

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Part II

Department of Health and Human Services Substance Abuse and Mental Health Services Administration

Notice of Republication of SAMHSA’s Standard Grant Announcements; Notices

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DEPARTMENT OF HEALTH AND announcements must be used in • Note any specific program HUMAN SERVICES conjunction with separate Notices of requirements for each funding Funding Availability (NOFAs) that will opportunity, and Substance Abuse and Mental Health provide application due dates and other • Include any limitations or Services Administration key dates for specific SAMHSA grant exceptions to the general provisions in funding opportunities. the standard announcement. Notice of Republication of SAMHSA’s Applicants will need to have both the ADDRESSES: Questions about SAMHSA’s Standard Grant Announcements NOFA and the appropriate standard standard grant announcements may be announcement to prepare their AGENCY: Substance Abuse and Mental directed to Cathy Friedman, M.A., applications. Both documents will be Health Services Administration, HHS. Office of Policy, Planning and Budget, provided, along with application ACTION: Notice of republication of 5600 Fishers Lane, Room 12C–26, materials, in the application kits SAMHSA’s standard grant Rockville, Maryland 20857. Fax: (301– available from SAMHSA’s announcements. 594–6159). E-mail: clearinghouses as well as on SAMHSA’s [email protected]. SUMMARY: This is a republication of the Web site. SAMHSA’s clearinghouse for Substance Abuse and Mental Health FOR FURTHER INFORMATION CONTACT: the Center for Mental Health Services Services Administration’s standard Cathy Friedman, M.A., Office of Policy, (CMHS) is the National Mental Health grant announcements for Services Planning and Budget, 5600 Fishers Information Center, which can be Grants, Infrastructure Grants, Best Lane, Room 12C–26, Rockville, reached at 1–800–789–2647. The Practices Planning and Implementation Maryland 20857. Fax: (301–594–6159) clearinghouse for the Center for Grants, and Service to Science Grants. E-mail: [email protected]. Phone: Substance Abuse Treatment (CSAT) and These announcements were previously (301) 443–6092. Center for Substance Abuse Prevention published November 21, 2003. The SUPPLEMENTARY INFORMATION: Starting in (CSAP) is the National Clearinghouse primary purpose of this republication is FY 2004, SAMHSA is changing its for Alcohol and Drug Information to revise the criteria used to screen out approach to announcing and soliciting (NCADI), which can be reached at 1– applications from peer review. applications for its discretionary grants. 800–729–6686. Motivated by the need to assure SAMHSA will publish four standard SAMHSA anticipates that the four equitable opportunity and a ‘‘level grant announcements that will describe standard grant announcements will be playing field’’ to all applicants, the general program design and provide used for the majority of its grant funding SAMHSA believes the screening criteria application instructions for four types of opportunities. However, there will be common to those announcements will grants—Services Grants, Infrastructure some funding opportunities that do not not best serve the public unless revised Grants, Best Practices Planning and fit the standard announcements. In and republished. This republication Implementation Grants, and Service-to- those instances, separate stand-alone makes those criteria more lenient, Science Grants. These standard grant grant announcements will be published permitting a greater number of announcements will be posted on and provided to applicants as they have applications to be reviewed. The SAMHSA’s web page and will be been in the past (i.e., in the Federal revisions to the criteria can be found, in available from SAMHSA’s Register, on the SAMHSA Web site, on their entirety, in: Section IV, clearinghouses on an ongoing basis. The the Federal grants Web site, and through Application and Submission standard announcements will be used in SAMHSA’s clearinghouses). Information; and Appendix A, Checklist conjunction with brief Notices of Dated: February 26, 2004. for Formatting Requirements and Funding Availability (NOFAs) that will Daryl Kade, Screenout Criteria for SAMHSA Grant announce the availability of funds for Director, Office of Policy, Planning and Applications. Additional references to specific grant funding opportunities Budget, Substance Abuse and Mental Health the criteria elsewhere in the text have within each of the standard grant Services Administration. been changed to be consistent with the programs (e.g., Homeless Treatment [FR Doc. 04–4690 Filed 3–5–04; 8:45 am] revised criteria in Section IV and grants, Statewide Family Network BILLING CODE 4162–20–P Appendix A. grants, HIV/AIDS and Substance Abuse Authority: Sections 509, 516, and 520A of Prevention Planning Grants, etc.). the Public Health Service Act. The Notices of Funding Availability DEPARTMENT OF HEALTH AND In addition, this republication (NOFAs) announcing the availability of HUMAN SERVICES includes an additional award criterion funds for specific grant funding Substance Abuse and Mental Health in Section V, updated agency contact opportunities will be published Services Administration information in Section VII, and minor separately in the Federal Register, and technical changes to comply with the posted on the Federal grants Web site formatting requirements for Notice of Republication of Standard (http://www.grants.gov) and on the Services Grants Announcement announcement of Federal funding SAMHSA Web site (http:// opportunities, as specified by the Office www.samhsa.gov). The NOFAs will: AGENCY: Substance Abuse and Mental of Management and Budget. • Identify any specific target Health Services Administration, HHS. The aforementioned are the only population or issue for the specific grant ACTION: Notice of republication of changes SAMHSA has made to the four funding opportunity, standard services grants announcement. standard grant announcements in this • republication. This notice is followed by Identify which of the four standard SUMMARY: On November 21, 2003, the four notices that provide the revised and announcements applicants must use to Substance Abuse and Mental Health final text for SAMHSA’s four standard prepare their applications, Services Administration published announcements. • Specify total funding available for standard grant announcements for DATES: Use of the standard grant the first year of the grants and the Services Grants, Infrastructure Grants, announcements will be effective March expected size and number of awards, Best Practices Planning and 8, 2004. The standard grant • Specify the application deadline, Implementation Grants, and Service to

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Science Grants. The primary purpose of criteria used to screen out applications Table of Contents this republication is to revise the criteria from peer review more lenient, I. Funding Opportunity Description used to screen out applications from permitting a greater number of 1. Introduction peer review. Motivated by the need to applications to be reviewed. This 2. Expectations assure equitable opportunity and a republication also includes an II. Award Information ‘‘level playing field’’ to all applicants, additional award criterion in Section V, 1. Award Amount SAMHSA believes the screening criteria updated agency contact information in 2. Funding Mechanism III. Eligibility Information in these announcements will not best Section VII, and minor technical 1. Eligible Applicants serve the public unless revised and changes to comply with the formatting 2. Cost Sharing republished. This is a republication of requirements for announcement of 3. Other the Services Grants announcement. This Federal funding opportunities, as IV. Application and Submission Information republication makes those criteria more specified by the Office of Management 1. Address to Request Application Package lenient, permitting a greater number of and Budget. The text for the republished 2. Content and Form of Application applications to be reviewed. The standard Services Grants announcement Submission revisions to the criteria can be found, in is provided below. 3. Submission Dates and Times 4. Intergovernmental Review (E.O. 12372) their entirety, in: Section IV, The standard Services Grants Requirements Application and Submission announcement will be posted on 5. Funding Limitations/Restrictions Information; and Appendix A, Checklist SAMHSA’s web page (http:// 6. Other Submission Requirements for Formatting Requirements and www.samhsa.gov) and will be available V. Application Review Information Screenout Criteria for SAMHSA Grant from SAMHSA’s clearinghouses on an 1. Evaluation Criteria Applications. Additional references to ongoing basis. The standard 2. Review and Selection Process the criteria elsewhere in the text have announcements will be used in VI. Award Administration Information been changed to be consistent with the conjunction with brief Notices of 1. Award Notices revised criteria in Section IV and 2. Administrative and National Policy Funding Availability (NOFAs) that will Requirements Appendix A. announce the availability of funds for 3. Reporting Requirements Authority: Sections 509, 516, and 520A of specific grant funding opportunities VII. Agency Contacts the Public Health Service Act. within each of the standard grant Appendix A—Checklist for Formatting programs (e.g., Homeless Treatment Requirements and Screenout Criteria for In addition, this republication grants, Statewide Family Network SAMHSA Grant Applications includes an additional award criterion grants, HIV/AIDS and Substance Abuse Appendix B—Glossary in Section V, updated agency contact Prevention Planning Grants, etc.). Appendix C—National Registry of Effective information in Section VII, and minor Programs technical changes to comply with the Department of Health and Human Appendix D—Center for Mental Health formatting requirements for Services Services Evidence-Based Practice announcement of Federal funding Toolkits Substance Abuse and Mental Health opportunities, as specified by the Office Appendix E—Effective Substance Abuse Services Administration of Management and Budget. Treatment Practices This notice provides the republished Appendix F—Statement Of Assurance Services Grants—SVC 04 PA (MOD) Appendix G—Logic Model Resources text for SAMHSA’s standard Services (Modified Announcement) Grants announcement. I. Funding Opportunity Description Catalogue of Federal Domestic Assistance DATES: Use of the republished standard 1. Introduction Services Grants announcement will be (CFDA) No.: 93.243 (unless otherwise specified in a NOFA in the Federal Register The Substance Abuse and Mental effective March 8, 2004. The standard and on http://www.grants.gov) Services Grants announcement must be Health Services Administration used in conjunction with separate Key Dates (SAMHSA) announces its intent to Notices of Funding Availability solicit applications for Services Grants. Application Deadline—This Program These grants will expand and strengthen (NOFAs) that will provide application Announcement provides general due dates and other key dates for effective, culturally appropriate instructions and guidelines for substance abuse and mental health specific SAMHSA grant funding multiple funding opportunities. opportunities. services at the State and local levels. Application deadlines for specific The services implemented through ADDRESSES: Questions about SAMHSA’s funding opportunities will be SAMHSA’s Services Grants must standard Services Grants announcement published in Notices of Funding incorporate the best objective may be directed to Cathy Friedman, Availability (NOFAs) in the Federal information available regarding M.A., Office of Policy, Planning and Register and on http:// effectiveness and acceptability. In Budget, 5600 Fishers Lane, Room 12C– www.grants.gov. general, the services implemented 26, Rockville, Maryland 20857. Fax: Intergovernmental Review (E.O. through SAMHSA’s Services Grants will (301–594–6159) E-mail: 12372)—Letters from State Single have strong evidence of effectiveness. [email protected]. Point of Contact (SPOC) are due no However, because the evidence base is FOR FURTHER INFORMATION CONTACT: later than 60 days after application limited in some areas, SAMHSA may Cathy Friedman, M.A., Office of Policy, deadline. fund some services for which the Planning and Budget, 5600 Fishers Public Health System Impact evidence base, while limited, is sound. Lane, Room 12C–26, Rockville, Statement (PHSIS)/Single State Agency SAMHSA expects that the services Maryland 20857. Fax: (301–594–6159) Coordination—Applicants must send funded through these grants will be E-mail: [email protected]. Phone: the PHSIS to appropriate State and local sustained by the grantee beyond the (301) 443–6902. health agencies by application deadline. term of the grant. SUPPLEMENTARY INFORMATION: SAMHSA Comments from Single State Agency are SAMHSA also funds grants under is republishing its standard Services due no later than 60 days after three other standard grant Grants announcement to make the application deadline. announcements:

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• Infrastructure Grants support possible and no later than 4 months acceptability of the proposed service/ identification and implementation of after award. SAMHSA’s Services Grants practice. The preferred evidence of systems changes but are not designed to may include substance abuse effectiveness and acceptability will fund services. prevention, substance abuse treatment include the findings from clinical trials, • Best Practices Planning and and/or mental health services. efficacy and/or effectiveness studies Implementation Grants help Throughout this announcement, published in the peer-reviewed communities and providers identify SAMHSA will use the term ‘‘services’’ literature. practices to effectively meet local needs, to refer to all three types of services. The In areas where little or no research develop strategic plans for NOFA will provide guidance on the has been published in the peer-reviewed implementing/adapting those practices particular type of service to be provided scientific literature, the applicant may and pilot-test practices prior to full- through each funding opportunity. present evidence involving studies that scale implementation. have not been published in the peer- • Service to Science Grants document 2.1 Documenting the Evidence-Base for reviewed research literature and/or and evaluate innovative practices that Services To Be Implemented documents describing formal consensus address critical substance abuse and The services implemented through among recognized experts. If consensus mental health service gaps but that have SAMHSA’s Services Grants must documents are presented, they must not yet been formally evaluated. incorporate the best objective describe consensus among multiple This announcement describes the information available regarding the experts whose work is recognized and general program design and provides effectiveness and acceptability of the respected by others in the field. Local application instructions for all services to be implemented. In general, recognition of an individual as a SAMHSA Services Grants. The the services implemented through respected or influential person at the availability of funds for specific SAMHSA’s Services Grants will have community level is not considered a Services Grants will be announced in strong evidence of effectiveness. ‘‘recognized expert’’ for this purpose. supplementary Notices of Funding However, because the evidence base is In presenting evidence in support of Availability (NOFAs) in the Federal limited in some areas, SAMHSA may the proposed service/practice, Register and at http://www.grants.gov— fund some services for which the applicants must show that the evidence the Federal grant announcement web evidence of effectiveness is based on presented is the best objective page. formal consensus among recognized information available. SAMHSA’s Services Grants are experts in the field and/or evaluation Justifying Selection of the Service/ authorized under Section 509, 516 and/ studies that have not been published in Practice for the Target Population or 520A of the Public Health Service the peer reviewed literature. Act, unless otherwise specified in a Applicants must document in their Regardless of the strength of the NOFA in the Federal Register and on applications that the services/practices evidence-base for the service/practice, http://www.grants.gov. they propose to implement are all applicants must show that the Typically, funding for Services Grants evidence-based services/practices. In proposed service/practice is appropriate will be targeted to specific populations addition, applicants must justify use of for the proposed target population. and/or issue areas, which will be the proposed services/practices for the Ideally, this evidence will include specified in the NOFAs. The NOFAs target population along with any research findings on effectiveness and will also: adaptations or modifications necessary acceptability specific to the proposed • Specify total funding available for to meet the unique needs of the target target population. However, if such the first year of the grants and the population or otherwise increase the evidence is not available, the applicant expected size and number of awards; likelihood of achieving positive should provide a justification for using • Provide the application deadline; outcomes. Further guidance on each of the proposed service/practice with the • Note any specific program these requirements is provided below. target population. This justification requirements for each funding might involve, for example, a opportunity; and Documenting the Evidence-Based description of adaptations to the • Include any limitations or Practice/Service proposed service/practice based on exceptions to the general provisions in SAMHSA has already determined that other research involving the target this announcement (e.g., eligibility, certain services/practices are solidly population. allowable activities). evidence-based services/practices and Justifying Adaptations/Modifications of It is, therefore, critical that you encourages applicants to select services/ the Proposed Service/Practice consult the NOFA as well as this practices from following sources announcement in developing your grant (though this is not required): SAMHSA has found that a high application. • SAMHSA’s National Registry of degree of faithfulness or ‘‘fidelity’’ (see Glossary) to the original model for an 2. Expectations Effective Programs (NREP) (see Appendix C) evidence-based service/practice The Services Grant program is • Center for Mental Health Services increases the likelihood that positive designed to address gaps in substance (CMHS) Evidence Based Practice Tool outcomes will be achieved when the abuse and mental health services and/or Kits (see Appendix D) model is used by others. Therefore, to increase the ability of States, units of • List of Effective Substance Abuse SAMHSA encourages fidelity to the local government, Indian tribes, tribal Treatment Practices (see Appendix E) original evidence-based service/practice organizations and governments, and • Additional practices identified in to be implemented. However, SAMHSA community- and faith-based the NOFA for a specific funding recognizes that adaptations or organizations to help specific opportunity, if applicable modifications to the original model may populations or geographic areas with Applicants proposing services/ be necessary for a variety of reasons: serious, emerging mental health and practices that are not included in the • To allow implementers to use substance abuse problems. SAMHSA above-referenced sources must provide resources efficiently intends that its Services Grants result in a narrative justification that summarizes • To adjust for specific needs of the the delivery of services as soon as the evidence for effectiveness and client population

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• To address unique characteristics of report annually on the degree to which to improve services. The evaluation the local community where the service/ the previous year’s targets were met. must include both process and outcome practice will be implemented Agencies are expected to evaluate components. Process and outcome All applicants must describe and their programs regularly and to use evaluations must measure change justify any adaptations or modifications results of these evaluations to explain relating to project goals and objectives to the proposed service/practice that their successes and failures and justify over time compared to baseline will be made. requests for funding. information. Control or comparison To meet the GPRA requirements, groups are not required. You must 2.2 Services Delivery SAMHSA must collect performance data consider your evaluation plan when SAMHSA’s Services Grant funds must (i.e., ‘‘GPRA data’’) from grantees. preparing the project budget. be used primarily to support direct Grantees are required to report these Process components should address services, including the following types GPRA data to SAMHSA on a timely issues such as: of activities: basis. • • How closely did implementation Conducting outreach and pre- Specifically, grantees will be required match the plan? service strategies to expand access to to provide data on a set of required • What types of deviation from the treatment or prevention services to measures, as specified in the NOFA. plan occurred? underserved populations. If you propose The data collection tools to be used for • What led to the deviations? to provide only outreach and pre-service reporting the required data will be • What effect did the deviations have strategies, you must show that your provided in the application kits on the planned intervention and organization is an effective and integral distributed by SAMHSA’s evaluation? part of a network of service providers. clearinghouses and posted on • • Purchasing or providing direct SAMHSA’s Web site along with each Who provided (program, staff) what treatment (including screening, NOFA. In your application, you must services (modality, type, intensity, assessment, and care management) or demonstrate your ability to collect and duration), to whom (individual prevention services for populations at report on these measures, and you may characteristics), in what context risk. Treatment must be provided in be required to provide some baseline (system, community), and at what cost outpatient, day treatment or intensive data. (facilities, personnel, dollars)? outpatient, or residential programs. The terms and conditions of the grant Outcome components should address • Purchasing or providing ‘‘wrap- award also will specify the data to be issues such as: around’’ services (see Glossary) (e.g., submitted and the schedule for • What was the effect of treatment on child care, vocational, educational and submission. Grantees will be required to participants? transportation services) designed to adhere to these terms and conditions of • What program/contextual factors improve access and retention. award. were associated with outcomes? • Collecting data using specified tools Applicants should be aware that • What individual factors were and standards to measure and monitor SAMHSA is working to develop a set of associated with outcomes? treatment or prevention services and required core performance measures for • How durable were the effects? costs. (No more than 20% of the total each of SAMHSA’s standard grants (i.e., No more than 20% of the total grant grant award may be used for data Services Grants, Infrastructure Grants, award may be used for evaluation and collection and evaluation.) Best Practices Planning and data collection, including GPRA. Implementation Grants, and Service-to- 2.3 Infrastructure Development Science Grants). As this effort proceeds, II. Award Information (Maximum 15% of Total Grant Award) some of the data collection and 1. Award Amount Although SAMHSA expects that its reporting requirements included in Services Grant funds will be used SAMHSA’s NOFAs may change. All The expected award amount for each primarily for direct services, SAMHSA grantees will be expected to comply funding opportunity will be specified in recognizes that infrastructure changes with any changes in data collection the NOFA. Typically, SAMHSA’s may be needed to support service requirements that occur during the Services Grant awards are expected to delivery expansion in some instances. grantee’s project period. be about $500,000 per year in total costs You may use up to 15% of the total (direct and indirect) for up to 5 years. Services Grant award for the following 2.5 Grantee Meetings Awards may range as high as $3.0 types of infrastructure development, if You must plan to send a minimum of million per year in total costs (direct necessary to support the direct service two people (including the Project and indirect) for up to 5 years. expansion of the grant project. Director) to at least one joint grantee Regardless of the award amount • Building partnerships to ensure the meeting in each year of the grant, and specified in the NOFA, the actual award success of the project and entering into you must include funding for this travel amount will depend on the availability service delivery and other agreements. in your budget. At these meetings, of funds. • Developing or changing the grantees will present the results of their Proposed budgets cannot exceed the infrastructure to expand treatment or projects and Federal staff will provide allowable amount specified in the prevention services. technical assistance. Each meeting will NOFA in any year of the proposed • Training to assist treatment or be 3 days. These meetings will usually project. Annual continuation awards prevention providers and community be held in the Washington, DC, area, will depend on the availability of funds, support systems to identify and address and attendance is mandatory. grantee progress in meeting project goals mental health or substance abuse issues. and objectives, and timely submission 2.6 Evaluation of required data and reports. 2.4 Data and Performance Measurement Grantees must evaluate their projects, 2. Funding Mechanism The Government Performance and and you are required to describe your Results Act of 1993 (P.L.103–62, or evaluation plans in your application. The NOFA will indicate whether ‘‘GPRA’’) requires all Federal agencies The evaluation should be designed to awards for each funding opportunity to set program performance targets and provide regular feedback to the project will be made as grants or cooperative

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agreements (see the Glossary in in this announcement, applicants must • A letter of commitment that Appendix B for further explanation of meet three additional requirements specifies the nature of the participation these funding mechanisms). For related to the provision of treatment or and what service(s) will be provided cooperative agreements, the NOFA will prevention services. from every service provider organization describe the nature of Federal The three requirements are: that has agreed to participate in the involvement in project performance and • A provider organization for direct project; specify roles and responsibilities of client services (e.g., substance abuse • Official documentation that all grantees and Federal staff. treatment, substance abuse prevention, participating organizations have been mental health services) appropriate to providing relevant services for a III. Eligibility Information the grant must be involved in each minimum of 2 years before the date of 1. Eligible Applicants application. The provider may be the the application in the area(s) in which applicant or another organization the services are to be provided; and Eligible applicants are domestic • public and private nonprofit entities. committed to the project. More than one Official documentation that all For example, State, local or tribal provider organization may be involved; participating service provider • governments; public or private Each direct service provider organizations comply with all universities and colleges; community- organization must have at least 2 years applicable local (city, county) and State/ and faith-based organizations; and tribal experience providing services in the tribal requirements for licensing, organizations may apply. The statutory geographic area(s) covered by the accreditation, and certification or authority for this program prohibits application, as of the due date of the official documentation from the grants to for-profit organizations. The application; and appropriate agency of the applicable • NOFA will indicate any limitations on Each direct service provider State/tribal, county, or other eligibility. organization must comply with all governmental unit that licensing, applicable local (city, county) and State/ accreditation, and certification 2. Cost Sharing tribal licensing, accreditation, and requirements do not exist. Cost sharing (see Glossary) is not certification requirements, as of the due If the GPO does not receive this required in this program, and date of the application. documentation within the time applications will not be screened out on [Note: The above requirements apply specified, the application will be the basis of cost sharing. However, you to all service provider organizations. A removed from consideration for an may include cash or in-kind license from an individual clinician will award and the funds will be provided to contributions (see Glossary) in your not be accepted in lieu of a provider another applicant meeting these proposal as evidence of commitment to organization’s license.] requirements. the proposed project. In Appendix 1 of the application, you IV. Application and Submission 3. Other must: (1) Identify at least one Information experienced, licensed service provider To ensure that you have met all 3.1 Additional Eligibility Requirements organization; (2) include a list of all submission requirements, a checklist is direct service provider organizations Applications must comply with the provided for your use in Appendix A of that have agreed to participate in the following requirements, or they will be this document. screened out and will not be reviewed: proposed project, including the Use of the PHS 5161–1 application; applicant agency if the applicant is a 1. Address To Request Application application submission requirements in treatment or prevention service provider Package Section IV–3 of this document; and organization; and (3) include the You may request a complete formatting requirements provided in Statement of Assurance (provided in application kit by calling one of Section IV–2.3 of this document. Appendix F of this announcement), SAMHSA’s national clearinghouses: Applicants should be aware that the signed by the authorized representative • For substance abuse prevention or NOFA may include additional of the applicant organization identified treatment grants, call the National requirements that, if not met, will result on the face-page of the application, that Clearinghouse for Alcohol and Drug in applications being screened out and all participating service provider Information (NCADI) at 1–800–729– returned without review. These organizations: 6686. • requirements will be specified in Meet the 2-year experience • For mental health grants, call the Section III–3 of the NOFA. requirement, National Mental Health Information • You also must comply with any Meet applicable licensing, Center at 1–800–789-CMHS (2647). additional program requirements accreditation, and certification You also may download the required specified in the NOFA, such as requirements, and documents from the SAMHSA Web site signature of certain officials on the face • If the application is within the at http://www.samhsa.gov. Click on page of the application and/or required funding range, will provide the ‘‘grant opportunities.’’ memoranda of understanding with Government Project Officer (GPO) with Additional materials available on this certain signatories. the required documentation within the Web site include: time specified. • A technical assistance manual for 3.2 Evidence of Experience and If Appendix 1 of the application does potential applicants; Credentials not contain items (1)–(3), the • Standard terms and conditions for SAMHSA believes that only existing, application will be considered ineligible SAMHSA grants; experienced, and appropriately and will not be reviewed. • Guidelines and policies that relate credentialed organizations with In addition, if, following application to SAMHSA grants (e.g., guidelines on demonstrated infrastructure and review, an application’s score is within cultural competence, consumer and expertise will be able to provide the fundable range for a grant award, the family participation, and evaluation); required services quickly and GPO will call the applicant and request and effectively. Therefore, in addition to the that the following documentation be • Enhanced instructions for basic eligibility requirements specified sent by overnight mail: completing the PHS 5161–1 application.

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2. Content and Form of Application —Table of Contents—Include page SAMHSA-funded activities. This Submission numbers for each of the major section also includes guidelines for sections of your application and for completing this part of your application. 2.1 Required Documents each appendix. —Appendices 1 through 5—Use only SAMHSA application kits include the —Budget Form—Use SF 424A, which is the appendices listed below. Do not following documents: part of the PHS 5161–1. Fill out use more than 30 pages for • PHS 5161–1 (revised July 2000)— Sections B, C, and E of the SF 424A. Appendices 1, 3, and 4. There are no Includes the face page, budget forms, —Project Narrative and Supporting page limitations for Appendices 2 and assurances, certification, and checklist. Documentation—The Project 5. Do not use appendices to extend or Use the PHS 5161–1, unless otherwise Narrative describes your project. It replace any of the sections of the specified in the NOFA. Applications consists of Sections A through E. Project Narrative unless specifically that are not submitted on the required Sections A–E together may not be required in the NOFA. Reviewers will application form will be screened out longer than 30 pages. More detailed not consider them if you do. and will not be reviewed. instructions for completing each • Appendix 1: Letters of • Program Announcement (PA)— section of the Project Narrative are commitment/support. Identification of Includes instructions for the grant provided in ‘‘Section V—Application at least one experienced, licensed application. This document is the PA. Review Information’’ of this service provider organization. A list of • Notice of Funding Availability document. all direct service provider organizations (NOFA)—Provides specific information The Supporting Documentation that have agreed to participate in the about availability of funds, as well as provides additional information proposed project, including the any exceptions or limitations to necessary for the review of your applicant agency, if it is a treatment or provisions in the PA. The NOFAs will application. This supporting prevention service provider be published in the Federal Register, as documentation should be provided organization. The Statement of well as on the Federal grants Web site immediately following your Project Assurance (provided in Appendix F of (http://www.grants.gov). Narrative in Sections F through I. There this announcement) signed by the You must use all of the above are no page limits for these sections, authorized representative of the documents in completing your except for Section H, the Biographical applicant organization identified on the Sketches/Job Descriptions. face page of the application, that assures application. • Section F—Literature Citations. SAMHSA that all listed providers meet 2.2 Required Application Components This section must contain complete the 2-year experience requirement, are To ensure equitable treatment of all citations, including titles and all appropriately licensed, accredited, and applications, applications must be authors, for any literature you cite in certified, and that if the application is your application. complete. In order for your application • within the funding range for an award, to be complete, it must include the Section G—Budget Justification, the applicant will send the GPO the required ten application components Existing Resources, Other Support. You required documentation within the (Face Page, Abstract, Table of Contents, must provide a narrative justification of specified time. Budget Form, Project Narrative and the items included in your proposed • Appendix 2: Data Collection Supporting Documentation, budget, as well as a description of Instruments/Interview Protocols Appendices, Assurances, Certifications, existing resources and other support • Appendix 3: Sample Consent Forms Disclosure of Lobbying Activities, and you expect to receive for the proposed • Appendix 4: Letter to the SSA (if Checklist). project. Be sure to show that no more applicable; see Section IV–4 of this than 15% of the total grant award will —Face Page—Use Standard Form (SF) document) be used for infrastructure development • Appendix 5: A copy of the State or 424, which is part of the PHS 5161– and that no more than 20% of the total 1. [Note: Beginning October 1, 2003, County Strategic Plan, a State or county grant award will be used for data needs assessment, or a letter from the applicants will need to provide a Dun collection and evaluation, including and Bradstreet (DUNS) number to State or county indicating that the GPRA. proposed project addresses a State-or apply for a grant or cooperative • Section H—Biographical Sketches county-identified priority. agreement from the Federal and Job Descriptions. Government. SAMHSA applicants • Include a biographical sketch for —Assurances—Non-Construction will be required to provide their the Project Director and other key Programs. Use Standard Form 424B DUNS number on the face page of the positions. Each sketch should be 2 pages found in PHS 5161–1. Some application. Obtaining a DUNS or less. If the person has not been hired, applicants will be required to number is easy and there is no charge. include a letter of commitment from the complete the Assurance of To obtain a DUNS number, access the individual with a current biographical Compliance with SAMHSA Charitable Dun and Bradstreet Web site at http:// sketch. Choice Statutes and Regulations Form www.dunandbradstreet.com or call 1– • Include job descriptions for key SMA 170. If this assurance applies to 866–705–5711. To expedite the personnel. Job descriptions should be a specific funding opportunity, it will process, let Dun and Bradstreet know no longer than 1 page each. be posted on SAMHSA’s Web site that you are a public/private nonprofit • Sample sketches and job with the NOFA and provided in the organization getting ready to submit a descriptions are listed on page 22, Item application kits available at Federal grant application.] 6 in the Program Narrative section of the SAMHSA’s clearinghouse (NCADI). —Abstract—Your total abstract should PHS 5161–1. —Certifications—Use the not be longer than 35 lines. In the first • Section I—Confidentiality and ‘‘Certifications’’ forms found in PHS five lines or less of your abstract, SAMHSA Participant Protection/Human 5161–1. write a summary of your project that Subjects. Section IV–2.4 of this —Disclosure of Lobbying Activities— can be used, if your project is funded, document describes requirements for Use Standard Form LLL found in the in publications, reporting to Congress, the protection of the confidentiality, PHS 5161–1. Federal law prohibits or press releases. rights and safety of participants in the use of appropriated funds for

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publicity or propaganda purposes, or To facilitate review of your the project itself or any data collection for the preparation, distribution, or application, follow these additional activity. use of the information designed to guidelines. Failure to adhere to the • Describe the procedures you will support or defeat legislation pending following guidelines will not, in itself, follow to minimize or protect before the Congress or State result in your application being participants against potential risks, legislatures. This includes ‘‘grass screened out and returned without including risks to confidentiality. roots’’ lobbying, which consists of review. However, following these • Identify plans to provide guidance appeals to members of the public guidelines will help reviewers to and assistance in the event there are suggesting that they contact their consider your application. adverse effects to participants. • elected representatives to indicate —Pages should be typed single-spaced Where appropriate, describe their support for or opposition to with one column per page. alternative treatments and procedures pending legislation or to urge those —Pages should not have printing on that may be beneficial to the representatives to vote in a particular both sides. participants. If you choose not to use these other beneficial treatments, way. —Please use black ink and number provide the reasons for not using them. —Checklist—Use the Checklist found in pages consecutively from beginning to PHS 5161–1. The Checklist ensures 2. Fair Selection of Participants end so that information can be located • Describe the target population(s) for that you have obtained the proper easily during review of the signatures, assurances and the proposed project. Include age, application. The cover page should be gender, and racial/ethnic background certifications and is the last page of page 1, the abstract page should be your application. and note if the population includes page 2, and the table of contents page homeless youth, foster children, 2.3 Application Formatting should be page 3. Appendices should children of substance abusers, pregnant Requirements be labeled and separated from the women, or other targeted groups. Project Narrative and budget section, Applicants also must comply with the • Explain the reasons for including and the pages should be numbered to groups of pregnant women, children, following basic application continue the sequence. requirements. Applications that do not people with mental disabilities, people —Send the original application and two comply with these requirements will be in institutions, prisoners, and copies to the mailing address in screened out and will not be reviewed. individuals who are likely to be Section IV–6.1 of this document. particularly vulnerable to HIV/AIDS. —Information provided must be Please do not use staples, paper clips, • sufficient for review. Explain the reasons for including or and fasteners. Nothing should be excluding participants. —Text must be legible. attached, stapled, folded, or pasted. • • Type size in the Project Narrative Explain how you will recruit and Do not use heavy or lightweight paper select participants. Identify who will cannot exceed an average of 15 or any material that cannot be copied characters per inch, as measured on the select participants. using automatic copying machines. 3. Absence of Coercion physical page. (Type size in charts, Odd-sized and oversized attachments • Explain if participation in the tables, graphs, and footnotes will not be such as posters will not be copied or project is voluntary or required. Identify considered in determining compliance.) sent to reviewers. Do not include possible reasons why participation is • Text in the Project Narrative cannot videotapes, audiotapes, or CD–ROMs. required, for example, court orders exceed 6 lines per vertical inch. requiring people to participate in a —Paper must be white paper and 8.5 2.4 SAMHSA Confidentiality and Participant Protection Requirements and program. inches by 11.0 inches in size. • If you plan to compensate —To ensure equity among applications, Protection of Human Subjects Regulations participants, state how participants will the amount of space allowed for the be awarded incentives (e.g., money, Project Narrative cannot be exceeded. Applicants must describe procedures • gifts, etc.). Applications would meet this relating to Confidentiality, Participant • State how volunteer participants requirement by using all margins (left, Protection and the Protection of Human will be told that they may receive right, top, bottom) of at least one inch Subjects Regulations in Section I of the services intervention even if they do not each, and adhering to the 30-page limit application, using the guidelines participate in or complete the data for the Project Narrative. provided below. Problems with collection component of the project. • Should an application not conform confidentiality, participant protection, 4. Data Collection to these margin or page limits, SAMHSA and protection of human subjects • Identify from whom you will collect will use the following method to identified during peer review of the data (e.g., from participants themselves, determine compliance: The total area of application may result in the delay of family members, teachers, others). the Project Narrative (excluding funding. Describe the data collection procedures margins, but including charts, tables, and specify the sources for obtaining Confidentiality and Participant graphs and footnotes) cannot exceed data (e.g., school records, interviews, Protection 58.5 square inches multiplied by 30. psychological assessments, This number represents the full page All applicants must describe how questionnaires, observation, or other less margins, multiplied by the total they will address requirements for each sources). Where data are to be collected number of allowed pages. of the following elements relating to through observational techniques, • Space will be measured on the confidentiality and participant questionnaires, interviews, or other physical page. Space left blank within protection. direct means, describe the data the Project Narrative (excluding 1. Protect Clients and Staff from collection setting. margins) is considered part of the Potential Risks • Identify what type of specimens Project Narrative, in determining • Identify and describe any (e.g., urine, blood) will be used, if any. compliance. foreseeable physical, medical, State if the material will be used just for —The 30-page limit for Appendices 1, 3 psychological, social and legal risks or evaluation or if other use(s) will be and 4 cannot be exceeded. potential adverse effects as a result of made. Also, if needed, describe how the

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material will be monitored to ensure the service intervention; (2) informed the Office for Human Research safety of participants. consent for participation in the data Protections (OHRP) and the IRB • Provide in Appendix 2, ‘‘Data collection component of the project; and approval has been received prior to Collection Instruments/Interview (3) informed consent for the exchange enrolling any clients in the proposed Protocols,’’ copies of all available data (releasing or requesting) of confidential project. collection instruments and interview information. The sample forms must be Additional information about protocols that you plan to use. included in Appendix 3, ‘‘Sample Protection of Human Subjects 5. Privacy and Confidentiality: Consent Forms’’, of your application. If Regulations can be obtained on the web • Explain how you will ensure needed, give English translations. at http://ohrp.osophs.dhhs.gov. You privacy and confidentiality. Include may also contact OHRP by e-mail Note: Never imply that the participant ([email protected]) or by phone who will collect data and how it will be waives or appears to waive any legal rights, collected. may not end involvement with the project, or (301/496–7005). • Describe: releases your project or its agents from 3. Submission Dates and Times • How you will use data collection liability for negligence. Deadlines for submission of instruments. • • Where data will be stored. Describe if separate consents will be applications for specific funding • Who will or will not have access to obtained for different stages or parts of opportunities will be published in the information. the project. For example, will they be NOFAs in the Federal Register and • How the identity of participants needed for both participant protection posted on the Federal grants Web site will be kept private, for example, in treatment intervention and for the (http://www.grants.gov). collection and use of data? Your application must be received by through the use of a coding system on • data records, limiting access to records, Additionally, if other consents (e.g., the application deadline. Applications or storing identifiers separately from consents to release information to others received after this date must have a data. or gather information from others) will proof-of-mailing date from the carrier be used in your project, provide a dated at least 1 week prior to the due Note: If applicable, grantees must agree to description of the consents. Will date. Private metered postmarks are not maintain the confidentiality of alcohol and individuals who do not consent to acceptable as proof of timely mailing. drug abuse client records according to the having individually identifiable data You will be notified by postal mail provisions of Title 42 of the Code of Federal collected for evaluation purposes be that your application has been received. Regulations, Part II. allowed to participate in the project? Applications not received by the 6. Adequate Consent Procedures: 7. Risk/Benefit Discussion: application deadline or not postmarked • List what information will be given Discuss why the risks are reasonable by a week prior to the application to people who participate in the project. compared to expected benefits and deadline will be screened out and will Include the type and purpose of their importance of the knowledge from the not be reviewed. participation. Identify the data that will project. 4. Intergovernmental Review (E.O. be collected, how the data will be used Protection of Human Subjects 12372) Requirements and how you will keep the data private. Regulations • State: Executive Order 12372, as • Whether or not their participation is Depending on the evaluation and data implemented through Department of voluntary. collection requirements of the particular Health and Human Services (DHHS) • Their right to leave the project at funding opportunity for which you are regulation at 45 CFR part 100, sets up any time without problems. applying or the evaluation design you a system for State and local review of • Possible risks from participation in propose in your application, you may applications for Federal financial the project. have to comply with the Protection of assistance. A current listing of State • Plans to protect clients from these Human Subjects Regulations (45 CFR Single Points of Contact (SPOCs) is risks. 46). The NOFA will indicate whether all included in the application kit and can • Explain how you will get consent applicants for a particular funding be downloaded from the Office of for youth, the elderly, people with opportunity must comply with the Management and Budget (OMB) Web limited reading skills, and people who Protection of Human Subject site at http://www.whitehouse.gov/omb/ do not use English as their first Regulations. grants/spoc.html. language. Applicants must be aware that even if • Check the list to determine whether the Protection of Human Subjects your State participates in this program. Note: If the project poses potential Regulations do not apply to all projects You do not need to do this if you are physical, medical, psychological, legal, social funded under a given funding a federally recognized Indian tribal or other risks, you must obtain written opportunity, the specific evaluation informed consent. government. design proposed by the applicant may • If your State participates, contact • Indicate if you will obtain informed require compliance with these your SPOC as early as possible to alert consent from participants or assent from regulations. him/her to the prospective minors along with consent from their Applicants whose projects must application(s) and to receive any parents or legal guardians. Describe how comply with the Protection of Human necessary instructions on the State’s the consent will be documented. For Subjects Regulations must describe the review process. example: Will you read the consent process for obtaining Institutional —For proposed projects serving more forms? Will you ask prospective Review Board (IRB) approval fully in than one State, you are advised to participants questions to be sure they their applications. While IRB approval contact the SPOC of each affiliated understand the forms? Will you give is not required at the time of grant State. them copies of what they sign? award, these applicants will be —The SPOC should send any State • Include, as appropriate, sample required, as a condition of award, to review process recommendations to consent forms that provide for: (1) provide the documentation that an the following address within 60 days Informed consent for participation in Assurance of Compliance is on file with of the application deadline: Substance

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Abuse and Mental Health Services • The applicant must notify the SSA • Pay for housing other than Administration, Office of Program within 30 days of receipt of an award. residential mental health and/or Services, Review Branch, 5600 [Public reporting burden for the substance abuse treatment. Fishers Lane, Room 17–89, Rockville, Public Health System Reporting • Provide inpatient treatment or Maryland 20857, Attn: SPOC— Requirement is estimated to average 10 hospital-based detoxification services. Funding Announcement No. [fill in minutes per response, including the Residential services are not considered pertinent funding opportunity time for copying the face page of SF 424 to be inpatient or hospital-based number from the NOFA]. and the abstract and preparing the letter services. In addition, community-based, non- for mailing. An agency may not conduct • Pay for incentives to induce governmental service providers who are or sponsor, and a person is not required individuals to enter treatment. However, not transmitting their applications to respond to, a collection of a grantee or treatment provider may through the State must submit a Public information unless it displays a provide up to $20 or equivalent Health System Impact Statement currently valid OMB control number. (coupons, bus tokens, gifts, child care, (PHSIS) (approved by OMB under The OMB control number for this and vouchers) to individuals as control no. 0920–0428; see burden project is 0920–0428. Send comments incentives to participate in required statement below) to the head(s) of regarding this burden to CDC Clearance data collection follow-up. This amount appropriate State or local health Officer, 1600 Clifton Road, MS D–24, may be paid for participation in each agencies in the area(s) to be affected no Atlanta, GA 30333, Attn: PRA (0920– required interview. • later than the pertinent receipt date for 0428).] Implement syringe exchange applications. The PHSIS is intended to programs, such as the purchase and 5. Funding Limitations/Restrictions keep State and local health officials distribution of syringes and/or needles. • informed of proposed health services Cost principles describing allowable Pay for pharmacologies for HIV grant applications submitted by and unallowable expenditures for antiretroviral therapy, sexually community-based, non-governmental Federal grantees, including SAMHSA transmitted diseases (STD)/sexually organizations within their jurisdictions. grantees, are provided in the following transmitted illnesses (STI), TB, and State and local governments and Indian documents: hepatitis B and C, or for psychotropic tribal government applicants are not • Institutions of Higher Education: drugs. subject to these requirements. OMB Circular A–21 6. Other Submission Requirements The PHSIS consists of the following • State and Local Governments: OMB information: Circular A–87 6.1 Where To Send Applications • A copy of the face page of the • Nonprofit Organizations: OMB Send applications to the following application (SF 424); and Circular A–122 address: Substance Abuse and Mental • A summary of the project, no longer • Appendix E Hospitals: 45 CFR Part Health Services Administration, Office than one page in length, that provides: 74 of Program Services, Review Branch, (1) A description of the population to be In addition, SAMHSA Services Grant 5600 Fishers Lane, Room 17–89, served, (2) a summary of the services to recipients must comply with the Rockville, Maryland 20857. be provided, and (3) a description of the following funding restrictions: Be sure to include the funding coordination planned with appropriate • No more than 15% of the total grant announcement number from the NOFA State or local health agencies. award may be used for developing the in item number 10 on the face page of For SAMHSA grants, the appropriate infrastructure necessary for expansion the application. If you require a phone State agencies are the Single State of services. number for delivery, you may use (301) Agencies (SSAs) for substance abuse • No more than 20% of the total grant 443–4266. and mental health. A listing of the SSAs award may be used for evaluation and 6.2 How To Send Applications can be found on SAMHSA’s Web site at data collection, including GPRA. http://www.samhsa.gov. If the proposed Service Grant funds must be used for Mail an original application and 2 project falls within the jurisdiction of purposes supported by the program and copies (including appendices) to the more than one State, you should notify may not be used to: mailing address provided above. The all representative SSAs. • Pay for any lease beyond the project original and copies must not be bound. Applicants who are not the SSA must period. Do not use staples, paper clips, or include a copy of a letter transmitting • Provide services to incarcerated fasteners. Nothing should be attached, the PHSIS to the SSA in Appendix 4, populations (defined as those persons in stapled, folded, or pasted. You must use a recognized ‘‘Letter to the SSA.’’ The letter must jail, prison, detention facilities, or in commercial or governmental carrier. notify the State that, if it wishes to custody where they are not free to move Hand carried applications will not be comment on the proposal, its comments about in the community). accepted. Faxed or e-mailed should be sent not later than 60 days • Pay for the purchase or construction applications will not be accepted. after the application deadline to: of any building or structure to house Substance Abuse and Mental Health any part of the program. (Applicants V. Application Review Information Services Administration, Office of may request up to $75,000 for 1. Evaluation Criteria Program Services, Review Branch, 5600 renovations and alterations of existing Fishers Lane, Room 17–89, Rockville, facilities, if necessary and appropriate to Your application will be reviewed Maryland 20857. Attn: SSA—Funding the project.) and scored according to the quality of Announcement No. [fill in pertinent • Provide residential or outpatient your response to the requirements listed funding opportunity number from treatment services when the facility has below for developing the Project NOFA]. not yet been acquired, sited, approved, Narrative (Sections A–E). These sections In addition: and met all requirements for human describe what you intend to do with • Applicants may request that the habitation and services provision. your project. SSA send them a copy of any State (Expansion or enhancement of existing • In developing the Project Narrative comments. residential services is permissible.) section of your application, use these

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instructions, which have been tailored well known, provide sufficient —Fidelity measures have been to this program. These are to be used information on how the data were developed (e.g., no measures instead of the ‘‘Program Narrative’’ collected so reviewers can assess the developed, key components instructions found in the PHS 5161–1. reliability and validity of the data. identified, or fidelity measures • The Project Narrative (Sections A– • Non-tribal applicants must show developed) E) together may be no longer than 30 that identified needs are consistent with 3. If you are providing evidence based pages. priorities of the State or county that has • on a formal consensus process involving You must use the five sections/ primary responsibility for the service recognized experts in the field, describe: headings listed below in developing delivery system. Include, in Appendix —The experts involved in developing your Project Narrative. Be sure to place 5, a copy of the State or County Strategic consensus on the proposed service/ the required information in the correct Plan, a State or county needs practice (e.g., members of an expert section, or it will not be considered. assessment, or a letter from the State or panel formally convened by Your application will be scored county indicating that the proposed SAMHSA, NIH, the Institute of according to how well you address the project addresses a State- or county- Medicine or other nationally requirements for each section of the identified priority. Tribal applicants Project Narrative. must provide similar documentation recognized organization). The • Reviewers will be looking for relating to tribal priorities. consensus must have been developed evidence of cultural competence in each • Check the NOFA for any additional by a group of experts whose work is section of the Project Narrative. Points requirements. recognized and respected by others in will be assigned based on how well you the field. Local recognition of an Section B: Proposed Evidence-Based address the cultural competence aspects individual as a respected or Service/Practice (30 points) of the evaluation criteria. SAMHSA’s influential person at the community guidelines for cultural competence can • Clearly state the purpose, goals and level is not considered a ‘‘recognized be found on the SAMHSA Web site at objectives of your proposed project. expert’’ for this purpose. http://www.samhsa.gov. Click on ‘‘Grant Describe how achievement of goals will —The nature of the consensus that has Opportunities.’’ produce meaningful and relevant results been reached and the process used to • The Supporting Documentation you (e.g., increase access, availability, reach consensus provide in Sections F–I and Appendices prevention, outreach, pre-services, —The extent to which the consensus 1–5 will be considered by reviewers in treatment, and/or intervention). has been documented (e.g., in a assessing your response, along with the • Identify the evidenced based consensus panel report, meeting material in the Project Narrative. service/practice that you propose to minutes, or an accepted standard • The number of points after each implement. Describe the evidence-base practice in the field) heading is the maximum number of for the proposed service/practice and —Any empirical evidence (whether points a review committee may assign to show that it incorporates the best formally published or not) supporting that section of your Project Narrative. objective information available the effectiveness of the proposed Bullet statements in each section do not regarding effectiveness and service/practice have points assigned to them. They are acceptability. Follow the instructions —The rationale for concluding that provided to invite the attention of provided in ι1, ι2 or ι3 below, as further empirical evidence does not applicants and reviewers to important appropriate: exist to support the effectiveness of areas within the criterion. 1. If you are proposing to implement the proposed service/practice a service/practice included in NREP (see • Justify the use of the proposed Section A: Statement of Need (10 Appendix C), one of the CMHS tool-kits service/practice for the target points) on evidence-based practices (see population. Describe and justify any • Describe the target population (see Appendix D), the list of Effective adaptations necessary to meet the needs Glossary) as well as the geographic area Substance Abuse Treatment Practices of the target population as well as to be served, and justify the selection of (see Appendix E), or the NOFA (if evidence that such adaptations will be both. Include the numbers to be served applicable), simply identify the practice effective for the target population. and demographic information. Discuss and state the source from which it was • Identify and justify any additional the target population’s language, beliefs, selected. You do not need to provide adaptations or modifications to the norms and values, as well as further evidence of effectiveness. proposed service/practice. socioeconomic factors that must be 2. If you are providing evidence that • Describe how the proposed project considered in delivering programs to includes scientific studies published in will address issues of age, race, this population. the peer-reviewed literature or other ethnicity, culture, language, sexual • Describe the nature of the problem studies that have not been published, orientation, disability, literacy, and and extent of the need for the target describe the extent to which: gender in the target population, while population based on data. The statement —The service/practice has been retaining fidelity to the chosen practice. of need should include a clearly evaluated and the quality of the • Demonstrate how the proposed established baseline for the project. evaluation studies (e.g., whether they service/practice will meet your goals Documentation of need may come from are descriptive, quasi-experimental and objectives. Provide a logic model a variety of qualitative and quantitative studies, or experimental studies) (see Glossary) that links need, the sources. The quantitative data could —The services/practice has services or practice to be implemented, come from local data or trend analyses, demonstrated positive outcomes and and outcomes. State data (e.g., from State Needs for what populations the positive • Check the NOFA for any additional Assessments), and/or national data (e.g., outcomes have been demonstrated requirements. from SAMHSA’s National Household —The service/practice has been Survey on Drug Abuse and Health or documented (e.g., through Section C: Proposed Implementation from National Center for Health development of guidelines, tool kits, Approach (25 points) Statistics/Centers for Disease Control treatment protocols, and/or manuals) • Describe how the proposed service reports). For data sources that are not and replicated or practice will be implemented.

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Provide a realistic time line for the as the evaluator and treatment/ $100,000, applications must also be project (chart or graph) showing key prevention personnel. reviewed by the appropriate National activities, milestones, and responsible • Describe the racial/ethnic Advisory Council. staff. [Note: The time line should be part characteristics of key staff and indicate Decisions to fund a grant are based of the Project Narrative. It should not be if any are members of the target on: placed in an appendix.] population/community. If the target • The strengths and weaknesses of • Clearly state the unduplicated population is multi-linguistic, indicate the application as identified by peer number of individuals you propose to if the staffing pattern includes bilingual reviewers and, when applicable, serve (annually and over the entire and bicultural individuals. approved by the appropriate National project period) with grant funds, • Describe the resources available for Advisory Council; including the types and numbers of the proposed project (e.g., facilities, • Availability of funds; services to be provided and anticipated equipment), and provide evidence that • Equitable distribution of awards in outcomes. Describe how the target services will be provided in a location terms of geography (including urban, population will be identified, recruited, that is adequate, accessible, compliant rural and remote settings) and balance and retained. with the Americans with Disabilities among target populations and program • Describe how members of the target Act (ADA), and amenable to the target size; and population helped prepare the population. • After applying the aforementioned application, and how they will help • Check the NOFA for any additional criteria, the following method for plan, implement, and evaluate the requirements. breaking ties: When funds are not project. Section E: Evaluation and Data (15 available to fund all applications with • Describe how the project points) identical scores, SAMHSA will make components will be embedded within • award decisions based on the the existing service delivery system, Document your ability to collect application(s) that received the greatest including other SAMHSA-funded and report on the required performance number of points by peer reviewers on projects, if applicable. Identify any other measures as specified in the NOFA. the evaluation criterion in Section V–1 organizations that will participate in the Specify and justify any additional with the highest number of possible proposed project. Describe their roles measures you plan to use for your grant points (Proposed Evidence-Based and responsibilities and demonstrate project. Service/Practice—30 points). Should a • Describe plans for data collection, their commitment to the project. Include tie still exist, the evaluation criterion management, analysis, interpretation letters of commitment from community with the next highest possible point and reporting. Describe the existing organizations supporting the project in value will be used, continuing approach to the collection of data, along Appendix 1. Identify any cash or in- sequentially to the evaluation criterion with any necessary modifications. Be kind contributions that will be made to with the lowest possible point value, sure to include data collection the project by the applicant or other should that be necessary to break all instruments/interview protocols in partnering organizations. ties. If an evaluation criterion to be used • Appendix 2. Show that the necessary for this purpose has the same number of • Discuss the reliability and validity groundwork (e.g., planning, consensus possible points as another evaluation of evaluation methods and instrument(s) development, development of criterion, the criterion listed first in in terms of the gender/age/culture of the memoranda of agreement, identification Section V–1 will be used first. target population. of potential facilities) has been • completed or is near completion so that Describe the process and outcome VI. Award Administration Information evaluation, including assessments of the project can be implemented and 1. Award Notices service delivery can begin as soon as implementation and individual possible and no later than 4 months outcomes. Show how the evaluation After your application has been after grant award. will be integrated with requirements for reviewed, you will receive a letter from • Describe the potential barriers to collection and reporting of performance SAMHSA through postal mail that successful conduct of the proposed data, including data required by describes the general results of the SAMHSA to meet GPRA requirements. review, including the score that your project and how you will overcome • them. Describe how the evaluation will be application received. • Provide a plan to secure resources used to ensure the fidelity to the If you are approved for funding, you practice. will receive an additional notice, the to sustain the proposed project when • Federal funding ends. Provide a per-person or unit cost of Notice of Grant Award, signed by • Check the NOFA for any additional the project to be implemented, based on SAMHSA’s Grants Management Officer. requirements. the applicant’s actual costs and The Notice of Grant Award is the sole projected costs over the life of the obligating document that allows the Section D: Staff and Organizational project. grantee to receive Federal funding for • Experience (20 points) Check the NOFA for any additional work on the grant project. It is sent by • Discuss the capability and requirements. postal mail and is addressed to the experience of the applicant organization Note: Although the budget for the proposed contact person listed on the face page of and other participating organizations project is not a review criterion, the Review the application. with similar projects and populations, Group will be asked to comment on the If you are not funded, you can re- including experience in providing appropriateness of the budget after the merits apply if there is another receipt date for culturally appropriate/competent of the application have been considered. the program. services. • Provide a list of staff who will 2. Review and Selection Process 2. Administrative and National Policy participate in the project, showing the SAMHSA applications are peer- Requirements role of each and their level of effort and reviewed according to the review • You must comply with all terms qualifications. Include the Project criteria listed above. For those programs and conditions of the grant award. Director and other key personnel, such where the individual award is over SAMHSA’s standard terms and

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conditions are available on the plans to ensure the sustainability (see Abuse and Mental Health Services SAMHSA Web site at http:// Glossary) of efforts initiated under this Administration, 5600 Fishers Lane, www.samhsa.gov/grants/2004/useful— grant. Initial plans for sustainability Room 13–103, Rockville, MD info.asp. should be described in year 01. In each 20857, (301) 443–4456, • Depending on the nature of the subsequent year, you should describe [email protected]. specific funding opportunity and/or the the status of your project, as well as the Edna Frazier (CSAP), Office of proposed project as identified during successes achieved and obstacles Program Services, Division of review, additional terms and conditions encountered in that year. Grants Management, Substance may be identified in the NOFA or • SAMHSA will provide guidelines Abuse and Mental Health Services negotiated with the grantee prior to and requirements for these reports to Administration, 5600 Fishers Lane, grant award. These may include, for grantees at the time of award and at the Rockwall II, Suite 630, Rockville, example: initial grantee orientation meeting after MD 20857, (301) 443–6816, • Actions required to be in award. SAMHSA staff will use the [email protected]. compliance with human subjects information contained in the reports to Kathleen Sample (CSAT), Office of requirements; determine the grantee’s progress toward Program Services, Division of • Requirements relating to additional meeting its goals. Grants Management, Substance data collection and reporting; 3.2 Government Performance and Abuse and Mental Health Services • Requirements relating to Results Act (GPRA) Administration, 5600 Fishers Lane, participation in a cross-site evaluation; Rockwall II, Suite 630, Rockville, The Government Performance and or MD 20857, (301) 443–9667, • Results Act (GPRA) mandates Requirements to address problems [email protected]. identified in review of the application. accountability and performance-based • You will be held accountable for management by Federal agencies. To Appendix A—Checklist for Formatting the information provided in the meet the GPRA requirements, SAMHSA Requirements and Screenout Criteria application relating to performance must collect performance data (i.e., for SAMHSA Grant Applications targets. SAMHSA program officials will ‘‘GPRA data’’) from grantees. These SAMHSA’s goal is to review all consider your progress in meeting goals requirements will be specified in the applications submitted for grant funding. and objectives, as well as your failures NOFA for each funding opportunity. However, this goal must be balanced against and strategies for overcoming them, 3.3 Publications SAMHSA’s obligation to ensure equitable when making an annual treatment of applications. For this reason, recommendation to continue the grant If you are funded under this grant SAMHSA has established certain formatting and the amount of any continuation program, you are required to notify the requirements for its applications. If you do Government Project Officer (GPO) and not adhere to these requirements, your award. Failure to meet stated goals and application will be screened out and returned objectives may result in suspension or SAMHSA’s Publications Clearance Officer (301–443–8596) of any materials to you without review. In addition to these termination of the grant award, or in formatting requirements, programmatic reduction or withholding of based on the SAMHSA-funded grant requirements (e.g., relating to eligibility) may continuation awards. project that are accepted for publication. be stated in the specific NOFA and in Section • In an effort to improve access to In addition, SAMHSA requests that III of the standard grant announcement. grantees: Please check the entire NOFA and Section III funding opportunities for applicants, • SAMHSA is participating in the U.S. Provide the GPO and SAMHSA of the standard grant announcement before Department of Health and Human Publications Clearance Officer with preparing your application. advance copies of publications. —Use the PHS 5161–1 application. Services ‘‘Survey on Ensuring Equal • Opportunity for Applicants.’’ This Include acknowledgment of the —Applications must be received by the SAMHSA grant program as the source of application deadline. Applications survey is included in the application kit received after this date must have a proof for SAMHSA grants. Applicants are funding for the project. —Include a disclaimer stating that the of mailing date from the carrier dated at encouraged to complete the survey and views and opinions contained in the least 1 week prior to the due date. Private return it, using the instructions publication do not necessarily reflect metered postmarks are not acceptable as provided on the survey form. proof of timely mailing. Applications not those of SAMHSA or the U.S. received by the application deadline or not 3. Reporting Requirements Department of Health and Human postmarked at least 1 week prior to the Services, and should not be construed 3.1 Progress and Financial Reports application deadline will not be reviewed. as such. —Information provided must be sufficient for • Grantees must provide annual and SAMHSA reserves the right to issue a review. final progress reports. The final report press release about any publication —Text must be legible. must summarize information from the deemed by SAMHSA to contain • Type size in the Project Narrative cannot annual reports, describe the information of program or policy exceed an average of 15 characters per inch, accomplishments of the project, and significance to the substance abuse as measured on the physical page. (Type size describe next steps for implementing treatment/substance abuse prevention/ in charts, tables, graphs, and footnotes will plans developed during the grant mental health services community. not be considered in determining period. compliance.) • VII. Agency Contacts • Text in the Project Narrative cannot Grantees must provide annual and exceed 6 lines per vertical inch. final financial status reports. These The NOFAs provide contact information for questions about program —Paper must be white paper and 8.5 inches reports may be included as separate by 11.0 inches in size. sections of annual and final progress issues. —To ensure equity among applications, the reports or can be separate documents. For questions on grants management amount of space allowed for the Project Because SAMHSA is extremely issues, contact: Narrative cannot be exceeded. interested in ensuring that treatment or Gwendolyn Simpson (CMHS), Office • Applications would meet this prevention services can be sustained, of Program Services, Division of requirement by using all margins (left, right, your financial reports should explain Grants Management, Substance top, bottom) of at least one inch each, and

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adhering to the page limit for the Project pages should be numbered to continue the by Federal statute. The primary beneficiary Narrative stated in the specific funding sequence. under a grant or cooperative agreement is the announcement. —Send the original application and two public, as opposed to the Federal • Should an application not conform to copies to the mailing address in the Government. these margin or page limits, SAMHSA will funding announcement. Please do not use In-Kind Contribution: In-kind contributions use the following method to determine staples, paper clips, and fasteners. Nothing toward a grant project are non-cash compliance: The total area of the Project should be attached, stapled, folded, or contributions (e.g., facilities, space, services) Narrative (excluding margins, but including pasted. Do not use heavy or lightweight that are derived from non-Federal sources, charts, tables, graphs and footnotes) cannot paper or any material that cannot be copied such as State or sub-State non-Federal exceed 58.5 square inches multiplied by the using automatic copying machines. Odd- revenues, foundation grants, or contributions page limit. This number represents the full sized and oversized attachments such as from other non-Federal public or private page less margins, multiplied by the total posters will not be copied or sent to entities. number of allowed pages. reviewers. Do not include videotapes, Logic Model: A logic model is a • Space will be measured on the physical audiotapes, or CD-ROMs. diagrammatic representation of a theoretical page. Space left blank within the Project framework. A logic model describes the Narrative (excluding margins) is considered Appendix B—Glossary logical linkages among program resources, part of the Project Narrative, in determining Best Practice: Best practices are practices conditions, strategies, short-term outcomes, compliance. that incorporate the best objective and long-term impact. More information on —The page limit for Appendices stated in the information currently available regarding how to develop logics models and examples specific funding announcement cannot be effectiveness and acceptability. can be found through the resources listed in exceeded. Catchment Area: A catchment area is the Appendix G. To facilitate review of your application, geographic area from which the target Practice: A practice is any activity, or follow these additional guidelines. Failure to population to be served by a program will be collective set of activities, intended to adhere to the following guidelines will not, drawn. improve outcomes for people with or at risk in itself, result in your application being Cooperative Agreement: A cooperative for substance abuse and/or mental illness. screened out and returned without review. agreement is a form of Federal grant. Such activities may include direct service However, the information provided in your Cooperative agreements are distinguished provision, or they may be supportive application must be sufficient for review. from other grants in that, under a cooperative activities, such as efforts to improve access Following these guidelines will help ensure agreement, substantial involvement is to and retention in services, organizational your application is complete, and will help anticipated between the awarding office and efficiency or effectiveness, community reviewers to consider your application. the recipient during performance of the readiness, collaboration among stakeholder funded activity. This involvement may groups, education, awareness, training, or —The 10 application components required any other activity that is designed to improve for SAMHSA applications should be include collaboration, participation, or intervention in the activity. HHS awarding outcomes for people with or at risk for included. These are: substance abuse or mental illness. • offices use grants or cooperative agreements Face Page (Standard Form 424, which is (rather than contracts) when the principal Practice Support System: This term refers in PHS 5161–1). to contextual factors that affect practice • purpose of the transaction is the transfer of Abstract. money, property, services, or anything of delivery and effectiveness in the pre- • Table of Contents. adoption phase, delivery phase, and post- • value to accomplish a public purpose of Budget Form (Standard Form 424A, support or stimulation authorized by Federal delivery phase, such as (a) community which is in PHS 5161–1). collaboration and consensus building, (b) • statute. The primary beneficiary under a Project Narrative and Supporting grant or cooperative agreement is the public, training and overall readiness of those Documentation. as opposed to the Federal Government. implementing the practice, and (c) sufficient • Appendices. ongoing supervision for those implementing • Cost Sharing or Matching: Cost sharing Assurances (Standard Form 424B, which refers to the value of allowable non-Federal the practice. is in PHS 5161–1). contributions toward the allowable costs of a Stakeholder: A stakeholder is an • Certifications (a form in PHS 5161–1). individual, organization, constituent group, • Federal grant project or program. Such Disclosure of Lobbying Activities contributions may be cash or in-kind or other entity that has an interest in and will (Standard Form LLL, which is in PHS 5161– contributions. For SAMHSA grants, cost be affected by a proposed grant project. 1). Sustainability: Sustainability is the ability • sharing or matching is not required, and Checklist (a form in PHS 5161–1). applications will not be screened out on the to continue a program or practice after —Applications should comply with the basis of cost sharing. However, applicants SAMHSA grant funding has ended. following requirements: often include cash or in-kind contributions in Target Population: The target population is • Provisions relating to confidentiality, their proposals as evidence of commitment to the specific population of people whom a participant protection and the protection of the proposed project. This is allowed, and particular program or practice is designed to human subjects specified in Section IV–2.4 of this information may be considered by serve or reach. the FY 2004 standard funding reviewers in evaluating the quality of the Wraparound Service: Wraparound services announcements. application. are non-clinical supportive services—such as • Budgetary limitations as specified in Fidelity: Fidelity is the degree to which a child care, vocational, educational, and Section I, II, and IV–5 of the FY 2004 specific implementation of a program or transportation services—that are designed to standard funding announcements. practice resembles, adheres to, or is faithful improve the individual’s access to and • Documentation of nonprofit status as to the evidence-based model on which it is retention in the proposed project. required in the PHS 5161–1. based. Fidelity is formally assessed using Appendix C—National Registry of —Pages should be typed single-spaced with rating scales of the major elements of the Effective Programs one column per page. evidence-based model. A toolkit on how to —Pages should not have printing on both develop and use fidelity instruments is To help SAMHSA’s constituents learn sides. available from the SAMHSA-funded more about science-based programs, —Please use black ink and number pages Evaluation Technical Assistance Center at SAMHSA’s Center for Substance Abuse consecutively from beginning to end so http://tecathsri.org or by calling (617) 876– Prevention (CSAP) created a National that information can be located easily 0426. Registry of Effective Programs (NREP) to during review of the application. The cover Grant: A grant is the funding mechanism review and identify effective programs. NREP page should be page 1, the abstract page used by the Federal Government when the seeks candidates from the practice should be page 2, and the table of contents principal purpose of the transaction is the community and the scientific literature. page should be page 3. Appendices should transfer of money, property, services, or While the initial focus of NREP was be labeled and separated from the Project anything of value to accomplish a public substance abuse prevention programming, Narrative and budget section, and the purpose of support or stimulation authorized NREP has expanded its scope and now

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includes prevention and treatment of cluster of evidence-based practices and the • Continuity of Offender Treatment for substance abuse and of co-occurring design of implementation resource kits to Substance Use Disorders From Institution to substance abuse and mental disorders, and help people understand and use these Community. TIP 30 (1998) NCADI ι BKD304 psychopharmacological programs and practices successfully. • Naltrexone and Alcoholism Treatment. workplace programs. Basic information about the first six TIP 28 (1998) NCADI ι BKD268 NREP includes three categories of evidence-based practices is available on the • Substance Abuse Among Older Adults. programs: Effective Programs, Promising Web site. The six practices are: TIP 26 (1998) NCADI ι BKD250 Programs, and Model Programs. Programs 1. Illness Management and Recovery • Substance Use Disorder Treatment for defined as Effective have the option of 2. Family Psychoeducation People With Physical and Cognitive becoming Model Programs if their developers 3. Medication Management Approaches in Disabilities. TIP 29 (1998) NCADI ι BKD288 choose to take part in SAMHSA Psychiatry • A Guide to Substance Abuse Services for dissemination efforts. The conditions for 4. Assertive Community Treatment Primary Care Clinicians. TIP 24 (1997) making that choice, together with definitions 5. Supported Employment NCADI ι BKD234 of the three major criteria, are as follows. 6. Integrated Dual Disorders Treatment • Substance Abuse Treatment and Promising Programs have been Each of the resource kits contains Domestic Violence. TIP 25 (1997) NCADI ι implemented and evaluated sufficiently and information and materials written by and for BKD239 are scientifically defensible. They have the following groups: • Treatment Drug Courts: Integrating positive outcomes in preventing substance — Consumers Substance Abuse Treatment With Legal Case abuse and related behaviors. However, they — Families and Other Supporters Processing. TIP 23 (1996) NCADI ι BKD205 have not yet been shown to have sufficient — Practitioners and Clinical Supervisors • Alcohol and Other Drug Screening of rigor and/or consistently positive outcomes — Mental Health Program Leaders Hospitalized Trauma Patients. TIP 16 (1995) required for Effective Program status. — Public Mental Health Authorities NCADI ι BKD164 Nonetheless, Promising Programs are eligible • to be elevated to Effective/Model status after Material on the Web site can be printed or Combining Alcohol and Other Drug review of additional documentation downloaded with Acrobat Reader, and Abuse Treatment With Diversion for regarding program effectiveness. Originated references are provided where additional Juveniles in the Justice System. TIP 21 (1995) information can be obtained. NCADI ι BKD169 from a range of settings and spanning target • populations, Promising Programs can guide Once published, the full kits will be Detoxification From Alcohol and Other ι prevention, treatment, and rehabilitation. available from National Mental Health Drugs. TIP 19 (1995) NCADI BKD172 • Effective Programs are well-implemented, Information Center at http://www.health.org LAAM in the Treatment of Opiate ι well-evaluated programs that produce or 1–800–789–CMHS (2647). Addiction. TIP 22 (1995) NCADI BKD170 • Matching Treatment to Patient Needs in consistently positive pattern of results (across Appendix E—Effective Substance Abuse domains and/or replications). Developers of Opioid Substitution Therapy. TIP 20 (1995) Effective Programs have yet to help Treatment Practices NCADI ι BKD168 • SAMHSA/CSAP disseminate their programs, To assist potential applicants, SAMHSA’s Planning for Alcohol and Other Drug but may do so themselves. Center for Substance Abuse Treatment Abuse Treatment for Adults in the Criminal ι Model Programs are also well- (CSAT) has identified the following listing of Justice System. TIP 17 (1995) NCADI implemented, well-evaluated programs, current publications on effective treatment BKD165 • meaning they have been reviewed by NREP practices for use by treatment professionals Assessment and Treatment of Cocaine- according to rigorous standards of research. in treating individuals with substance abuse Abusing Methadone-Maintained Patients. TIP ι Their developers have agreed with SAMHSA disorders. These publications are available 10 (1994) NCADI BKD157 • to provide materials, training, and technical from the National Clearinghouse for Alcohol Assessment and Treatment of Patients assistance for nationwide implementation. and Drug Information (NCADI); Tele: 1–800– With Coexisting Mental Illness and Alcohol That helps ensure the program is carefully 729–6686 or http://www.health.org and and Other Drug Abuse. TIP 9 (1994) NCADI ι implemented and likely to succeed. http://www.samhsa.gov/centers/csat2002/ BKD134 Programs that have met the NREP publications.html. • Intensive Outpatient Treatment for standards for each category can be identified CSAT Treatment Improvement Protocols Alcohol and Other Drug Abuse. TIP 8 (1994) by accessing the NREP Model Programs Web (TIPs) are consensus-based guidelines NCADI ι BKD139 site at http:// developed by clinical, research, and Other Effective Practice Publications www.modelprograms.samhsa.gov. administrative experts in the field. CSAT Publications— • Integrating Substance Abuse Treatment Appendix D—Center for Mental Health • Anger Management for Substance Abuse Services Evidence-Based Practice and Vocational Services. TIP 38 (2000) NCADI ι BKD381 and Mental Health Clients: A Cognitive ι Toolkits • Substance Abuse Treatment for Persons Behavioral Therapy Manual (2002) NCADI SAMHSA’s Center for Mental Health with Child Abuse and Neglect Issues. TIP 36 BKD444 • Services and the Robert Wood Johnson (2000) NCADI ι BKD343 Anger Management for Substance Abuse Foundation initiated the Evidence-Based • Substance Abuse Treatment for Persons and Mental Health Clients: Participant ι Practices Project to: (1) Help more consumers with HIV/AIDS. TIP 37 (2000) NCADI ι Workbook (2002) NCADI BKD445 • and families access services that are effective, BKD359 Multidimensional Family Therapy for (2) help providers of mental health services • Brief Interventions and Brief Therapies Adolescent Cannabis Users. CYT Cannabis develop effective services, and (3) help for Substance Abuse. TIP 34 (1999) NCADI Youth Treatment Series Vol. 5 (2002) NCADI administrators support and maintain these ι BKD341 ι BKD388 services. The project is now also funded and • Enhancing Motivation for Change in • Navigating the Pathways: Lessons and endorsed by numerous national, State, local, Substance Abuse Treatment. TIP 35 (1999) Promising Practices in Linking Alcohol and private and public organizations, including NCADI ι BKD342 Drug Services with Child Welfare. TAP 27 the Johnson & Johnson Charitable Trust, the • Screening and Assessing Adolescents for (2002) NCADI ι BKD436 MacArthur Foundation, and the West Family Substance Use Disorders. TIP 31 (1999) • The Motivational Enhancement Therapy Foundation. NCADI ι BKD306 and Cognitive Behavioral Therapy The project has been developed through • Treatment for Stimulant Use Disorders. Supplement: 7 Sessions of Cognitive the cooperation of many Federal and State TIP 33 (1999) NCADI ι BKD289 Behavioral Therapy for Adolescent Cannabis mental health organizations, advocacy • Treatment of Adolescents with Users. CYT Cannabis Youth Treatment Series groups, mental health providers, researchers, Substance Use Disorders. TIP 32 (1999) Vol. 2 (2002) NCADI ι BKD385 consumers and family members. A Web site NCADI ι BKD307 • Family Support Network for Adolescent (http://www.mentalhealthpractices.org) was • Comprehensive Case Management for Cannabis Users. CYT Cannabis Youth created as part of Phase I of the project, Substance Abuse Treatment. TIP 27 (1998) Treatment Series Vol. 3 (2001) NCADI ι which included the identification of the first NCADI ι BKD251 BKD386

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• Identifying Substance Abuse Among • *Helping Patients with Alcohol alcohol prevention programs: A logic TANF-Eligible Families. TAP 26 (2001) Problems: A Health Practitioner’s Guide. model framework. Alcoholism Treatment NCADI ι BKD410 (2003) NIH Pub. No. 03–3769 Quarterly, 13(2), 43–62. • Motivational Enhancement Therapy and • Cognitive-Behavioral Coping Skills Hernandez, M. & Hodges, S. (2003). Crafting Cognitive Behavioral Therapy for Adolescent Therapy Manual. Project MATCH Series, Vol. Logic Models for Systems of Care: Ideas Cannabis Users: 5 Sessions. CYT Cannabis 3 (1995) NIH Pub. No. 94–3724 into Action. [Making children’s mental Youth Treatment Series Vol. 1 (2001) NCADI • Motivational Enhancement Therapy health services successful series, volume ι BKD384 Manual. Project MATCH Series, Vol. 2 (1994) 1]. Tampa, FL: University of South • The Adolescent Community NIH Pub. No. 94–3723 Florida, The Louis de la Parte Florida Reinforcement Approach for Adolescent Mental Health Institute, Department of Cannabis Users. CYT Cannabis Youth Appendix F—Statement of Assurance Child & Family Studies. http:// ι Treatment Series Vol. 4 (2001) NCADI As the authorized representative of the cfs.fmhi.usf.edu or phone (813) 974– BKD387 applicant organization, I assure SAMHSA 4651 • Substance Abuse Treatment for Women that if ●insert name of organizationb Hernandez, M. & Hodges, S. (2001). Theory- Offenders: Guide to Promising Practices. TAP application is within the funding range for a based accountability. In M. Hernandez & 23 (1999) NCADI ι BKD310 grant award, the organization will provide S. Hodges (Eds.), Developing Outcome • Addiction Counseling Competencies: the SAMHSA Government Project Officer Strategies in Children’s Mental Health, The Knowledge, Skills, and Attitudes of (GPO) with the following documents. I pp. 21–40. Baltimore: Brookes. Professional Practice. TAP 21 (1998) NCADI understand that if this documentation is not Julian, D.A. (1997). Utilization of the logic model as a system level planning and ι BKD246 received by the GPO within the specified evaluation device. Evaluation and • Bringing Excellence to Substance Abuse timeframe, the application will be removed Planning, 20(3), 251–257. Services in Rural and Frontier America. TAP from consideration for an award and the Julian, D.A., Jones, A., & Deyo, D. (1995). 20 (1997) NCADI ι BKD220 funds will be provided to another applicant Open systems evaluation and the logic • Counselor’s Manual for Relapse meeting these requirements. model: Program planning and evaluation Prevention with Chemically Dependent • a letter of commitment that specifies the tools. Evaluation and Program Planning, Criminal Offenders. TAP 19 (1996) NCADI ι nature of the participation and what 18(4), 333–341. BKD723 service(s) will be provided from every service Patton, M.Q. (1997). Utilization-Focused • Draft Buprenorphine Curriculum for provider organization, listed in Appendix 1 Evaluation (3rd Ed.), pp. 19, 22, 241. Physicians (Note: the Curriculum is in of the application, that has agreed to Thousand Oaks, CA: Sage. DRAFT form and is currently being updated) participate in the project; Wholey, J.S., Hatry, H.P., Newcome, K.E. http://www.buprenorphine.samhsa.gov • official documentation that all service (Eds.) (1994). Handbook of Practical • CSAT Guidelines for the Accreditation of provider organizations participating in the Program Evaluation. San Francisco, CA: Opioid Treatment Programs http:// project have been providing relevant services Jossey-Bass Inc. www.samhsa.gov/centers/csat/content/dpt/ for a minimum of 2 years prior to the date accreditation.htm of the application in the area(s) in which Dated: February 26, 2004. • Model Policy Guidelines for Opioid services are to be provided. Official Daryl Kade, Addiction Treatment in the Medical Office documents must definitively establish that Director, Office of Policy, Planning and http://www.samhsa.gov/centers/csat/content/ the organization has provided relevant Budget, Substance Abuse and Mental Health dpt/model—policy.htm services for the last 2 years; and Services Administration. • NIDA Manuals—Available Through NCADI official documentation that all participating service provider organizations [FR Doc. 04–4691 Filed 3–5–04; 8:45 am] • Brief Strategic Family Therapy. Manual are in compliance with all local (city, county) BILLING CODE 4162–20–P 5 (2003) NCADI ι BKD481 and State/tribal requirements for licensing, • Drug Counseling for Cocaine Addiction: accreditation, and certification or official The Collaborative Cocaine Treatment Study documentation from the appropriate agency DEPARTMENT OF HEALTH AND Model. Manual 4 (2002) NCADI ι BKD465 of the applicable State/tribal, county, or other • The NIDA Community-Based Outreach HUMAN SERVICES governmental unit that licensing, Model: A Manual to Reduce Risk HIV and accreditation, and certification requirements Other Blood-Borne Infections in Drug Users. Substance Abuse and Mental Health do not exist. (Official documentation is a (2000) NCADI ι BKD366 Services Administration copy of each service provider organization’s • An Individual Counseling Approach to license, accreditation, and certification. Treat Cocaine Addiction: The Collaborative Notice of Republication of Standard Documentation of accreditation will not be Cocaine Treatment Study Model. Manual 3 Infrastructure Grants Announcement accepted in lieu of an organization’s license. (1999) NCADI ι BKD337 A statement by, or letter from, the applicant AGENCY: Substance Abuse and Mental • Cognitive-Behavioral Approach: Treating organization or from a provider organization Cocaine Addiction. Manual 1 (1998) NCADI Health Services Administration, HHS. attesting to compliance with licensing, ι BKD254 ACTION: Notice of republication of accreditation and certification or that no • Community Reinforcement Plus standard infrastructure grants licensing, accreditation, certification Vouchers Approach: Treating Cocaine announcement. requirements exist does not constitute Addiction. Manual 2 (1998) NCADI ι BKD255 adequate documentation.) NIAAA Publications—*These publications SUMMARY: On November 21, 2003, the are available in PDF format or can be Substance Abuse and Mental Health ordered on-line at http:// (Signature of Authorized Representative) Services Administration published www.niaaa.nih.gov/publications/ standard grant announcements for guides.htm. An order form for the Project (Date) Services Grants, Infrastructure Grants, MATCH series is available on-line at Appendix G—Logic Model Resources Best Practices Planning and http://www.niaaa.nih.gov/publications/ Implementation Grants, and Service to match.htm. All publications listed can be Chen, W.W., Cato, B.M., & Rainford, N. Science Grants. The primary purpose of ordered through the NIAAA Publications (1998–9). Using a logic model to plan Distribution Center, P.O. Box 10686, this republication is to revise the criteria and evaluate a community intervention used to screen out applications from Rockville, MD 20849–0686. program: A case study. International • *Alcohol Problems in Intimate Quarterly of Community Health peer review. Motivated by the need to Relationships: Identification and Education, 18(4), 449–458. assure equitable opportunity and a Intervention. A Guide for Marriage and Edwards, E.D., Seaman, J.R., Drews, J., & ‘‘level playing field’’ to all applicants, Family Therapists (2003) NIH Pub. No. 03– Edwards, M.E. (1995). A community SAMHSA believes the screening criteria 5284 approach for Native American drug and in these announcements will not best

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serve the public unless revised and changes to comply with the formatting IV. Application and Submission Information republished. This is a republication of requirements for announcement of 1. Address to Request Application Package the Infrastructure Grants announcement. Federal funding opportunities, as 2. Content and Form of Application This republication makes those criteria specified by the Office of Management Submission and Budget. The text for the republished 3. Submission Dates and Times more lenient, permitting a greater 4. Intergovernmental Review (E.O. 12372) number of applications to be reviewed. standard Infrastructure Grants Requirements The revisions to the criteria can be announcement is provided below. 5. Funding Limitations/Restrictions found, in their entirety, in: Section IV, The standard Infrastructure Grants 6. Other Submission Requirements Application and Submission announcement will be posted on V. Application Review Information Information; and Appendix A, Checklist SAMHSA’s web page (www.samhsa.gov) 1. Evaluation Criteria for Formatting Requirements and and will be available from SAMHSA’s 2. Review and Selection Process Screenout Criteria for SAMHSA Grant clearinghouses on an ongoing basis. The VI. Award Administration Information Applications. Additional references to standard announcements will be used in 1. Award Notices 2. Administrative and National Policy the criteria elsewhere in the text have conjunction with brief Notices of Funding Availability (NOFAs) that will Requirements been changed to be consistent with the 3. Reporting Requirements revised criteria in Section IV and announce the availability of funds for VII. Agency Contacts Appendix A. specific grant funding opportunities within each of the standard grant Appendix A—Checklist for Formatting Authority: Sections 509, 516, and 520A of Requirements and Screenout Criteria for the Public Health Service Act. programs (e.g., Homeless Treatment SAMHSA grants, Statewide Family Network In addition, this republication grants, HIV/AIDS and Substance Abuse Grant Applications Appendix B—Glossary includes an additional award criterion Prevention Planning Grants, etc.). in Section V, updated agency contact Appendix C—Logic Model Resources information in Section VII, and minor Department of Health and Human I. Funding Opportunity Description technical changes to comply with the Services 1. Introduction formatting requirements for Substance Abuse and Mental Health announcement of Federal funding Services Administration The Substance Abuse and Mental opportunities, as specified by the Office Health Services Administration of Management and Budget. Infrastructure Grants—INF 04 PA (SAMHSA) announces its intent to This notice provides the republished (MOD) (Modified Announcement) solicit applications for Infrastructure text for SAMHSA’s standard Catalogue of Federal Domestic Grants. These grants will increase the Infrastructure Grants announcement. Assistance (CFDA) No.: 93.243 (unless capacity of mental health and/or DATES: Use of the republished standard otherwise specified in a NOFA in the substance abuse service systems to Infrastructure Grants announcement Federal Register and on support effective programs and services. will be effective March 8, 2004. The www.grants.gov) Applicants who seek Federal support to develop or enhance their service system standard Infrastructure Grants Key Dates announcement must be used in infrastructure in order to support conjunction with separate Notices of Application deadline—This Program effective substance abuse and/or mental Funding Availability (NOFAs) that will Announcement provides general health services should apply for awards provide application due dates and other instructions and guidelines for under this announcement. key dates for specific SAMHSA grant multiple funding opportunities. SAMHSA also funds grants under funding opportunities. Application deadlines for specific three other standard grant funding opportunities will be ADDRESSES: Questions about SAMHSA’s announcements: published in Notices of Funding • Services Grants provide funding to standard Infrastructure Grants Availability (NOFAs) in the Federal implement substance abuse and mental announcement may be directed to Cathy Register and on www.grants.gov. health services. Friedman, M.A., Office of Policy, Intergovernmental review (E.O. • Best Practices Planning and Planning and Budget, 5600 Fishers 12372)—Letters from State Single Implementation Grants help Lane, Room 12C–26, Rockville, Point of Contact (SPOC) are due no communities and providers identify Maryland, 20857. Fax: (301–594–6159) later than 60 days after application practices to effectively meet local needs, E-mail: [email protected]. deadline. develop strategic plans for FOR FURTHER INFORMATION CONTACT: Public Health System Impact Statement implementing/adapting those practices Cathy Friedman, M.A., Office of Policy, (PHSIS)/SSA coordination— and pilot-test practices prior to full- Planning and Budget, 5600 Fishers Applicants must send the PHSIS to scale implementation. Lane, Room 12C–26, Rockville, appropriate State and local health • Service to Science Grants document Maryland, 20857. Fax: (301–594–6159) agencies by application deadline. and evaluate innovative practices that E-mail: [email protected]. Phone: Comments from Single State Agency address critical substance abuse and (301) 443–6902. are due no later than 60 days after mental health service gaps but that have SUPPLEMENTARY INFORMATION: SAMHSA application deadline. not yet been formally evaluated. is republishing its standard This announcement describes the Infrastructure Grants announcement to Table of Contents general program design and provides make the criteria used to screen out I. Funding Opportunity Description application instructions for all applications from peer review more 1. Introduction SAMHSA Infrastructure Grants. The lenient, permitting a greater number of 2. Expectations availability of funds for specific applications to be reviewed. This II. Award Information Infrastructure Grants will be announced 1. Award Amount republication also includes an 2. Funding Mechanism in supplementary Notices of Funding additional award criterion in Section V, III. Eligibility Information Availability (NOFAs) in the Federal updated agency contact information in 1. Eligible Applicants Register and at www.grants.gov—the Section VII, and minor technical 2. Cost Sharing Federal grant announcement web page.

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SAMHSA’s Infrastructure Grants are • Organizational/structural change submitted and the schedule for authorized under Section 509, 516 and/ (e.g., to create locus of responsibility for submission. Grantees will be required to or 520A of the Public Health Service a specific issue/population, or to adhere to these terms and conditions of Act, unless otherwise specified in a increase access to or efficiency of award. NOFA in the Federal Register and on services) • Applicants should be aware that www.grants.gov. Development of interagency SAMHSA is working to develop a set of Typically, funding for Infrastructure coordination mechanisms required core performance measures for Grants will be targeted to specific • Provider/network development • Policy development to support each of SAMHSA’s standard grants (i.e., populations and/or issue areas, which Services Grants, Infrastructure Grants, will be specified in the NOFAs. The needed service system improvements (e.g., rate-setting activities, Best Practices Planning and NOFAs will also: Implementation Grants, and Service-to- • Specify total funding available for establishment of standards of care, Science Grants). As this effort proceeds, the first year of the grants and the development/revision of credentialing, some of the data collection and expected size and number of awards; licensure, or accreditation requirements) • Provide the application deadline; • Quality improvement efforts reporting requirements included in • Note any specific program • Performance measurement SAMHSA’s NOFAs may change. All requirements for each funding development grantees will be expected to comply opportunity; and • Workforce development (e.g., with any changes in data collection • Include any limitations or training, support for licensure, requirements that occur during the exceptions to the general provisions in credentialing, or accreditation) grantee’s project period. • Data infrastructure/MIS this announcement (e.g., eligibility, 2.3 Grantee Meetings allowable activities). development It is, therefore, critical that you Implementation Pilots (maximum 15 You must plan to send a minimum of consult the NOFA as well as this percent of total grant award) two people (including the Project announcement in developing your grant Director) to at least one joint grantee application. Depending on the scope of the project meeting in each year of the grant, and (see description of award categories 2. Expectations you must include funding for this travel below), up to 15 percent of the total in your budget. At these meetings, SAMHSA’s Infrastructure Grants grant award may be used for grantees will present the results of their support an array of activities to help the ‘‘implementation pilots’’ to test the projects and Federal staff will provide grantee build a solid foundation for effectiveness of the infrastructure technical assistance. Each meeting will delivering and sustaining effective changes on services delivery. Funds be 3 days. These meetings will usually substance abuse prevention and/or may not be used to provide direct be held in the Washington, DC, area, treatment and/or mental health services. services except in the context of an and attendance is mandatory. SAMHSA recognizes that each implementation pilot. applicant will start from a unique point 2.4 Evaluation 2.2 Data and Performance Measurement in developing infrastructure and will serve populations/communities with The Government Performance and Grantees must evaluate their projects, specific needs. Awardees may pursue Results Act of 1993 (Pub. L. 103–62, or and applicants are required to describe diverse strategies and methods to ‘‘GPRA’’) requires all Federal agencies their evaluation plans in their achieve their infrastructure to set program performance targets and applications. The evaluation should be development and capacity expansion report annually on the degree to which designed to provide regular feedback to goals. Successful applicants will the previous year’s targets were met. the project to improve services. The provide a coherent and detailed Agencies are expected to evaluate evaluation must include both process conceptual ‘‘roadmap’’ of the process by their programs regularly and to use and outcome components. Process and which they have assessed or intend to results of these evaluations to explain outcome evaluations must measure assess service system needs and plan/ their successes and failures and justify change relating to project goals and implement infrastructure development requests for funding. objectives over time compared to strategies that meet those needs. The To meet the GPRA requirements, baseline information. Control or plan put forward in the grant SAMHSA must collect performance data comparison groups are not required. application must show the linkages (i.e., ‘‘GPRA data’’) from grantees. You must consider your evaluation plan among needs, the proposed Grantees are required to report these when preparing the project budget. infrastructure development strategy, and GPRA data to SAMHSA on a timely Process components should address increased system capacity that will basis. issues such as: Specifically, grantees will be required enhance and sustain effective programs • How closely did implementation and services. to provide data on a set of required measures, as specified in the NOFA. match the plan? 2.1 Allowable Activities The data collection tools to be used for • What types of deviation from the SAMHSA’s Infrastructure Grants will reporting the required data will be plan occurred? support the following types of activities: provided in the application kits • What led to the deviations? distributed by SAMHSA’s • Infrastructure Development clearinghouses and posted on What impact did the deviations have on the intervention and Infrastructure Grant funds must be SAMHSA’s Web site along with each evaluation? used primarily to support infrastructure NOFA. In your application, you must • development, including the following demonstrate your ability to collect and Who provided (program, staff) what types of activities: report on these measures, and you may services (modality, type, intensity, • Needs assessment be required to provide some baseline duration), to whom (individual • Strategic planning data. characteristics), in what context • Financing/coordination of funding The terms and conditions of the grant (system, community), and at what cost streams award also will specify the data to be (facilities, personnel, dollars)?

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Outcome components should address 2. Funding Mechanism 1. Address To Request Application issues such as: Package The NOFA will indicate whether • What was the effect of awards for each funding opportunity You may request a complete infrastructure development on service will be made as grants or cooperative application kit by calling one of capacity and other system outcomes? SAMHSA’s national clearinghouses: • What program/contextual factors agreements (see the Glossary in Appendix B for further explanation of • For substance abuse prevention or were associated with outcomes? treatment grants, call the National • What individual factors were these funding mechanisms). For cooperative agreements, the NOFA will Clearinghouse for Alcohol and Drug associated with outcomes? Information (NCADI) at 1–800–729– • How durable were the effects? describe the nature of Federal involvement in project performance and 6686. If the project includes an • For mental health grants, call the implementation pilot involving services specify roles and responsibilities of grantees and Federal staff. National Mental Health Information delivery, the evaluation should include Center at 1–800–789–CMHS (2647). client and system outcomes. III. Eligibility Information You also may download the required No more than 20% of the total grant 1. Eligible Applicants documents from the SAMHSA Web site award may be used for evaluation and at www.samhsa.gov. Click on ‘‘grant data collection. The evaluation and data Eligible applicants are domestic opportunities.’’ collection may be considered public and private nonprofit entities. Additional materials available on this ‘‘Infrastructure’’ and/or For example, State, local or tribal Web site include: ‘‘Implementation Pilots’’ expenditures, governments; public or private • A technical assistance manual for depending on their purpose. universities and colleges; community- potential applicants; • II. Award Information and faith-based organizations; and tribal Standard terms and conditions for organizations may apply. The statutory SAMHSA grants; 1. Award Amount authority for this program precludes • Guidelines and policies that relate The NOFA will specify the expected grants to for-profit organizations. The to SAMHSA grants (e.g., guidelines on award amount for each funding NOFA will indicate any limitations on cultural competence, consumer and opportunity. Regardless of the amount eligibility. family participation, and evaluation); specified in the NOFA, the actual award 2. Cost Sharing and amount will depend on the availability • Enhanced instructions for of funds. Cost sharing (see Glossary) is not completing the PHS 5161–1 application. required in this program, and Two types of Infrastructure Grants 2. Content and Form of Application applications will not be screened out on will be made: Submission Category 1—Small Infrastructure the basis of cost sharing. However, you Grants. Category 1 grants will be limited may include cash or in-kind (see 2.1 Required Documents in scope as specified in the NOFA. For Glossary) contributions in your proposal SAMHSA application kits include the example, allowable activities might be as evidence of commitment to the following documents: limited to workforce development, data proposed project. • PHS 5161–1 (revised July 2000)— infrastructure, or strategic planning. 3. Other Includes the face page, budget forms, Implementation pilots are not allowed assurances, certification, and checklist. in Category 1 awards. Category 1 awards Applications must comply with the You must use the PHS 5161–1 unless are expected to be for a period of 1–3 following requirements, or they will be otherwise specified in the NOFA. years in amounts ranging from screened out and will not be reviewed: Applications that are not submitted on $250,000–$500,000 per year. Use of the PHS 5161–1 application; the required application form will be Category 2—Comprehensive application submission requirements in screened out and will not be reviewed. Infrastructure Grants. The scope of the Section IV–3 of this document; and • Program Announcement (PA)— Category 2 grants will be much larger. formatting requirements provided in Includes instructions for the grant While applicants are not required to Section IV–2.3 of this document. application. This document is the PA. include all of the allowable activities in Applicants should be aware that the • Notice of Funding Availability their proposed projects, the proposed NOFA may include additional (NOFA)—Provides specific information projects must encompass multiple requirements that, if not met, will result about availability of funds, as well as domains (e.g., needs assessment, in applications being screened out and any exceptions or limitations to strategic and financial planning, returned without review. These provisions in the PA. The NOFAs will organizational/structural change, and requirements will be specified in be published in the Federal Register, as network development). Category 2 Section III–3 of the NOFA. well as on the Federal grants Web site awards may use a maximum of 15 You also must comply with any (www.grants.gov). percent of the total grant award for additional requirements specified in the You must use all of the above implementation pilots. Category 2 NOFA, such as the required signature of documents in completing your awards are expected to be for a period certain officials on the face page of the application. of 3–5 years in amounts ranging from application and/or required memoranda $750,000–$3 million per year. of understanding with certain 2.2 Required Application Components Proposed budgets cannot exceed the signatories. To ensure equitable treatment of all allowable amount as specified in the applications, applications must be IV. Application and Submission NOFA in any year of the proposed complete. In order for your application Information project. Annual continuation awards to be complete, it must include the will depend on the availability of funds, (To ensure that you have met all required ten application components grantee progress in meeting project goals submission requirements, a checklist is (Face Page, Abstract, Table of Contents, and objectives, and timely submission provided for your use in Appendix A of Budget Form, Project Narrative and of required data and reports. this document.) Supporting Documentation,

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Appendices, Assurances, Certifications, existing resources and other support with the NOFA and provided in the Disclosure of Lobbying Activities, and you expect to receive for the proposed application kits available at Checklist). project. Be sure to show that no more SAMHSA’s clearinghouse (NCADI). —Face Page—Use Standard Form (SF) than 20% of the total grant award will —Certifications—Use the 424, which is part of the PHS 5161– be used for data collection and ‘‘Certifications’’ forms found in PHS 1. [Note: Beginning October 1, 2003, evaluation. If you are proposing a 5161–1. applicants will need to provide a Dun services implementation pilot (allowed —Disclosure of Lobbying Activities— and Bradstreet (DUNS) number to only for Category 2 applicants), show Use Standard Form LLL found in the apply for a grant or cooperative that no more than 15% of the total grant PHS 5161–1. Federal law prohibits agreement from the Federal award will be used for the pilot. the use of appropriated funds for Government. SAMHSA applicants • Section G—Biographical Sketches publicity or propaganda purposes, or will be required to provide their and Job Descriptions. for the preparation, distribution, or • DUNS number on the face page of the Include a biographical sketch for use of the information designed to application. Obtaining a DUNS the Project Director and other key support or defeat legislation pending number is easy and there is no charge. positions. Each sketch should be 2 pages before the Congress or State To obtain a DUNS number, access the or less. If the person has not been hired, legislatures. This includes ‘‘grass Dun and Bradstreet Web site at include a letter of commitment from the roots’’ lobbying, which consists of www.dunandbradstreet.com or call 1– individual with a current biographical appeals to members of the public 866–705–5711. To expedite the sketch. suggesting that they contact their • process, let Dun and Bradstreet know Include job descriptions for key elected representatives to indicate that you are a public/private nonprofit personnel. Job descriptions should be their support for or opposition to no longer than 1 page each. pending legislation or to urge those organization getting ready to submit a • Federal grant application.] Sample sketches and job representatives to vote in a particular descriptions are listed on page 22, Item —Abstract—Your total abstract should way. 6 in the Program Narrative section of the —Checklist—Use the Checklist found in not be longer than 35 lines. In the first PHS 5161–1. PHS 5161–1. The Checklist ensures five lines or less of your abstract, • Section H—Confidentiality and that you have obtained the proper write a summary of your project that SAMHSA Participant Protection/Human signatures, assurances and can be used, if your project is funded, Subjects. Section IV–2.4 of this certifications and is the last page of in publications, reporting to Congress, document describes requirements for your application. or press releases. the protection of the confidentiality, —Table of Contents—Include page 2.3 Application Formatting rights and safety of participants in numbers for each of the major Requirements SAMHSA-funded activities. This sections of your application and for section also includes guidelines for Applicants also must comply with the each appendix. completing this part of your application. following basic application —Budget Form—Use SF 424A, which is requirements. Applications that do not part of the 5161–1. Fill out Sections —Appendices 1 through 5—Use only the appendices listed below. Do not comply with these requirements will be B, C, and E of the SF 424A. screened out and will not be reviewed. —Project Narrative and Supporting use more than 30 pages for Documentation—The Project Appendices 1, 3, and 4. There are no —Information provided must be Narrative describes your project. It page limitations for Appendices 2 and sufficient for review. consists of Sections A through D. 5. Do not use appendices to extend or —Text must be legible. • These sections in total may not be replace any of the sections of the Type size in the Project Narrative longer than 25 pages. More detailed Project Narrative unless specifically cannot exceed an average of 15 instructions for completing each required in the NOFA. Reviewers will characters per inch, as measured on the section of the Project Narrative are not consider them if you do. physical page. (Type size in charts, provided in ‘‘Section V—Application • Appendix 1: Letters of Support tables, graphs, and footnotes will not be Review Information’’ of this • Appendix 2: Data Collection considered in determining compliance.) • document. Instruments/Interview Protocols Text in the Project Narrative cannot The Supporting Documentation • Appendix 3: Sample Consent Forms exceed 6 lines per vertical inch. provides additional information • Appendix 4: Letter to the SSA (if —Paper must be white paper and 8.5 necessary for the review of your applicable; see Section IV–4 of this inches by 11.0 inches in size. application. This supporting document) —To ensure equity among applications, documentation should be provided • Appendix 5: A copy of the State or the amount of space allowed for the immediately following your Project County Strategic Plan, a State or county Project Narrative cannot be exceeded. Narrative in Sections E through H. needs assessment, or a letter from the • Applications would meet this There are no page limits for these State or county indicating that the requirement by using all margins (left, sections, except for Section G, proposed project addresses a State- or right, top, bottom) of at least one inch Biographical Sketches/Job Descriptions. county-identified priority. each, and adhering to the 25-page limit • Section E—Literature Citations. —Assurances—Non-Construction for the Project Narrative. This section must contain complete Programs. Use Standard Form 424B • Should an application not conform citations, including titles and all found in PHS 5161–1. Some to these margin or page limits, SAMHSA authors, for any literature you cite in applicants will be required to will use the following method to your application. complete the Assurance of determine compliance: The total area of • Section F—Budget Justification, Compliance with SAMHSA Charitable the Project Narrative (excluding Existing Resources, Other Support. You Choice Statutes and Regulations Form margins, but including charts, tables, must provide a narrative justification of SMA 170. If this assurance applies to graphs and footnotes) cannot exceed the items included in your proposed a specific funding opportunity, it will 58.5 square inches multiplied by 25. budget, as well as a description of be posted on SAMHSA’s Web site This number represents the full page

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less margins, multiplied by the total each of the following elements relating data (e.g., school records, interviews, number of allowed pages. to confidentiality and participant psychological assessments, • Space will be measured on the protection. questionnaires, observation, or other physical page. Space left blank within sources). Where data are to be collected 1. Protect Clients and Staff From the Project Narrative (excluding through observational techniques, Potential Risks margins) is considered part of the questionnaires, interviews, or other Project Narrative, in determining • Identify and describe any direct means, describe the data compliance. foreseeable physical, medical, collection setting. —The 30-page limit for Appendices 1, 3, psychological, social, and legal risks or • Identify what type of specimens and 4 cannot be exceeded. potential adverse effects as a result of (e.g., urine, blood) will be used, if any. To facilitate review of your the project itself or any data collection State if the material will be used just for activity. evaluation or if other use(s) will be application, follow these additional • guidelines. Failure to adhere to the Describe the procedures you will made. Also, if needed, describe how the following guidelines will not, in itself, follow to minimize or protect material will be monitored to ensure the participants against potential risks, safety of participants. result in your application being • screened out and returned without including risks to confidentiality. Provide in Appendix 2, ‘‘Data • Identify plans to provide guidance review. However, following these Collection Instruments/Interview and assistance in the event there are guidelines will help reviewers to Protocols,’’ copies of all available data adverse effects to participants. consider your application. collection instruments and interview • Where appropriate, describe protocols that you plan to use. —Pages should be typed single-spaced alternative treatments and procedures with one column per page. that may be beneficial to the 5. Privacy and Confidentiality —Pages should not have printing on participants. If you choose not to use • Explain how you will ensure both sides. these other beneficial treatments, privacy and confidentiality. Include —Please use black ink and number provide the reasons for not using them. who will collect data and how it will be pages consecutively from beginning to collected. end so that information can be located 2. Fair Selection of Participants • Describe: easily during review of the • Describe the target population(s) for • How you will use data collection application. The cover page should be the proposed project. Include age, instruments. page 1, the abstract page should be gender, and racial/ethnic background • Where data will be stored. page 2, and the table of contents page and note if the population includes • Who will or will not have access to should be page 3. Appendices should homeless youth, foster children, information. be labeled and separated from the children of substance abusers, pregnant • How the identity of participants Project Narrative and budget section, women, or other targeted groups. will be kept private, for example, and the pages should be numbered to • Explain the reasons for including through the use of a coding system on continue the sequence. groups of pregnant women, children, data records, limiting access to records, —Send the original application and two people with mental disabilities, people or storing identifiers separately from copies to the mailing address in in institutions, prisoners, and data. Section IV–6.1 of this document. individuals who are likely to be Note: If applicable, grantees must agree to Please do not use staples, paper clips, particularly vulnerable to HIV/AIDS. maintain the confidentiality of alcohol and or fasteners. Nothing should be • Explain the reasons for including or drug abuse client records according to the attached, stapled, folded, or pasted. excluding participants. provisions of Title 42 of the Code of Federal Do not use heavy or lightweight paper • Explain how you will recruit and Regulations, Part II. or any material that cannot be copied select participants. Identify who will using automatic copying machines. select participants. 6. Adequate Consent Procedures Odd-sized and oversized attachments • List what information will be given 3. Absence of Coercion such as posters will not be copied or to people who participate in the project. sent to reviewers. Do not include • Explain if participation in the Include the type and purpose of their videotapes, audiotapes, or CD–ROMs. project is voluntary or required. Identify participation. Identify the data that will 2.4 SAMHSA Confidentiality and possible reasons why participation is be collected, how the data will be used Participant Protection Requirements and required, for example, court orders and how you will keep the data private. • Protection of Human Subjects requiring people to participate in a State: • Regulations program. Whether or not their participation is • If you plan to compensate voluntary. Applicants must describe procedures participants, state how participants will • Their right to leave the project at relating to Confidentiality, Participant be awarded incentives (e.g., money, any time without problems. Protection and the Protection of Human gifts, etc.). • Possible risks from participation in Subjects Regulations in Section H of the • State how volunteer participants the project. application, using the guidelines will be told that they may receive • Plans to protect clients from these provided below. Problems with services intervention even if they do not risks. confidentiality, participant protection, participate in or complete the data • Explain how you will get consent and protection of human subjects collection component of the project. for youth, the elderly, people with identified during peer review of the limited reading skills, and people who application may result in the delay of 4. Data Collection do not use English as their first funding. • Identify from whom you will collect language. Confidentiality and Participant data (e.g., from participants themselves, Note: If the project poses potential Protection: family members, teachers, others). physical, medical, psychological, legal, social All applicants must describe how Describe the data collection procedures or other risks, you must obtain written they will address the requirements for and specify the sources for obtaining informed consent.

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• Indicate if you will obtain informed require compliance with these • If your State participates, contact consent from participants or assent from regulations. your SPOC as early as possible to alert minors along with consent from their Applicants whose projects must him/her to the prospective parents or legal guardians. Describe how comply with the Protection of Human application(s) and to receive any the consent will be documented. For Subjects Regulations must describe the necessary instructions on the State’s example: Will you read the consent process for obtaining Institutional review process. forms? Will you ask prospective Review Board (IRB) approval fully in • For proposed projects serving more participants questions to be sure they their applications. While IRB approval than one State, you are advised to understand the forms? Will you give is not required at the time of grant contact the SPOC of each affiliated them copies of what they sign? award, these applicants will be State. • • Include, as appropriate, sample required, as a condition of award, to The SPOC should send any State consent forms that provide for: (1) provide the documentation that an review process recommendations to the Informed consent for participation in Assurance of Compliance is on file with following address within 60 days of the service intervention; (2) informed the Office for Human Research application deadline: Substance Abuse consent for participation in the data Protections (OHRP) and that IRB and Mental Health Services collection component of the project; and approval has been received prior to Administration, Office of Program (3) informed consent for the exchange enrolling any clients in the proposed Services, Review Branch, 5600 Fishers (releasing or requesting) of confidential project. Lane, Room 17–89, Rockville, Maryland, information. The sample forms must be Additional information about 20857, ATTN: SPOC—Funding included in Appendix 3, ‘‘Sample Protection of Human Subjects Announcement No. [fill in pertinent Consent Forms,’’ of your application. If Regulations can be obtained on the web funding opportunity number from the needed, give English translations. at http://ohrp.osophs.dhhs.gov. You NOFA]. may also contact OHRP by e-mail In addition, community-based, non- Note: Never imply that the participant ([email protected]) or by phone governmental service providers who are waives or appears to waive any legal rights, not transmitting their applications may not end involvement with the project, or (301–496–7005). through the State must submit a Public releases your project or its agents from 3. Submission Dates and Times liability for negligence. Health System Impact Statement (PHSIS) (approved by OMB under • Deadlines for submission of Describe if separate consents will be applications for specific funding control no. 0920–0428; see burden obtained for different stages or parts of opportunities will be published in the statement below) to the head(s) of the project. For example, will they be NOFAs in the Federal Register and appropriate State or local health needed for both participant protection posted on the Federal grants web site agencies in the area(s) to be affected no in treatment intervention and for the (www.grants.gov). later than the pertinent receipt date for collection and use of data? Your application must be received by applications. The PHSIS is intended to • Additionally, if other consents (e.g., the application deadline. Applications keep State and local health officials consents to release information to others sent through postal mail and received informed of proposed health services or gather information from others) will after this date must have a proof-of- grant applications submitted by be used in your project, provide a mailing date from the carrier dated at community-based, non-governmental description of the consents. Will least 1 week prior to the due date. organizations within their jurisdictions. individuals who do not consent to Private metered postmarks are not State and local governments and Indian having individually identifiable data acceptable as proof of timely mailing. tribal government applicants are not collected for evaluation purposes be You will be notified by postal mail subject to these requirements. allowed to participate in the project? that your application has been received. The PHSIS consists of the following 7. Risk/Benefit Discussion Applications not received by the information: application deadline or not postmarked • A copy of the face page of the Discuss why the risks are reasonable by a week prior to the application application (SF 424); and compared to expected benefits and deadline will be screened out and will • A summary of the project, no longer importance of the knowledge from the not be reviewed. than one page in length, that provides: project. (1) A description of the population to be Protection of Human Subjects 4. Intergovernmental Review (E.O. served, (2) a summary of the services to Regulations: 12372) Requirements be provided, and (3) a description of the Applicants may have to comply with Executive Order 12372, as coordination planned with appropriate the Protection of Human Subjects implemented through Department of State or local health agencies. Regulations (45 CFR part 46), depending Health and Human Services (DHHS) For SAMHSA grants, the appropriate on the evaluation and data collection regulation at 45 CFR Part 100, sets up State agencies are the Single State requirements of the particular funding a system for State and local review of Agencies (SSAs) for substance abuse opportunity for which the applicant is applications for Federal financial and mental health. A listing of the SSAs applying or the evaluation design assistance. A current listing of State can be found on SAMHSA’s web site at proposed in the application. The NOFA Single Points of Contact (SPOCs) is www.samhsa.gov. If the proposed will indicate whether all applicants for included in the application kit and can project falls within the jurisdiction of a particular funding opportunity must be downloaded from the Office of more than one State, you should notify comply with the Protection of Human Management and Budget (OMB) web all representative SSAs. Subject Regulations. site at www.whitehouse.gov/omb/grants/ Applicants who are not the SSA must Applicants must be aware that even if spoc.html. include a copy of a letter transmitting the Protection of Human Subjects • Check the list to determine whether the PHSIS to the SSA in Appendix 4, Regulations do not apply to all projects your State participates in this program. ‘‘Letter to the SSA.’’ The letter must funded under a given funding You do not need to do this if you are notify the State that, if it wishes to opportunity, the specific evaluation a federally recognized Indian tribal comment on the proposal, its comments design proposed by the applicant may government. should be sent not later than 60 days

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after the application deadline to: to house any part of the grant project. • The Supporting Documentation you Substance Abuse and Mental Health Applications may request up to $75,000 provide in Sections E–H and Services Administration, Office of for renovations and alterations of Appendices 1–5 will be considered by Program Services, Review Branch, 5600 existing facilities. reviewers in assessing your response, Fishers Lane, Room 17–89, Rockville, along with the material in the Project 6. Other Submission Requirements Maryland, 20857, ATTN: SSA—Funding Narrative. Announcement No. [fill in pertinent 6.1 Where To Send Applications • The number of points after each funding opportunity number from Send applications to the following heading below is the maximum number NOFA]. address: Substance Abuse and Mental of points a review committee may assign In addition: to that section of your Project Narrative. • Applicants may request that the Health Services Administration, Office of Program Services, Review Branch, Bullet statements in each section do not SSA send them a copy of any State have points assigned to them. They are comments. 5600 Fishers Lane, Room 17–89, Rockville, Maryland, 20857. provided to invite the attention of • The applicant must notify the SSA applicants and reviewers to important Be sure to include the funding within 30 days of receipt of an award. areas within each section. [Public reporting burden for the announcement number from the NOFA Public Health System Reporting in item number 10 on the face page of Section A: Statement of Need (10 Requirement is estimated to average 10 the application. If you require a phone points) number for delivery, you may use (301) minutes per response, including the • Describe the target population (see 443–4266. time for copying the face page of SF 424 Glossary) and the proposed catchment and the abstract and preparing the letter 6.2 How To Send Applications area (see Glossary), and justify the for mailing. An agency may not conduct selection of both. Include the numbers Mail an original application and 2 or sponsor, and a person is not required to be served and demographic copies (including appendices) to the to respond to, a collection of information. Discuss the target mailing address provided above. The information unless it displays a population’s language, beliefs, norms original and copies must not be bound. currently valid OMB control number. and values, as well as socioeconomic Do not use staples, paper clips, or The OMB control number for this factors that must be considered in fasteners. Nothing should be attached, project is 0920–0428. Send comments delivering programs to this population. stapled, folded, or pasted. regarding this burden to CDC Clearance • Document the need for an enhanced You must use a recognized Officer, 1600 Clifton Road, MS D–24, infrastructure to increase the capacity to commercial or governmental carrier. Atlanta, GA 30333, ATTN: PRA (0920– implement, sustain, and improve Hand carried applications will not be 0428).] effective substance abuse prevention accepted. Faxed or e-mailed and/or treatment and/or mental health 5. Funding Limitations/Restrictions applications will not be accepted. services for the proposed target Cost principles describing allowable V. Application Review Information population in the proposed catchment and unallowable expenditures for area. Documentation of need may come 1. Evaluation Criteria Federal grantees, including SAMHSA from local data or trend analyses, State grantees, are provided in the following Your application will be reviewed data (e.g., from State Needs documents: and scored according to the quality of Assessments), and/or national data (e.g., • Institutions of Higher Education: your response to the requirements listed from SAMHSA’s National Household OMB Circular A–21 below for developing the Project Survey on Drug Abuse and Health or • State and Local Governments: OMB Narrative (Sections A–D). These from National Center for Health Circular A–87 sections describe what you intend to do • Nonprofit Organizations: OMB Statistics/Centers for Disease Control with your project. reports). For data sources that are not Circular A–122 • • Appendix E Hospitals: 45 CFR Part In developing the Project Narrative well known, provide sufficient 74 section of your application, use these information on how the data were In addition, SAMHSA Infrastructure instructions, which have been tailored collected so reviewers can assess the Grant recipients must comply with the to this program. These are to be used reliability and validity of the data. • following funding restrictions: instead of the ‘‘Program Narrative’’ Describe the service gaps, barriers, • Infrastructure grant funds must be instructions found in the PHS 5161–1. and other problems related to the need used for purposes supported by the • You must use the four sections/ for infrastructure development. Describe program. headings listed below in developing the stakeholders (see Glossary) and • If requested project funds exceed your Project Narrative. Be sure to place resources in the target area that can help $750,000, a maximum of 15% of grant the required information in the correct implement the needed infrastructure award funds may be used for section, or it will not be considered. development. implementation pilots. Direct services Your application will be scored • Non-tribal applicants must show may be funded only in the context of an according to how well you address the that identified needs are consistent with implementation pilot. requirements for each section. priorities of the State or county that has • No more than 20% of the grant • Reviewers will be looking for primary responsibility for the service award may be used for evaluation and evidence of cultural competence in each delivery system. Include, in Appendix data collection expenses. These section of the Project Narrative. Points 5, a copy of the State or County Strategic expenses may be considered will be assigned based on how well you Plan, a State or county needs infrastructure or implementation pilot address the cultural competence aspects assessment, or a letter from the State or expenses, depending on the nature of of the evaluation criteria. SAMHSA’s county indicating that the proposed the evaluation and data collection. guidelines for cultural competence can project addresses a State- or county- • Infrastructure funds may not be be found on the SAMHSA web site at identified priority. Tribal applicants used to pay for the purchase or www.samhsa.gov. Click on ‘‘Grant must provide similar documentation construction of any building or structure Opportunities.’’ relating to tribal priorities.

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• Check the NOFA for any additional • Discuss the capability and appropriateness of the budget after the merits requirements. experience of the applicant organization of the application have been considered. and other participating organizations Section B: Proposed Approach (35 with similar projects and populations, 2. Review and Selection Process points) including experience in providing SAMHSA applications are peer- • Clearly state the purpose of the culturally appropriate/competent reviewed according to the review proposed project, with goals and services. criteria listed above. For those programs objectives. Describe how achievement of • Provide a list of staff who will where the individual award is over goals will increase system capacity to participate in the project, showing the $100,000, applications must also be support effective substance abuse and/ role of each and their level of effort and reviewed by the appropriate National or mental health services. qualifications. Include the Project Advisory Council. • Describe the proposed project. Director and other key personnel, such Decisions to fund a grant are based Provide evidence that the proposed as the evaluator and treatment/ on: activities meet the infrastructure needs prevention personnel. • The strengths and weaknesses of and show how your proposed • Describe the racial/ethnic the application as identified by peer infrastructure development strategy will characteristics of key staff and indicate reviewers and, when appropriate, meet the goals and objectives. if any are members of the target approved by the appropriate National • Provide a logic model (see Glossary) population/community. If the target Advisory Council; that demonstrates the linkage between population is multi-linguistic, indicate • Availability of funds; • the identified need, the proposed if the staffing pattern includes bilingual Equitable distribution of awards in approach, and outcomes. and bicultural individuals. terms of geography (including urban, • If you plan to include an advisory • Describe the resources available for rural and remote settings) and balance body in your project, describe its the proposed project (e.g., facilities, among target populations and program membership, roles and functions, and size; and equipment). If an implementation pilot • frequency of meetings. is proposed that includes direct After applying the aforementioned • Describe any other organizations services, provide evidence that services criteria, the following method for that will participate and their roles and will be provided in a location that is breaking ties: When funds are not responsibilities. Demonstrate their adequate, accessible, compliant with the available to fund all applications with commitment to the project. Include Americans with Disabilities Act (ADA), identical scores, SAMHSA will make letters of commitment/coordination/ and amenable to the target population. award decisions based on the support from these community • Check the NOFA for any additional application(s) that received the greatest organizations in Appendix 1 of the requirements. number of points by peer reviewers on application. Identify any cash or in-kind the evaluation criterion in Section V–1 Section D: Evaluation and Data (30 contributions that will be made to the with the highest number of possible points) project. points (Proposed Approach—35 points). • Describe how the proposed project • Describe the process and outcome Should a tie still exist, the evaluation will address issues of age, race/ evaluation. Include specific criterion with the next highest possible ethnicity, culture, language, sexual performance measures and target point value will be used, continuing orientation, disability, literacy, and outcomes related to the goals and sequentially to the evaluation criterion gender in the target population. objectives identified for the project in with the lowest possible point value, • Describe how members of the target Section B of your Project Narrative. should that be necessary to break all population were involved in the • Document your ability to collect ties. If an evaluation criterion to be used preparation of the application, and how and report on the required performance for this purpose has the same number of they will be involved in the planning, measures as specified in the NOFA, possible points as another evaluation implementation, and evaluation of the including data required by SAMHSA to criterion, the criterion listed first in project. meet GPRA requirements. Specify and Section V–1 will be used first. • Describe the potential barriers to justify any additional measures you VI. Award Administration Information successful conduct of the proposed plan to use for your grant project. project and how you will overcome • Describe plans for data collection, 1. Award Notices them. management, analysis, interpretation After your application has been • Describe how your activities will and reporting. Describe the existing reviewed, you will receive a letter from improve substance abuse prevention approach to the collection of data, along SAMHSA through postal mail that and/or treatment and/or mental health with any necessary modifications. Be describes the general results of the services. sure to include data collection review, including the score that your • Provide a plan to secure resources instruments/interview protocols in application received. to sustain the proposed infrastructure Appendix 2. If you are approved for funding, you enhancements when Federal funding • Discuss the reliability and validity will receive an additional notice, the ends. of evaluation methods and instrument(s) Notice of Grant Award, signed by • Check the NOFA for any additional in terms of the gender/age/culture of the SAMHSA’s Grants Management Officer. requirements. target population. The Notice of Grant Award is the sole • Describe how collection, analysis obligating document that allows the Section C: Staff, Management, and and reporting of performance data will grantee to receive Federal funding for Relevant Experience (25 points) be integrated into the evaluation work on the grant project. It is sent by • Provide a realistic time line for the activities. postal mail and is addressed to the project (chart or graph) showing key • Check the NOFA for any additional contact person listed on the face page of activities, milestones, and responsible requirements. the application. staff. [Note: The time line should be part Note: Although the budget for the proposed If you are not funded, you can re- of the Project Narrative. It should not be project is not a review criterion, the Review apply if there is another receipt date for placed in an appendix.] Group will be asked to comment on the the program.

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2. Administrative and National Policy sections of annual and final progress VII. Agency Contacts Requirements reports or can be separate documents. The NOFAs provide contact Because SAMHSA is extremely 2.1 General Requirements information for questions about program interested in ensuring that infrastructure issues. • You must comply with all terms development and enhancement efforts For questions on grants management and conditions of the grant award. can be sustained, your financial reports issues, contact: SAMHSA’s standard terms and must explain plans to ensure the Gwendolyn Simpson (CMHS), Office of conditions are available on the sustainability (see Glossary) of efforts SAMHSA web site at www.samhsa.gov/ Program Services, Division of Grants initiated under this grant. Initial plans Management, Substance Abuse and grants/2004/useful—info.asp. for sustainability should be described in • Depending on the nature of the Mental Health Services year 1 of the grant. In each subsequent Administration, 5600 Fishers Lane, specific funding opportunity and/or the year, you should describe the status of proposed project as identified during Room 13–103, Rockville, MD 20857, the project, successes achieved and (301) 443–4456, review, additional terms and conditions obstacles encountered in that year. may be identified in the NOFA or [email protected]. • negotiated with the grantee prior to SAMHSA will provide guidelines Edna Frazier (CSAP), Office of Program grant award. These may include, for and requirements for these reports to Services, Division of Grants example: grantees at the time of award and at the Management, Substance Abuse and • Actions required to be in initial grantee orientation meeting after Mental Health Services compliance with human subjects award. SAMHSA staff will use the Administration, 5600 Fishers Lane, requirements; information contained in the reports to Rockwall II, Suite 630, Rockville, MD • Requirements relating to additional determine the grantee’s progress toward 20857, (301) 443–6816, data collection and reporting; meeting its goals. [email protected]. • Requirements relating to Kathleen Sample (CSAT), Office of 3.2 Government Performance and Program Services, Division of Grants participation in a cross-site evaluation; Results Act or Management, Substance Abuse and Mental Health Services • Requirements to address problems The Government Performance and Administration, 5600 Fishers Lane, identified in review of the application. Results Act (GPRA) mandates Rockwall II, Suite 630, Rockville, MD • You will be held accountable for accountability and performance-based 20857, (301) 443–9667, the information provided in the management by Federal agencies. To [email protected]. application relating to performance meet the GPRA requirements, SAMHSA targets. SAMHSA program officials will must collect performance data (i.e., Appendix A—Checklist for Formatting consider your progress in meeting goals ‘‘GPRA data’’) from grantees. These Requirements and Screenout Criteria and objectives, as well as your failures requirements will be specified in the for SAMHSA Grant Applications and strategies for overcoming them, NOFA for each funding opportunity. when making an annual SAMHSA’s goal is to review all 3.3 Publications applications submitted for grant funding. recommendation to continue the grant However, this goal must be balanced against and the amount of any continuation If you are funded under this grant SAMHSA’s obligation to ensure equitable award. Failure to meet stated goals and program, you are required to notify the treatment of applications. For this reason, objectives may result in suspension or SAMHSA has established certain formatting Government Project Officer (GPO) and termination of the grant award, or in requirements for its applications. If you do reduction or withholding of SAMHSA’s Publications Clearance not adhere to these requirements, your continuation awards. Officer (301–443–8596) of any materials application will be screened out and returned • In an effort to improve access to based on the SAMHSA-funded project to you without review. In addition to these funding opportunities for applicants, that are accepted for publication. formatting requirements, programmatic In addition, SAMHSA requests that requirements (e.g., relating to eligibility) may SAMHSA is participating in the U.S. be stated in the specific NOFA and in Section Department of Health and Human grantees: III of the standard grant announcement. Services ‘‘Survey on Ensuring Equal • Provide the GPO and SAMHSA Please check the entire NOFA and Section III Opportunity for Applicants.’’ This Publications Clearance Officer with of the standard grant announcement before survey is included in the application kit advance copies of publications. preparing your application. for SAMHSA grants. Applicants are • —Use the PHS 5161–1 application. encouraged to complete the survey and Include acknowledgment of the —Applications must be received by the return it, using the instructions SAMHSA grant program as the source of application deadline. Applications provided on the survey form. funding for the project. received after this date must have a proof • Include a disclaimer stating that the of mailing date from the carrier dated at 3. Reporting Requirements views and opinions contained in the least 1 week prior to the due date. Private metered postmarks are not acceptable as 3.1 Progress and Financial Reports publication do not necessarily reflect proof of timely mailing. Applications not • Grantees must provide annual and those of SAMHSA or the U.S. received by the application deadline or not final progress reports. The final progress Department of Health and Human postmarked at least 1 week prior to the report must summarize information Services, and should not be construed application deadline will not be reviewed. from the annual reports, describe the as such. —Information provided must be sufficient for SAMHSA reserves the right to issue a review. accomplishments of the project, and —Text must be legible. describe next steps for implementing press release about any publication • deemed by SAMHSA to contain Type size in the Project Narrative cannot plans developed during the grant exceed an average of 15 characters per inch, period. information of program or policy • as measured on the physical page. (Type size Grantees must provide annual and significance to the substance abuse in charts, tables, graphs, and footnotes will final financial status reports. These treatment/substance abuse prevention/ not be considered in determining reports may be included as separate mental health services community. compliance.)

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• Text in the Project Narrative cannot —Pages should not have printing on both develop and use fidelity instruments is exceed 6 lines per vertical inch. sides. available from the SAMHSA-funded —Paper must be white paper and 8.5 inches —Please use black ink and number pages Evaluation Technical Assistance Center at by 11.0 inches in size. consecutively from beginning to end so http://tecathsri.org or by calling (617) 876– —To ensure equity among applications, the that information can be located easily 0426. amount of space allowed for the Project during review of the application. The cover Grant: A grant is the funding mechanism Narrative cannot be exceeded. page should be page 1, the abstract page used by the Federal Government when the should be page 2, and the table of contents principal purpose of the transaction is the • Applications would meet this page should be page 3. Appendices should transfer of money, property, services, or requirement by using all margins (left, right, be labeled and separated from the Project anything of value to accomplish a public top, bottom) of at least one inch each, and Narrative and budget section, and the purpose of support or stimulation authorized adhering to the page limit for the Project pages should be numbered to continue the by Federal statute. The primary beneficiary Narrative stated in the specific funding sequence. under a grant or cooperative agreement is the announcement. public, as opposed to the Federal • —Send the original application and two Should an application not conform to copies to the mailing address in the Government. these margin or page limits, SAMHSA will funding announcement. Please do not use In-Kind Contribution: In-kind contributions use the following method to determine staples, paper clips, and fasteners. Nothing toward a grant project are non-cash compliance: The total area of the Project should be attached, stapled, folded, or contributions (e.g., facilities, space, services) Narrative (excluding margins, but including pasted. Do not use heavy or lightweight that are derived from non-Federal sources, charts, tables, graphs and footnotes) cannot paper or any material that cannot be copied such as State or sub-State non-Federal exceed 58.5 square inches multiplied by the using automatic copying machines. Odd- revenues, foundation grants, or contributions page limit. This number represents the full sized and oversized attachments such as from other non-Federal public or private page less margins, multiplied by the total posters will not be copied or sent to entities. number of allowed pages. reviewers. Do not include videotapes, Logic Model: A logic model is a • Space will be measured on the physical audiotapes, or CD–ROMs. diagrammatic representation of a theoretical page. Space left blank within the Project framework. A logic model describes the Narrative (excluding margins) is considered Appendix B—Glossary logical linkages among program resources, part of the Project Narrative, in determining conditions, strategies, short-term outcomes, Best Practice: Best practices are practices compliance. and long-term impact. More information on that incorporate the best objective —The page limit for Appendices stated in the how to develop logics models and examples information currently available regarding can be found through the resources listed in specific funding announcement cannot be effectiveness and acceptability. exceeded. Appendix C. Catchment Area: A catchment area is the Practice: A practice is any activity, or To facilitate review of your application, geographic area from which the target collective set of activities, intended to follow these additional guidelines. Failure to population to be served by a program will be improve outcomes for people with or at risk adhere to the following guidelines will not, drawn. for substance abuse and/or mental illness. in itself, result in your application being Cooperative Agreement: A cooperative Such activities may include direct service screened out and returned without review. agreement is a form of Federal grant. provision, or they may be supportive However, the information provided in your Cooperative agreements are distinguished activities, such as efforts to improve access application must be sufficient for review. from other grants in that, under a cooperative to and retention in services, organizational Following these guidelines will help ensure agreement, substantial involvement is efficiency or effectiveness, community your application is complete, and will help anticipated between the awarding office and readiness, collaboration among stakeholder reviewers to consider your application. the recipient during performance of the groups, education, awareness, training, or —The 10 application components required funded activity. This involvement may any other activity that is designed to improve for SAMHSA applications should be include collaboration, participation, or outcomes for people with or at risk for included. These are: intervention in the activity. HHS awarding substance abuse or mental illness. offices use grants or cooperative agreements • Face Page (Standard Form 424, which is Practice Support System: This term refers (rather than contracts) when the principal to contextual factors that affect practice in PHS 5161–1) purpose of the transaction is the transfer of • Abstract delivery and effectiveness in the pre- • money, property, services, or anything of adoption phase, delivery phase, and post- Table of Contents value to accomplish a public purpose of • Budget Form (Standard Form 424A, delivery phase, such as (a) community support or stimulation authorized by Federal collaboration and consensus building, (b) which is in PHS 5161–1) statute. The primary beneficiary under a training and overall readiness of those • Project Narrative and Supporting grant or cooperative agreement is the public, implementing the practice, and (c) sufficient Documentation as opposed to the Federal Government. ongoing supervision for those implementing • Appendices • Cost Sharing or Matching: Cost sharing the practice. Assurances (Standard Form 424B, which refers to the value of allowable non-Federal Stakeholder: A stakeholder is an is in PHS 5161–1) contributions toward the allowable costs of a individual, organization, constituent group, • Certifications (a form in PHS 5161–1) • Federal grant project or program. Such or other entity that has an interest in and will Disclosure of Lobbying Activities contributions may be cash or in-kind be affected by a proposed grant project. (Standard Form LLL, which is in PHS 5161– contributions. For SAMHSA grants, cost Sustainability: Sustainability is the ability 1) • sharing or matching is not required, and to continue a program or practice after Checklist (a form in PHS 5161–1) applications will not be screened out on the SAMHSA grant funding has ended. —Applications should comply with the basis of cost sharing. However, applicants Target Population: The target population is following requirements: often include cash or in-kind contributions in the specific population of people whom a • Provisions relating to confidentiality, their proposals as evidence of commitment to particular program or practice is designed to participant protection and the protection of the proposed project. This is allowed, and serve or reach. human subjects specified in Section IV–2.4 of this information may be considered by Wraparound Service: Wraparound services the FY 2004 standard funding reviewers in evaluating the quality of the are non-clinical supportive services—such as announcements. application. child care, vocational, educational, and • Budgetary limitations as specified in Fidelity: Fidelity is the degree to which a transportation services—that are designed to Section I, II, and IV–5 of the FY 2004 specific implementation of a program or improve the individual’s access to and standard funding announcements. practice resembles, adheres to, or is faithful retention in the proposed project. • Documentation of nonprofit status as to the evidence-based model on which it is Appendix C—Logic Model Resources required in the PHS 5161–1. based. Fidelity is formally assessed using —Pages should be typed single-spaced with rating scales of the major elements of the Chen, W.W., Cato, B.M., & Rainford, N. one column per page. evidence-based model. A toolkit on how to (1998–9). Using a logic model to plan and

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evaluate a community intervention program: Implementation Grants, and Service to SUPPLEMENTARY INFORMATION: SAMHSA A case study. International Quarterly of Science Grants. The primary purpose of is republishing its standard Best Community Health Education, 18(4), 449– this republication is to revise the criteria Practices Planning and Implementation 458. used to screen out applications from Grants announcement to make the Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). A community peer review. Motivated by the need to criteria used to screen out applications approach for Native American drug and assure equitable opportunity and a from peer review more lenient, alcohol prevention programs: A logic model ‘‘level playing field’’ to all applicants, permitting a greater number of framework. Alcoholism Treatment Quarterly, SAMHSA believes the screening criteria applications to be reviewed. This 13(2), 43–62. in these announcements will not best republication also includes an Hernandez, M. & Hodges, S. (2003). serve the public unless revised and additional award criterion in Section V, Crafting Logic Models for Systems of Care: republished. This is a republication of updated agency contact information in Ideas into Action. [Making children’s mental the Best Practices Planning and Section VII, and minor technical health services successful series, volume 1]. Tampa, FL: University of South Florida, The Implementation Grants announcement. changes to comply with the formatting Louis de la Parte Florida Mental Health This republication makes those criteria requirements for announcement of Institute, Department of Child & Family more lenient, permitting a greater Federal funding opportunities, as Studies. http://cfs.fmhi.usf.edu or phone number of applications to be reviewed. specified by the Office of Management (813) 974–4651 The revisions to the criteria can be and Budget. The text for the republished Hernandez, M. & Hodges, S. (2001). found, in their entirety, in: Section IV, standard Best Practices Planning and Theory-based accountability. In M. Application and Submission Implementation Grants announcement Hernandez & S. Hodges (Eds.), Developing Information; and Appendix A, Checklist is provided below. Outcome Strategies in Children’s Mental Health, pp. 21–40. Baltimore: Brookes. for Formatting Requirements and The standard Best Practices Planning Julian, D.A. (1997). Utilization of the logic Screenout Criteria for SAMHSA Grant and Implementation Grants model as a system level planning and Applications. Additional references to announcement will be posted on evaluation device. Evaluation and Planning, the criteria elsewhere in the text have SAMHSA’s web page (www.samhsa.gov) 20(3), 251–257. been changed to be consistent with the and will be available from SAMHSA’s Julian, D.A., Jones, A., & Deyo, D. (1995). revised criteria in Section IV and clearinghouses on an ongoing basis. The Open systems evaluation and the logic Appendix A. model: Program planning and evaluation standard announcements will be used in In addition, this republication conjunction with brief Notices of tools. Evaluation and Program Planning, includes an additional award criterion 18(4), 333–341. Funding Availability (NOFAs) that will Patton, M.Q. (1997). Utilization-Focused in Section V, updated agency contact announce the availability of funds for Evaluation (3rd Ed.), pp. 19, 22, 241. information in Section VII, and minor specific grant funding opportunities Thousand Oaks, CA: Sage. technical changes to comply with the within each of the standard grant Wholey, J.S., Hatry, H.P., Newcome, K.E. formatting requirements for programs (e.g., Homeless Treatment (Eds.) (1994). Handbook of Practical Program announcement of Federal funding grants, Statewide Family Network Evaluation. San Francisco, CA: Jossey-Bass opportunities, as specified by the Office Inc. grants, HIV/AIDS and Substance Abuse of Management and Budget. Prevention Planning Grants, etc.). Dated: February 26, 2004. This notice provides the republished Daryl Kade, text for SAMHSA’s standard Best Department of Health and Human Director, Office of Policy, Planning and Practices Planning and Implementation Services Budget, Substance Abuse and Mental Health Grants announcement. Substance Abuse and Mental Health Services Administration. DATES: Use of the republished standard Services Administration [FR Doc. 04–4692 Filed 3–5–04; 8:45 am] Best Practices Planning and BILLING CODE 4162–20–P Implementation Grants announcement Best Practices Planning and will be effective March 8, 2004. The Implementation Grants BPPI 04 PA standard Best Practices Planning and (MOD) (Modified Announcement) DEPARTMENT OF HEALTH AND Implementation Grants announcement Catalogue of Federal Domestic Assistance HUMAN SERVICES must be used in conjunction with (CFDA) No.: 93.243 (unless otherwise separate Notices of Funding Availability specified in a NOFA in the Federal Substance Abuse and Mental Health (NOFAs) that will provide application Register and on www.grants.gov) Services Administration due dates and other key dates for Key Dates Notice of Republication of Standard specific SAMHSA grant-funding Application Deadline: This Program Best Practices Planning and opportunities. Announcement provides instructions Implementation Grants Announcement ADDRESSES: Questions about SAMHSA’s standard Best Practices Planning and and guidelines for multiple funding Implementation Grants announcement opportunities. Application deadlines for Authority: Sections 509, 516, and 520A of specific funding opportunities will be the Public Health Service Act. may be directed to Cathy Friedman, published in Notices of Funding AGENCY: M.A., Office of Policy, Planning and Substance Abuse and Mental Availability (NOFAs) in the Federal Health Services Administration, HHS. Budget, 5600 Fishers Lane, Room 12C– 26, Rockville, Maryland 20857. Fax: Register and on www.grants.gov. ACTION: Notice of republication of (301–594–6159) E-mail: Intergovernmental Review (E.O. Standard Best Practices Planning and [email protected]. 12372): Letters from State Single Point Implementation Grants Announcement. FOR FURTHER INFORMATION CONTACT: of Contact (SPOC) are due 60 days after SUMMARY: On November 21, 2003, the Cathy Friedman, M.A., Office of Policy, application deadline. Substance Abuse and Mental Health Planning and Budget, 5600 Fishers Public Health System Impact Services Administration published Lane, Room 12C–26, Rockville, Statement (PHSIS)/Single State Agency standard grant announcements for Maryland 20857. Fax: (301–594–6159) Coordination: Applicants must send the Services Grants, Infrastructure Grants, E-mail: [email protected]. Phone: PHSIS to appropriate State and local Best Practices Planning and (301) 443–6902. health agencies by application deadline.

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Comments from Single State Agency are changes but are not designed to fund • Center for Mental Health Services due 60 days after application deadline. services. (CMHS) Evidence-Based Practice Tool Kits • Service to Science Grants document and (see Appendix D) Table of Contents evaluate innovative practices that address • List of Evidence-Based Substance Abuse I. Funding Opportunity Description critical substance abuse and mental health Treatment Practices (see Appendix E) 1. Introduction service gaps but that have not yet been • Additional practices identified in the 2. Expectations formally evaluated. NOFA for a specific funding opportunity, if II. Award Information This announcement describes the general applicable 1. Award Amount program design and provides application Applicants proposing practices that are not 2. Funding Mechanism instructions for all SAMHSA BPPI Grants. included in the above-referenced sources III. Eligibility Information The availability of funds for specific BPPI must provide a narrative justification that 1. Eligible Applicants Grants will be announced in supplementary summarizes the evidence for effectiveness 2. Cost Sharing Notices of Funding Availability (NOFAs) in and acceptability of the proposed practice. 3. Other the Federal Register and at www.grants.gov— The preferred evidence of effectiveness and IV. Application and Submission Information the Federal grant announcement web page. acceptability will include the findings from 1. Address To Request Application Package SAMHSA’s BPPI Grants are authorized clinical trials, efficacy and/or effectiveness 2. Content and Form of Application under Section 509, 516 and/or 520A of the studies published in the peer-reviewed Submission Public Health Service Act, unless otherwise literature. 3. Submission Dates and Times specified in a NOFA in the Federal Register In areas where little or no research has 4. Intergovernmental Review (E.O. 12372) and on www.grants.gov. been published in the peer-reviewed Typically, funding for BPPI Grants will be Requirements scientific literature, the applicant may targeted to specific populations and/or issue 5. Funding Limitations/Restrictions present evidence involving studies that have areas, which will be specified in the NOFAs. 6. Other Submission Requirements not been published in the peer-reviewed The NOFAs will also: V. Application Review Information research literature and/or documents • Specify total funding available for the 1. Evaluation Criteria describing formal consensus among first year of the grants and the expected size 2. Review and Selection Process recognized experts. If consensus documents VI. Award Administration Information and number of awards; are presented, they must describe consensus 1. Award Notices • Provide the application deadline; among multiple experts whose work is 2. Administrative and National Policy • Note any specific program requirements recognized and respected by others in the Requirements for each funding opportunity; and field. Local recognition of an individual as a 3. Reporting Requirements • Include any limitations or exceptions to respected or influential person at the VII. Agency Contacts the general provisions in this announcement Appendix A—Checklist for Formatting (e.g., eligibility, award size, allowable community level is not considered a Requirements and Screenout Criteria for activities). ‘‘recognized expert’’ for this purpose. SAMHSA Grant Applications It is, therefore, critical that you consult the In presenting evidence in support of the Appendix B—Glossary NOFA as well as this announcement in proposed practice, applicants must show that Appendix C—National Registry of Effective developing your grant application. the evidence presented is the best objective information available. Programs 2. Expectations Appendix D—Center for Mental Health Justifying Selection of the Practice/Service Services Evidence-Based Practice SAMHSA’s BPPI program promotes the use for the Target Population Toolkits of practices that incorporate the best objective information available regarding Regardless of the strength of the evidence Appendix E—Effective Substance Abuse base for the practice, all applicants must Treatment Practices effectiveness and acceptability. SAMHSA show that the proposed practice is Appendix F—Logic Model Resources refers to these as ‘‘best practices.’’ BPPI grants may address needs in the areas of appropriate for the proposed target I. Funding Opportunity Description substance abuse prevention, substance abuse population. Ideally, this evidence will include research findings on effectiveness 1. Introduction treatment and/or mental health services. SAMHSA understands that the ‘‘best and acceptability specific to the proposed The Substance Abuse and Mental Health practices’’ proposed for BPPI grants may target population. However, if such evidence Services Administration (SAMHSA) need to be adapted to certain populations. is not available, the applicant should provide announces its intent to solicit applications Therefore, SAMHSA’s BPPI grants support a justification for using the proposed practice for Best Practices Planning and adaptation and evaluation of best practices in with the target population. This justification Implementation (BPPI) grants for substance addition to planning and implementation. might involve, for example, a description of abuse prevention, substance abuse treatment, adaptations to the proposed practice based and mental health services. These grants will 2.1 Documenting the Evidence Base for on other research involving the target help communities and providers identify Selected Practices population. substance abuse prevention, substance abuse Applicants must document in their Justifying Adaptations/Modifications of the treatment, and/or mental health practices, applications that the practices they propose Proposed Practice develop strategic plans for implementing/ to implement are evidence-based practices. adapting those practices, and pilot-test the In addition, applicants must justify use of the SAMHSA has found that a high degree of practices. The practices proposed by proposed practices for the target population faithfulness or ‘‘fidelity’’ (see Glossary) to the applicants for SAMHSA’s BPPI grants must along with any adaptations or modifications original model for an evidence-based practice incorporate the best objective information necessary to meet the unique needs of the increases the likelihood that positive available regarding effectiveness and target population or otherwise increase the outcomes will be achieved when the model acceptability. Often, these practices will have likelihood of achieving positive outcomes. is used by others. Therefore, SAMHSA strong evidence of effectiveness. However, Further guidance on each of these encourages fidelity to the original evidence- because the evidence base is limited in some requirements is provided below. based practice to be implemented. However, areas, SAMHSA may fund some practices for SAMHSA recognizes that adaptations or which the evidence base, while limited, is Documenting the Evidence-Based Practice/ modifications to the original model may be sound. Service necessary for a variety of reasons: SAMHSA also funds grants under three SAMHSA has already determined that • To allow implementers to use resources other standard grant announcements: certain practices are solidly evidence-based efficiently. • Services Grants provide funding to practices and encourages applicants to select • To adjust for specific needs of the client implement substance abuse and mental practices from the following sources (though population. health services. this is not required): • To address unique characteristics of the • Infrastructure Grants support • SAMHSA’s National Registry of Effective local community where the practice will be identification and implementation of systems Programs (NREP) (see Appendix C) implemented.

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All applicants must describe and justify 2.3 Performance Requirements • Plans for fully implementing the best any adaptations or modifications to the All grantees will be required to meet the practice after the end of the Phase II award proposed practice that will be made. following evaluation and performance 2.4 Performance Measurement 2.2 Program Design requirements. Applicants are not required to The Government Performance and Results receive a Phase I award before applying for SAMHSA will fund BPPI grants in two Act of 1993 (Pub. L. 103–62, or ‘‘GPRA’’) a Phase II award. However, all Phase II requires all Federal agencies to set program phases. Phase I is a planning and consensus- applicants must meet the Phase I building phase that supports grantees for up performance targets and report annually on performance requirements (i.e., the degree to which the previous year’s to 18 months. Phase II is a pilot, adaptation, documentation that consensus has been implementation, and evaluation phase that targets were met. achieved and that a strategic plan is in place) Agencies are expected to evaluate their supports grantees for up to 3 years. before applying for a Phase II award. Phase programs regularly and to use results of these II applicants need not have been Phase I Phase I: Planning and Consensus Building evaluations to explain their successes and grantees. The goals of Phase I are to achieve failures and justify requests for funding. consensus among community stakeholders to Phase I: Planning and Consensus Building To meet the GPRA requirements, SAMHSA adopt a best practice and to engage in By the end of Phase I, grantees will be must collect performance data (i.e., ‘‘GPRA strategic planning for its implementation. required to provide documentation that data’’) from grantees. Grantees are required to Phase I grants may include, but are not consensus has been achieved for adopting a report these GPRA data to SAMHSA on a limited to, the following types of activities: best practice. That documentation must timely basis. • Build and maintain a coalition of include: Specifically, grantees will be required to • provide data on a set of required measures, stakeholders to fund, oversee, use, and A report that summarizes the evaluation as specified in the NOFA. The data collection provide a sustainable best practice. of the consensus building process. • A description of how key stakeholders tools to be used for reporting the required • Train and educate key stakeholders were included in the consensus building. data will be provided in the application kits about the best practice. • Letters of support or other demonstration distributed by SAMHSA’s clearinghouses • Consult experts about the practice. • of stakeholders’ commitment to adopt the and posted on SAMHSA’s website along with Consult leaders from other communities practice. each NOFA. In your application, you must about their experiences in implementing the • A strategic plan for implementing the demonstrate your ability to collect and report practice. best practice that includes a financing plan, on these measures, and you may be required • Reimburse stakeholders for their signed by the funding source(s) that will to provide some baseline data. transportation or child care costs. provide the resources necessary to address The terms and conditions of the grant • Engage professionals to help build barriers and implement a sustainable best award also will specify the data to be consensus and plan strategy. practice. [Note: if it is not possible for a submitted and the schedule for submission. • Adapt the best practice to community grantee to complete a strategic plan, grantees Grantees will be required to adhere to these needs without sacrificing its effectiveness. will be required to provide an analysis of terms and conditions of award. • Identify and obtain the commitment of progress made and barriers to completing the Applicants should be aware that SAMHSA permanent sources to fund the best practice. strategic plan instead.] is working to develop a set of required core • Design the evaluation of the best Phase II: Pilot Test, Adaptation, performance measures for each of SAMHSA’s practice. Implementation, and Evaluation standard grants (i.e., Services Grants, • Evaluate the process of consensus Infrastructure Grants, Best Practices Planning building among stakeholders (required). By the end of Phase II, grantees must and Implementation Grants, and Service-to- provide the following information: Science Grants). As this effort proceeds, some Phase II: Pilot test, Adaptation, • Pilot test results. of the data collection and reporting Implementation, and Evaluation • Results from process/outcome evaluation requirements included in SAMHSA’s NOFAs The goals of Phase II grants are to pilot test of full Phase II project. may change. All grantees will be expected to • and evaluate the best practices before full In cases where the implementation was comply with any changes in data collection implementation, modify strategic/financial judged a success, a manual describing the requirements that occur during the grantee’s plans, and prepare for full-scale practice in detail for replication of the project period. practice. The manual should explain how the implementation. Implementation does not 2.5 Evaluation include service delivery. The following are project team determined the degree of examples of activities that can be funded success, referring to qualitative and Grantees must evaluate their projects, and applicants are required to describe their during Phase II: quantitative data. • In cases where the implementation was evaluation plans in their applications. The • Pilot test the practice on a sample of judged not to be successful, a report detailing evaluation should be designed to provide service recipients and evaluate the pilot test. the lessons learned, with recommendations regular feedback to the project to improve • Modify the best practice based on for other programs interested in implementation of the best practice and, consultation with stakeholders and practice implementing the best practice. The report ultimately, the outcomes that will result from experts, other community experiences, and should explain how the project team implementation of the best practice. pilot test results. • determined the degree of success, referring to Phase I grantees must conduct a process Revise the manual or documentation that qualitative and quantitative data. evaluation. Phase II grantees must conduct a describes in detail how the best practice was • Documentation that staff are trained in process and outcome evaluation of the pilot modified. the practice and of a mechanism for training test, as well as a process and outcome • Maintain the coalition of stakeholders to new staff. evaluation of the full Phase II project. oversee Phase II activities. • Process evaluation results that describe Process and outcome evaluations must • Secure consultants to make changes how the practice was operationalized, measure change relating to project goals and required to implement and finance the best including changes in the organizational objectives over time compared to baseline practice. infrastructure, permanent funding sources, information. Both Phase I and Phase II • Make organizational changes (e.g., hiring and staff consultation and training activities. grantees must include the require staff) necessary to implement the best • Outcome evaluation results that performance measures described in the practice. describe: NOFA in their evaluations. Control or • Provide necessary education, training, • Demographic characteristics of the clients comparison groups are not required. You and technical assistance for staff. served must consider your evaluation plan when Up to 25% of the Phase II grant award may • Service utilization preparing the project budget. be used to evaluate the pilot test of the best • Practice outcomes Process components should address issues practice. During the course of a Phase II • Client satisfaction such as: award, SAMHSA will provide funding for • Fidelity of the modified practice to the best • How closely did implementation match direct services as part of the pilot test. practice the plan?

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• What types of deviation from the plan III. Eligibility Information 2. Content and Form of Application occurred? Submission • 1. Eligible Applicants What led to the deviations? 2.1 Required Documents • What effect did the deviations have on Eligible applicants are domestic public and the intervention and evaluation? private nonprofit entities. For example, State, SAMHSA application kits include the • following documents: For pilot test evaluations, who provided local or tribal governments; public or private • (program, staff) what services (modality, universities and colleges; community- and PHS 5161–1 (revised July 2000)— Includes the face page, budget forms, type, intensity, duration), to whom faith-based organizations; and tribal assurances, certification, and checklist. (individual characteristics), in what context organizations may apply. The statutory Applicants must use the PHS 5161–1 for (system, community), and at what cost authority for this program precludes grants to their application, unless otherwise specified (facilities, personnel, dollars)? for-profit organizations. The NOFA will in the NOFA. Applications that are not indicate any limitations on eligibility. Outcome components should address submitted on the required application form issues such as: • 2. Cost Sharing (i.e., the PHS 5161–1 in most situations) will What was the effect of the project on the be screened out and will not be reviewed. Cost sharing (see Glossary) is not required service delivery system and/or on • Program Announcement (PA)—Includes participants in the project? in this program, and applications will not be • instructions for the grant application. This What program/contextual factors were screened out on the basis of cost sharing. document is the PA. associated with outcomes? However, you may include cash or in-kind • Notice of Funding Availability (NOFA)— • What individual factors were associated (see Glossary) contributions in your proposal Provides specific information about with outcomes? as evidence of commitment to the proposed availability of funds, as well as any • How durable were the effects? project. exceptions or limitations to provisions in the No more than 20% of the total Phase I 3. Other PA. The NOFAs will be published in the grant award and 25% of the total Phase II Federal Register as well as on the Federal grant award may be used for evaluation and Applications must comply with the grants web site (www.grants.gov). data collection. following requirements, or they will be You must use all of the above documents screened out and will not be reviewed: Use 2.6 Grantee Meetings in completing your application. of the PHS 5161–1 application; application 2.2 Required Application Components You must plan to send a minimum of two submission requirements in Section IV–3 of people (including the Project Director) to at this document; and formatting requirements To ensure equitable treatment of all least one joint grantee meeting in each year provided in Section IV–2.3 of this document. applications, applications must be complete. of the grant, and you must include funding Applicants should be aware that the NOFA In order for your application to be complete, for this travel in your budget. At these may include additional requirements that, if it must include the required ten application meetings, grantees will present the results of not met, will result in applications being components (Face Page, Abstract, Table of their projects and Federal staff will provide screened out and returned without review. Contents, Budget Form, Project Narrative and technical assistance. Each meeting will be 3 These requirements will be specified in Supporting Documentation, Appendices, days. These meetings will usually be held in Section III–3 of the NOFA. Assurances, Certifications, Disclosure of the Washington, D.C., area, and attendance is You also must comply with any additional Lobbying Activities, and Checklist). mandatory. program requirements specified in the —Face Page—Use Standard Form (SF) 424, which is part of the PHS 5161–1. [Note: II. Award Information NOFA, such as the required signature of certain officials on the face page of the Beginning October 1, 2003, applicants will 1. Award Amount application and/or required memoranda of need to provide a Dun and Bradstreet The NOFA will specify the expected award understanding with certain signatories. (DUNS) number to apply for a grant or amount for each funding opportunity. cooperative agreement from the Federal IV. Application and Submission Information Government. SAMHSA applicants will be Regardless of the amount specified, the required to provide their DUNS number on actual award amount will depend on the (To ensure that you have met all submission the face page of the application. Obtaining availability of funds. requirements, a checklist is provided for your a DUNS number is easy and there is no Awards for SAMHSA’s BPPI grants will be use in Appendix A of this document.) charge. To obtain a DUNS number, access made in two phases: 1. Address To Request Application Package the Dun and Bradstreet web site at Phase I—Phase I awards are expected to www.dunandbradstreet.com or call 1–866– range from $150,000–$200,000 in total costs You may request a complete application kit by calling one of SAMHSA’s national 705–5711. To expedite the process, let Dun (direct and indirect) for a project period of up and Bradstreet know that you are a public/ clearinghouses: to 18 months. private nonprofit organization getting • For substance abuse prevention or Phase II—Phase II awards will range from ready to submit a Federal grant treatment grants, call the National $300,000–$500,000 per year in total costs application.] (direct and indirect) for a project period of up Clearinghouse for Alcohol and Drug —Abstract—Your total abstract should be no to 3 years. Information (NCADI) at 1–800–729–6686. • longer than 35 lines. In the first five lines Proposed budgets cannot exceed the For mental health grants, call the or less of your abstract, write a summary allowable amount as specified in the NOFA National Mental Health Information Center at of your project that can be used, if your in any year of the proposed project. Annual 1–800–789–CMHS (2647). project is funded, in publications, continuation awards will depend on the You also may download the required reporting to Congress, or press releases. availability of funds, grantee progress in documents from the SAMHSA web site at —Table of Contents—Include page numbers meeting project goals and objectives, and www.samhsa.gov. Click on ‘‘grant for each of the major sections of your timely submission of required data and opportunities.’’ application and for each appendix. reports. Additional materials available on this web —Budget Form—Use SF 424A, which is part site include: of the PHS 5161–1. Fill out Sections B, C, 2. Funding Mechanism • A technical assistance manual for and E of the SF 424A. The NOFA will indicate whether awards potential applicants; —Project Narrative and Supporting for each funding opportunity will be made as • Standard terms and conditions for Documentation—The Project Narrative grants or cooperative agreements (see the SAMHSA grants; describes your project. It consists of Glossary in Appendix B for further • Guidelines and policies that relate to Sections A through E for Phase I and explanation of these funding mechanisms). SAMHSA grants (e.g., guidelines on cultural Section A through D for Phase II. Sections For cooperative agreements, the NOFA will competence, consumer and family A–E (Phase I) together may not be longer describe the nature of Federal involvement in participation, and evaluation); and than 30 pages and Sections A though D project performance and specify roles and • Enhanced instructions for completing (Phase II) together may not be longer than responsibilities of grantees and Federal staff. the PHS 5161–1 application. 30 pages. More detailed instructions for

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completing each section of the Project —Assurances—Non-Construction Programs. —The 30-page limit for Appendices 1, 3, 4 Narrative are provided in ‘‘Section V— Use Standard Form 424B found in PHS and 6 cannot be exceeded. To facilitate Application Review Information’’ of this 5161–1. Some applicants will be required review of your application, follow these document. to complete the Assurance of Compliance additional guidelines. Failure to adhere to The Supporting Documentation provides with SAMHSA Charitable Choice Statutes the following guidelines will not, in itself, additional information necessary for the and Regulations Form SMA 170. If this result in your application being screened review of your application. This supporting assurance applies to a specific funding out and returned without review. However, documentation should be provided opportunity, it will be posted on following these guidelines will help immediately following your Project Narrative SAMHSA’s web site with the NOFA and reviewers to consider your application. in Sections F through I. (Note: Phase II provided in the application kits available —Pages should be typed single-spaced with applications will not have a Section E.) There at SAMHSA’s clearinghouse (NCADI). one column per page. are no page limits for these sections, except —Certifications—Use the ‘‘Certifications’’ —Pages should not have printing on both for Section H, the Biographical Sketches/Job forms found in PHS 5161–1. sides. Descriptions. —Disclosure of Lobbying Activities—Use —Please use black ink and number pages • Section F—Literature Citations. This Standard Form LLL found in PHS 5161–1. consecutively from beginning to end so section must contain complete citations, Federal law prohibits the use of that information can be located easily including titles and all authors, for any appropriated funds for publicity or during review of the application. The cover literature you cite in your application. propaganda purposes, or for the • page should be page 1, the abstract page Section G—Budget Justification, Existing preparation, distribution, or use of should be page 2, and the table of contents Resources, Other Support. You must provide information designed to support or defeat page should be page 3. Appendices should a narrative justification of the items included legislation pending before the Congress or be labeled and separated from the Project in your proposed budget, as well as a State legislatures. This includes ‘‘grass Narrative and budget section, and the description of existing resources and other roots’’ lobbying, which consists of appeals pages should be numbered to continue the support you expect to receive for the to members of the public suggesting that sequence. proposed project. If you are applying for a they contact their elected representatives to —Send the original application and two Phase II award, show that no more than 25% indicate their support for or opposition to copies to the mailing address in Section of the total grant award will be used for pending legislation or to urge those IV–6.1 of this document. Please do not use evaluation of the pilot test of the best representatives to vote in a particular way. staples, paper clips, and fasteners. Nothing practice. —Checklist—Use the Checklist found in PHS should be attached, stapled, folded, or • Section H—Biographical Sketches and 5161–1. The Checklist ensures that you pasted. Do not use heavy or lightweight Job Descriptions. have obtained the proper signatures, • Include a biographical sketch for the assurances and certifications and is the last paper or any material that cannot be copied Project Director and other key positions. Each page of your application. using automatic copying machines. Odd- sized and oversized attachments such as sketch should be 2 pages or less. If the person 2.3 Application Formatting Requirements has not been hired, include a letter of posters will not be copied or sent to commitment from the individual with a Applicants also must comply with the reviewers. Do not include videotapes, current biographical sketch. following basic application requirements. audiotapes, or CD-ROMs. • Include job descriptions for key Applications that do not comply with these 2.4 SAMHSA Confidentiality and Participant personnel. Job descriptions should be no requirements will be screened out and will Protection Requirements and Protection of longer than 1 page each. not be reviewed. Human Subjects Regulations • Sample sketches and job descriptions are —Information provided must be sufficient for Applicants must describe procedures listed on page 22, Item 6 in the Program review. relating to Confidentiality, Participant —Text must be legible. Narrative section of the PHS 5161–1. Protection and the Protection of Human • • Section I—Confidentiality and SAMHSA Type size in the Project Narrative cannot Subjects Regulations in Section I of the Participant Protection/Human Subjects. exceed an average of 15 characters per inch, application, using the guidelines provided Section IV–2.4 of this document describes as measured on the physical page. (Type size below. Problems with confidentiality, requirements for the protection of the in charts, tables, graphs, and footnotes will participant protection, and protection of confidentiality, rights and safety of not be considered in determining human subjects identified during peer review participants in SAMHSA-funded activities. compliance.) of the application may result in the delay of This section also includes guidelines for • Text in the Project Narrative cannot funding. completing this part of your application. exceed 6 lines per vertical inch. —Appendices 1 through 6—Use only the —Paper must be white paper and 8.5 inches Confidentiality and Participant Protection appendices listed below. Do not use more by 11.0 inches in size. All applicants must describe how they will than 30 pages for Appendices 1, 3, 4 and —To ensure equity among applications, the address requirements for each of the 6. There are no page limitations for amount of space allowed for the Project following elements relating to confidentiality Appendices 2 and 5. Do not use Narrative cannot be exceeded. and participant protection. appendices to extend or replace any of the • Applications would meet this 1. Protect Clients and Staff from Potential sections of the Project Narrative unless requirement by using all margins (left, right, Risks: specifically required in the NOFA. top, bottom) of at least one inch each, and • Identify and describe any foreseeable Reviewers will not consider them if you adhering to the 30-page limit for the Project physical, medical, psychological, social, and do. Narrative. legal risks or potential adverse effects as a • Appendix 1: Letters of Support. • Should an application not conform to result of the project itself or any data • Appendix 2: Data Collection these margin or page limits, SAMHSA will collection activity. Instruments/Interview Protocols. use the following method to determine • Describe the procedures you will follow • Appendix 3: Sample Consent Forms. compliance: The total area of the Project to minimize or protect participants against • Appendix 4: Letter to the SSA (if Narrative (excluding margins, but including potential risks, including risks to applicable; see Section IV–4 of this charts, tables, graphs and footnotes) cannot confidentiality. document). exceed 58.5 square inches multiplied by 30. • Identify plans to provide guidance and • Appendix 5: A copy of the State or This number represents the full page less assistance in the event there are adverse County Strategic Plan, a State or county margins, multiplied by the total number of effects to participants. needs assessment, or a letter from the State allowed pages. • Where appropriate, describe alternative or county indicating that the proposed • Space will be measured on the physical treatments and procedures that may be project addresses a State- or county- page. Space left blank within the Project beneficial to the participants. If you choose identified priority. Narrative (excluding margins) is considered not to use these other beneficial treatments, • Appendix 6: Evidence of Intent to Adopt part of the Project Narrative, in determining provide the reasons for not using them. (Phase II only). compliance. 2. Fair Selection of Participants:

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• Describe the target population(s) for the participation. Identify the data that will be under the Protection of Human Subjects proposed project. Include age, gender, and collected, how the data will be used and how Regulations, you must describe the process racial/ethnic background and note if the you will keep the data private. for obtaining Institutional Review Board population includes homeless youth, foster • State: (IRB) approval in your application. While children, children of substance abusers, • Whether or not their participation is IRB approval is not required at the time of pregnant women, or other target groups. voluntary. grant award, you will be required, as a • Explain the reasons for including groups • Their right to leave the project at any condition of award, to provide the of pregnant women, children, people with time without problems. documentation that an Assurance of mental disabilities, people in institutions, • Possible risks from participation in the Compliance is on file with the Office for prisoners, and individuals who are likely to project. Human Research Protections (OHRP) and the be particularly vulnerable to HIV/AIDS. • Plans to protect clients from these risks. IRB approval has been received before • Explain the reasons for including or • Explain how you will get consent for enrolling clients in the proposed project. excluding participants. youth, the elderly, people with limited Additional information about Protection of • Explain how you will recruit and select reading skills, and people who do not use Human Subjects Regulations can be obtained participants. Identify who will select English as their first language. on the web at http://ohrp.osophs.dhhs.gov. participants. Note: If the project poses potential You may also contact OHRP by e-mail 3. Absence of Coercion: ([email protected]) or by phone (301– • physical, medical, psychological, legal, social Explain if participation in the project is or other risks, you must obtain written 496–7005). voluntary or required. Identify possible informed consent. 3. Submission Dates and Times reasons why participation is required, for • example, court orders requiring people to Indicate if you will obtain informed Deadlines for submission of applications participate in a program. consent from participants or assent from for specific funding opportunities will be • If you plan to compensate participants, minors along with consent from their parents published in the NOFAs in the Federal state how participants will be awarded or legal guardians. Describe how the consent Register and posted on the Federal grants will be documented. For example: Will you incentives (e.g., money, gifts, etc.). web site (www.grants.gov). Your application • State how volunteer participants will be read the consent forms? Will you ask must be received by the application deadline. told that they may receive services prospective participants questions to be sure Applications received after this date must intervention even if they do not participate they understand the forms? Will you give have a proof-of-mailing date from the carrier in or complete the data collection component them copies of what they sign? • dated at least 1 week prior to the due date. of the project. Include, as appropriate, sample consent Private metered postmarks are not acceptable 4. Data Collection: forms that provide for: (1) Informed consent as proof of timely mailing. • Identify from whom you will collect data for participation in service intervention; (2) You will be notified by postal mail that (e.g., from participants themselves, family informed consent for participation in the data your application has been received. members, teachers, others). Describe the data collection component of the project; and (3) Applications not received by the collection procedures and specify the sources informed consent for the exchange (releasing application deadline or not postmarked by a for obtaining data (e.g., school records, or requesting) of confidential information. week prior to the application deadline will interviews, psychological assessments, The sample forms must be included in be screened out and will not be reviewed. questionnaires, observation, or other Appendix 3, ‘‘Sample Consent Forms,’’ of sources). Where data are to be collected your application. If needed, give English 4. Intergovernmental Review (E.O. 12372) through observational techniques, translations. Requirements questionnaires, interviews, or other direct Note: Never imply that the participant Executive Order 12372, as implemented means, describe the data collection setting. waives or appears to waive any legal rights, through Department of Health and Human • Identify what type of specimens (e.g., may not end involvement with the project, or Services (DHHS) regulation at 45 CFR Part urine, blood) will be used, if any. State if the releases your project or its agents from 100, sets up a system for State and local material will be used just for evaluation or liability for negligence. review of applications for Federal financial if other use(s) will be made. Also, if needed, • Describe if separate consents will be assistance. A current listing of State Single describe how the material will be monitored obtained for different stages or parts of the Points of Contact (SPOCs) is included in the to ensure the safety of participants. application kit and can be downloaded from • project. For example, will they be needed for Provide in Appendix 2, ‘‘Data Collection both participant protection in treatment the Office of Management and Budget (OMB) Instruments/Interview Protocols,’’ copies of intervention and for the collection and use of web site at www.whitehouse.gov/omb/grants/ all available data collection instruments and data? spoc.html. interview protocols that you plan to use. • Additionally, if other consents (e.g., • Check the list to determine whether your 5. Privacy and Confidentiality: consents to release information to others or State participates in this program. You do not • Explain how you will ensure privacy and gather information from others) will be used need to do this if you are a federally confidentiality. Include who will collect data in your project, provide a description of the recognized Indian tribal government. and how it will be collected. consents. Will individuals who do not • If your State participates, contact your • Describe: consent to having individually identifiable SPOC as early as possible to alert him/her to • How you will use data collection data collected for evaluation purposes be the prospective application(s) and to receive instruments. • allowed to participate in the project? any necessary instructions on the State’s Where data will be stored. review process. • Who will or will not have access to 7. Risk/Benefit Discussion: • For proposed projects serving more than information. Discuss why the risks are reasonable one State, you are advised to contact the • How the identity of participants will be compared to expected benefits and SPOC of each affiliated State. kept private, for example, through the use of importance of the knowledge from the • The SPOC should send any State review a coding system on data records, limiting project. process recommendations to the following access to records, or storing identifiers Protection of Human Subjects Regulations address within 60 days of the application separately from data. All applicants proposing a pilot test of the deadline: Substance Abuse and Mental Note: If applicable, grantees must agree to best practice as part of a Phase II project must Health Services Administration, Office of maintain the confidentiality of alcohol and comply with the Protection of Human Program Services, Review Branch, 5600 drug abuse client records according to the Subjects Regulations (45 CFR part 46). Fishers Lane, Room 17–89, Rockville, provisions of Title 42 of the Code of Federal Even if you are not proposing a Phase II Maryland 20857, Attn: SPOC—Funding Regulations, Part II. pilot test of the best practice, the Protection Announcement No. [fill in pertinent funding 6. Adequate Consent Procedures: of Human Subjects Regulations could apply opportunity number from the NOFA]. • List what information will be given to depending on the evaluation you propose. In addition, community-based, non- people who participate in the project. If you are a Phase II applicant proposing governmental service providers who are not Include the type and purpose of their a pilot test or your project otherwise falls transmitting their applications through the

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State must submit a Public Health System • Nonprofit Organizations: OMB Circular applications will not be accepted. Faxed or Impact Statement (PHSIS) (approved by OMB A–122. e-mailed applications will not be accepted. under control no. 0920–0428; see burden • Appendix E Hospitals: 45 CFR Part 74. statement below) to the head(s) of In addition, SAMHSA BPPI Grant V. Application Review Information appropriate State or local health agencies in recipients must comply with the following 1. Evaluation Criteria the area(s) to be affected no later than the funding restrictions: pertinent receipt date for applications. The • No more than 25% of Phase II funding Your application will be reviewed and PHSIS is intended to keep State and local may be used to evaluate the pilot test. BPPI scored according to the quality of your health officials informed of proposed health grant funds may not be used to: response to the requirements listed below for services grant applications submitted by • Pay for any lease beyond the project developing the Project Narrative (Sections A– community-based, non-governmental period. E for Phase I applications and A–D for Phase organizations within their jurisdictions. State • Provide services to incarcerated II applications). These sections describe what and local governments and Indian tribal you intend to do with your project. populations (defined as those persons in jail, • government applicants are not subject to prison, detention facilities, or in custody In developing the Project Narrative these requirements. where they are not free to move about in the section of your application, use these The PHSIS consists of the following community). instructions, which have been tailored to this information: • Pay for the purchase or construction of program. These are to be used instead of the • A copy of the face page of the any building or structure to house any part ‘‘Program Narrative’’ instructions found in application (SF 424); and of the program. (Applicants may request no the PHS 5161–1. • • A summary of the project, no longer than more than $75,000 for renovations and The Project Narrative may be no longer one page in length, that provides: (1) A than 30 pages. alterations of existing facilities, if appropriate • description of the population to be served, (2) and necessary to the project.) You must use the sections/headings a summary of the services to be provided, • Provide residential or outpatient listed below in developing your Project and (3) a description of the coordination treatment services when the facility has not Narrative. Be sure to place the required planned with appropriate State or local yet been acquired, sited, approved, and met information in the correct section, or it will health agencies. all requirements for human habitation and not be considered. Your application will be For SAMHSA grants, the appropriate State services provision. (Expansion or scored according to how well you address the agencies are the Single State Agencies (SSAs) enhancement of existing residential services requirements for each section of the Project for substance abuse and mental health. A is permissible.) Narrative. listing of the SSAs can be found on • • Reviewers will be looking for evidence of SAMHSA’s Web site at www.samhsa.gov. If Pay for housing other than residential mental health and/or substance abuse cultural competence in each section of the the proposed project falls within the Project Narrative. Points will be assigned jurisdiction of more than one State, you treatment. • Provide inpatient treatment or hospital- based on how well you address the cultural should notify all representative SSAs. competence aspects of the evaluation criteria. Applicants who are not the SSA must based detoxification services. Residential services are not considered to be inpatient or SAMHSA’s guidelines for cultural include a copy of a letter transmitting the competence can be found on the SAMHSA PHSIS to the SSA in Appendix 4, ‘‘Letter to hospital-based services. • Pay for incentives to induce clients to web site at www.samhsa.gov. Click on ‘‘Grant the SSA.’’ The letter must notify the State Opportunities.’’ that, if it wishes to comment on the proposal, enter treatment. However, a grantee or • treatment provider may provide up to $20 or The Supporting Documentation you its comments should be sent not later than provide in Sections F-I and Appendices 1–5 60 days after the application deadline to: equivalent (coupons, bus tokens, gifts, will be considered by reviewers in assessing Substance Abuse and Mental Health Services childcare, and vouchers) to clients as your response, along with the material in the Administration, Office of Program Services, incentives to participate in required data Project Narrative. Review Branch, 5600 Fishers Lane, Room 17– collection follow-up. This amount may be • The number of points after each heading 89, Rockville, Maryland 20857, Attn: SSA— paid for participation in each required Funding Announcement No. [fill in pertinent interview. is the maximum number of points a review funding opportunity number from NOFA]. • Implement syringe exchange programs, committee may assign to that section of your In addition: such as the purchase and distribution of Project Narrative. Bullet statements in each • Applicants may request that the SSA syringes and/or needles. section do not have points assigned to them. send them a copy of any State comments. • Pay for pharmacologies for HIV They are provided to invite the attention of • The applicant must notify the SSA antiretroviral therapy, sexually transmitted applicants and reviewers to important areas within 30 days of receipt of an award. diseases (STDs)/sexually transmitted illness within the criterion. [Public reporting burden for the Public (STI), TB, and hepatitis B and C, or for 1.1 Phase I Criteria psychotropic drugs. Health System Reporting Requirement is Section A: Statement of Need (10 Points) estimated to average 10 minutes per 6. Other Submission Requirements • response, including the time for copying the Describe the environment (organization, face page of SF 424 and the abstract and 6.1 Where To Send Applications community, city, or State) where the project preparing the letter for mailing. An agency will be implemented. Send applications to the following address: • may not conduct or sponsor, and a person is Substance Abuse and Mental Health Services Describe the target population (see not required to respond to, a collection of Administration, Office of Program Services, Glossary) as well as the geographic area to be information unless it displays a currently Review Branch, 5600 Fishers Lane, Room 17– served, and justify the selection of both. valid OMB control number. The OMB control 89, Rockville, Maryland, 20857. Include numbers to be served and number for this project is 0920–0428. Send Be sure to include the funding demographic information. Discuss the target comments regarding this burden to CDC announcement number from the NOFA in population’s language, beliefs, norms and Clearance Officer, 1600 Clifton Road, MS D– item number 10 on the face page of the values, as well as socioeconomic factors that 24, Atlanta, GA 30333, Attn: PRA (0920– application. If you require a phone number must be considered in delivering programs to 0428).] for delivery, you may use (301) 443–4266. this population. • Describe the problem the project will 5. Funding Limitations/Restrictions 6.2 How To Send Applications address. Documentation of the problem may Cost principles describing allowable and Mail an original application and 2 copies come from local data or trend analyses, State unallowable expenditures for Federal (including appendices) to the mailing data (e.g., from State Needs Assessments), grantees, including SAMHSA grantees, are address provided above. The original and and/or national data (e.g., from SAMHSA’s provided in the following documents: copies must not be bound. Do not use staples, National Household Survey on Drug Abuse • Institutions of Higher Education: OMB paper clips, or fasteners. Nothing should be and Health or from National Center for Circular A–21. attached, stapled, folded, or pasted. Health Statistics/Centers for Disease Control • State and Local Governments: OMB You must use a recognized commercial or reports). For data sources that are not well Circular A–87. governmental carrier. Hand carried known, provide sufficient information on

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how the data were collected so reviewers can Medicine or other nationally recognized • Describe the key stakeholders (including assess the reliability and validity of the data. organization). The consensus must have been representatives of the target population), how • Non-tribal applicants must show that developed by a group of experts whose work they were selected for participation in the identified needs are consistent with the is recognized and respected by others in the project, and how they represent the priorities of the State or county that has field. Local recognition of an individual as a community. primary responsibility for the service respected or influential person at the • Describe the involvement of key delivery system. Include, in Appendix 5, a community level is not considered a stakeholders in the proposed project, copy of the State or County Strategic Plan, a ‘‘recognized expert’’ for this purpose. including roles and responsibilities of each State or county needs assessment, or a letter —The nature of the consensus that has been stakeholder. Clearly demonstrate each from the State or county indicating that the reached and the process used to reach stakeholder’s commitment to the consensus proposed project addresses a State- or consensus building and strategic planning processes. county-identified priority. Tribal applicants —The extent to which the consensus has Attach letters of support and other must provide similar documentation relating been documented (e.g., in a consensus documents showing stakeholder commitment to tribal priorities. panel report, meeting minutes, or an in Appendix 1: Letters of Support. Identify • Describe the best practice selected and accepted standard practice in the field) any cash or in-kind contributions that will be how it will impact the problem. —Any empirical evidence (whether formally made to the project by the applicant or other • Check the NOFA for any additional published or not) supporting the partnering organizations. requirements. effectiveness of the proposed services/ • Describe how the project components practice Section B: Proposed Evidence-Based Practice will be embedded within the existing service (30 Points) —The rationale for concluding that further empirical evidence does not exist to delivery system, including other SAMHSA- • Clearly state the purpose, goals and support the effectiveness of the proposed funded projects, if applicable. • objectives of your proposed project. Describe services/practice Check the NOFA for any additional how achievement of goals will address the requirements. • Justify the use of the proposed practice needs identified in Section A. Provide a logic for the target population. Describe the types Section D: Management Plan and Staffing (20 model (see Glossary) that links need, key of modifications/adaptations that may be Points) components of the proposed project, and necessary to meet the needs of the target goals/objectives/outcomes of the proposed • Discuss the capability and experience of population, and describe how you will make project. the applicant organization and other • a final determination about the adaptations/ participating organizations with similar Identify the evidenced based practice modifications to be made to meet the needs projects and populations, including that you propose to implement. Describe the of the population. experience in providing culturally evidence-base for the proposed practice and • Identify any additional adaptations or show that it incorporates the best objective appropriate/competent services. modifications that may be necessary to • information available regarding effectiveness successfully implement the proposed Provide a list of staff members who will and acceptability. Follow the instructions conduct the project, showing the role of each ι ι ι practice in the target community. Describe provided in 1, 2 or 3 below, as appropriate. how you will make a final determination and their level of effort and qualifications. Depending on the evidence you provide, you about the adaptations/modifications to be Include the Project Director and other key may follow more than one set of instructions: made. personnel, including evaluators and database 1. If you are proposing to implement a • Describe how the proposed project will management personnel. practice included in NREP (see Appendix C), address issues of age, race, ethnicity, culture, • Provide evidence that the service staff one of the CMHS tool-kits on evidence-based language, sexual orientation, disability, proposed to conduct the evidence-based practices (see Appendix D), the list of literacy, and gender in the target population, practice have the level of abilities and Effective Substance Abuse Treatment while retaining fidelity to the chosen experience necessary to implement the Practices (see Appendix E), or the NOFA (if practice. practice with fidelity to the model, once they applicable), simply identify the practice and • Check the NOFA for any additional have received any necessary training. state the source from which it was selected. requirements. • Identify the project staff or contractor(s) You do not need to provide further evidence Section C: Proposed Implementation who will develop the implementation of effectiveness. Approach (25 Points) manual, and demonstrate that they have the 2. If you are providing evidence that • Describe how the proposed grant project requisite skills and experience. includes scientific studies published in the • Describe the racial/ethnic characteristics peer-reviewed literature or other studies that will be implemented. Provide a realistic time line for the project (chart or graph) showing of key staff and indicate if any are members have not been published, describe the extent of the target population/community. If the to which: key activities, milestones, and responsible staff. [Note: The timeline should be part of target population is multi-linguistic, indicate —The practice has been evaluated and the the Project Narrative. It should not be placed if the staffing pattern includes bilingual or quality of the evaluation studies (e.g., in an appendix.] bicultural individuals. whether they are descriptive, quasi- • Describe the strategies or models that • If you plan to have an advisory body, experimental studies, or experimental will be used to build consensus, including a describe its composition, roles, and studies) description of how key stakeholders (see frequency of meetings. —The practice has demonstrated positive Glossary) will be educated about the best • Describe the resources available for the outcomes and for what populations the practice. Describe potential barriers to proposed project (e.g., facilities, equipment), positive outcomes have been demonstrated achieving consensus among stakeholders. and provide evidence that services will be —The practice has been documented (e.g., What resources and plans will you use to provided in a location that is adequate, through development of guidelines, tool overcome these barriers? accessible, compliant with the Americans kits, treatment protocols, and/or manuals) • Describe the process that will be used to with Disabilities Act (ADA), and amenable to and replicated develop a strategic plan to implement the the target population. —Fidelity measures have been developed best practice. Address such issues as needs • Check the NOFA for any additional (e.g., no measures developed, key assessment, identification of specific requirements. components identified, or fidelity milestones that must be achieved in order to Section E: Evaluation Design and Analysis measures developed) implement the best practice, and plans for (15 Points) 3. If you are providing evidence based on assigning responsibility for achieving a formal consensus process involving milestones among participating • Describe the design for evaluating the recognized experts in the field, describe: organizations/stakeholders. Identify potential consensus building and strategic planning The experts involved in developing funding source(s) that will help implement processes. Include a detailed discussion of consensus on the proposed service/practice the best practice. Describe how the funder(s) how all variables (e.g., community (e.g., members of an expert panel formally will join in the consensus building and representation and stakeholder support) will convened by SAMHSA, NIH, the Institute of strategic planning. be defined and measured. Explain how the

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evaluation plan will ensure that the decision these supporting documents in Appendix 6: peer-reviewed literature or other studies that to adopt is an accurate reflection of the Evidence of Intent to Adopt. have not been published, describe the extent stakeholders’ intent. • Provide and describe the financing plan. to which: • Document your ability to collect and Include anticipated costs and sources of —The service/practice has been evaluated report on the required performance measures revenue that will maintain the practice. and the quality of the evaluation studies as specified in the NOFA, including data Attach the financing plan, signed by the (e.g., whether they are descriptive, quasi- required by SAMHSA to meet GPRA funding source(s), stating their intent to fund experimental studies, or experimental requirements. Specify and justify any in Appendix 6: Evidence of Intent to Adopt. studies) additional measures you plan to use for your • Check the NOFA for any additional —The service/practice has demonstrated grant project. requirements. positive outcomes and for what • Describe the process for providing If you are applying for a Phase II award but populations the positive outcomes have regular feedback from evaluation activities to did not previously receive a Phase I award, been demonstrated the Project Director and participants. include the following information: —The service/practice has been documented • Describe plans for data collection, • Clearly state the purpose, goals and (e.g., through development of guidelines, management, analysis, interpretation and objectives of your proposed project. Describe tool kits, treatment protocols, and/or reporting. Describe the existing approach to how achievement of goals will produce manuals) and replicated the collection of relevant data, along with meaningful and relevant results. Provide a —Fidelity measures have been developed any necessary modifications. logic model (see Glossary) that links need, (e.g., no measures developed, key • Discuss the reliability and validity of the services or practice to be implemented, components identified, or fidelity evaluation methods and instruments(s) in and outcomes. measures developed) • terms of the gender/age/culture of the target Describe the target population as well as 3. If you are providing evidence based on population. the geographic area to be served, and justify a formal consensus process involving • Check the NOFA for any additional the selection of both. Include the numbers to recognized experts in the field, describe: requirements. be served and demographic information. —The experts involved in developing 1.2 Phase II Criteria Discuss the target population’s language, consensus on the proposed service/practice beliefs, norms and values, as well as (e.g., members of an expert panel formally Section A: Need, Justification of Best socioeconomic factors that must be convened by SAMHSA, NIH, the Institute Practice, and Readiness (30 Points) considered in delivering programs to this of Medicine or other nationally recognized If you previously received a Phase I BBPI population. organization). The consensus must have • award and are applying for a Phase II award Describe the nature of the problem and been developed by a group of experts to continue the project, include the following extent of the need for the target population whose work is recognized and respected by information: based on data. The statement of need should others in the field. Local recognition of an • Describe briefly the target population include a clearly established baseline for the individual as a respected or influential (see Glossary), setting, need and best practice project. Documentation of need may come person at the community level is not approved for the Phase I award. from a variety of qualitative and quantitative considered a ‘‘recognized expert’’ for this • Describe and justify any changes to the sources. The quantitative data could come purpose. target population and setting. Discuss the from local data or trend analyses, State data —The nature of the consensus that has been factors that led to a decision change in the (e.g., from State Needs Assessments), and/or reached and the process used to reach target population and setting. national data (e.g., from SAMHSA’s National consensus • Describe any changes in the need for the Household Survey on Drug Abuse and Health —The extent to which the consensus has best practice in the target community. The or from National Center for Health Statistics/ been documented (e.g., in a consensus statement of need should include a clearly Centers for Disease Control reports). For data panel report, meeting minutes, or an established baseline for the project. sources that are not well known, provide accepted standard practice in the field) Documentation of need may come from a sufficient information on how the data were —Any empirical evidence (whether formally variety of qualitative and quantitative collected so reviewers can assess the published or not) supporting the sources. The quantitative data could come reliability and validity of the data. effectiveness of the proposed services/ from local data or trend analyses, State data • Non-tribal applicants must show that practice (e.g., from State Needs Assessments), and/or identified needs are consistent with priorities —The rationale for concluding that further national data (e.g., from SAMHSA’s National of the State or county. Include, in Appendix empirical evidence does not exist to Household Survey on Drug Abuse and Health 5, a copy of the State or County Strategic support the effectiveness of the proposed or from National Center for Health Statistics/ Plan, a State or county needs assessment, or services/practice Centers for Disease Control reports). For data a letter from the State or county indicating • Justify the use of the proposed service/ sources that are not well known, provide that the proposed project addresses a State- practice for the target population. Describe sufficient information on how the data were or county-identified priority. Tribal and justify any adaptations necessary to meet collected so reviewers can assess the applicants must provide similar the needs of the target population, as well as reliability and validity of the data. documentation relating to tribal priorities. evidence that such adaptations will be • Provide an updated projection of the • Identify the evidenced based service/ effective for the target population. number of individuals to be served as well practice that you propose to implement. • Identify and justify any additional as demographic information. Discuss the Describe the evidence-base for the proposed adaptations or modifications to the proposed target population’s language, beliefs, norms service/practice and show that it incorporates service/practice. and values, as well as socioeconomic factors the best objective information available • Describe the community of stakeholders that must be considered in delivering regarding effectiveness and acceptability. in the project, and provide evidence that they programs to this population. Follow the instructions provided in ι1, ι2 or have achieved a ‘‘decision to adopt’’ the • Describe and justify any additional ι3 below, as appropriate: practice. Such evidence may include modifications or adaptations to the best 1. If you are proposing to implement a contracts, memoranda of agreement, practice as compared to the practice service/practice included in NREP (see administrative memos, or other documents approved for your Phase I project. Appendix C), one of the CMHS tool-kits on signed by key stakeholders that show their • Provide evidence that the community of evidence-based practices (see Appendix D), firm commitment to support the practice. stakeholders (see Glossary) achieved a the list of Effective Substance Abuse Attach these supporting documents in ‘‘decision to adopt’’ the practice. Attach a Treatment Practices (see Appendix E), or the Appendix 6: Evidence of Intent to Adopt. copy of the Phase I process evaluation or NOFA (if applicable), simply identify the • Provide and describe the financing plan. other evidence including contracts, practice and state the source from which it Include anticipated costs and sources of memoranda of agreement, administrative was selected. You do not need to provide revenue that will maintain the practice. memos, or other documents signed by key further evidence of effectiveness. Attach the financing plan, signed by the stakeholders that show their firm 2. If you are providing evidence that funding source(s), stating their intent to fund commitment to support the practice. Attach includes scientific studies published in the in Appendix 6: Evidence of Intent to Adopt.

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• Check the NOFA for any additional required by SAMHSA to meet GPRA evaluation criterion, the criterion listed first requirements. requirements. Specify and justify any in Section V–1 will be used first. Section B: Proposed Approach (25 Points) additional measures you plan to use for your grant project. VI. Award Administration Information • Provide a strategic plan, including key • Provide a logic model (see Glossary) for 1. Award Notices action steps, that addresses each of the the evaluation of the pilot test of the best After your application has been reviewed, following elements, as appropriate: pilot practice as well as other implementation you will receive a letter from SAMHSA testing the best practice, evaluating the pilot activities (e.g., training, securing financing). through postal mail that describes the general test, modifying the best practice based on the • Provide a plan for evaluating the pilot results of the review, including the score that pilot test, developing training materials, test of the best practice and other your application received. hiring/training staff, and securing funding to implementation activities that includes both If you are approved for funding, you will sustain services beyond the project period. process and client outcome measures. • receive an additional notice, the Notice of Describe the involvement of key Describe the recruitment plan and sample Grant Award, signed by SAMHSA’s Grants stakeholders in the proposed project, size for your project. Describe any literature Management Officer. The Notice of Grant including roles and responsibilities of each or pilot testing done to verify the validity and Award is the sole obligating document that stakeholder. Demonstrate each stakeholder’s reliability of the instruments to be used. Also allows the grantee to receive Federal funding commitment to the proposed project. Attach discuss the appropriateness of the evaluation for work on the grant project. It is sent by letters of support and similar documents methods and instrument(s) in terms of the postal mail and is addressed to the contact showing stakeholder commitment in gender/age/culture of the target population. person listed on the face page of the Appendix 1: Letters of Support. Identify any Attach instrumentation in Appendix 2: Data application. cash or in-kind contributions that will be Collection Instruments. If you are not funded, you can re-apply if made to the project. • Describe how the adaptations of the best • there is another receipt date for the program. Describe how the proposed project will practice will be documented. Demonstrate its address issues of age, race/ethnicity, culture, fidelity to the best practice model. If no 2. Administrative and National Policy language, sexual orientation, disability, fidelity scale exists for the practice, describe Requirements literacy, and gender in the target population. how you will develop one. • • You must comply with all terms and Describe potential barriers to the • Describe the process for providing successful conduct of the proposed project conditions of the grant award. SAMHSA’s regular feedback from evaluation activities to standard terms and conditions are available and how you will overcome them. the Project Director and participants. • Describe oversight or feedback • on the SAMHSA web site at Describe the database management www.samhsa.gov/grants/2004/useful— mechanisms to ensure that the implemented system that will be developed. practice is consistent with the best practice • info.asp. Check the NOFA for any additional • Depending on the nature of the specific model. requirements. • funding opportunity and/or the proposed Check the NOFA for any additional Note: Although the budget for the proposed requirements. project as identified during review, project is not a review criterion, the Review additional terms and conditions may be Section C: Management Plan and Staffing (25 Group will be asked to comment on the identified in the NOFA or negotiated with Points) appropriateness of the budget after the merits the grantee prior to grant award. These may • Provide a realistic time line for the of the application have been considered. include, for example: project (chart or graph) showing key • Actions required to be in compliance 2. Review and Selection Process activities, milestones, and responsible staff. with human subjects requirements; [Note: The time line should be part of the SAMHSA applications are peer-reviewed • Requirements relating to additional data Project Narrative. It should not be placed in according to the review criteria listed above. collection and reporting; an appendix.] For those programs where the individual • Requirements relating to participation in • Discuss the capability and experience of award is over $100,000, applications must a cross-site evaluation; or • the applicant organization and other also be reviewed by the appropriate National Requirements to address problems participating organizations with similar Advisory Council. identified in review of the application. • projects and populations, including Decisions to fund a grant are based on: You will be held accountable for the • experience in providing culturally The strengths and weaknesses of the information provided in the application appropriate/competent services. application as identified by peer reviewers relating to performance targets. SAMHSA • Provide a list of staff members who will and, when appropriate, approved by the program officials will consider your progress conduct the project, showing the role of each appropriate National Advisory Council; in meeting goals and objectives, as well as • Availability of funds; your failures and strategies for overcoming and their level of effort and qualifications. • Include the Project Director and other key Equitable distribution of awards in terms them, when making an annual personnel, including evaluators and database of geography (including urban, rural and recommendation to continue the grant and managers. remote settings) and balance among target the amount of any continuation award. • populations and program size; and Failure to meet stated goals and objectives Describe the racial/ethnic characteristics • of key staff and indicate if any are members After applying the aforementioned may result in suspension or termination of of the target population/community. If the criteria, the following method for breaking the grant award, or in reduction or ties: When funds are not available to fund all withholding of continuation awards. target population is multi-linguistic, indicate • if the staffing pattern includes bilingual and applications with identical scores, SAMHSA In an effort to improve access to funding bicultural individuals. will make award decisions based on the opportunities for applicants, SAMHSA is • Describe the resources available for the application(s) that received the greatest participating in the U.S. Department of proposed project (e.g., facilities, equipment), number of points by peer reviewers on the Health and Human Services ‘‘Survey on and provide evidence that services will be evaluation criterion in Section V–1 with the Ensuring Equal Opportunity for Applicants.’’ This survey is included in the application kit provided in a location that is adequate, highest number of possible points (for Phase for SAMHSA grants. Applicants are accessible, Americans with Disabilities Act I, Proposed Evidence-Based Practice—30 encouraged to complete the survey and (ADA) compliant, and is amenable to the points; for Phase II, Need, Justification of return it, using the instructions provided on target population. Best Practice, and Readiness—30 points). the survey form. • Check the NOFA for any additional Should a tie still exist, the evaluation requirements. criterion with the next highest possible point 3. Reporting Requirements value will be used, continuing sequentially to Section D: Evaluation Design and Analysis the evaluation criterion with the lowest 3.1 Progress and Financial Reports (20 Points) possible point value, should that be • Grantees must provide annual and final • Document your ability to collect and necessary to break all ties. If an evaluation progress reports. The final progress report report on the required performance measures criterion to be used for this purpose has the must summarize information from the annual as specified in the NOFA, including data same number of possible points as another reports, describe the accomplishments of the

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project, and describe next steps for Edna Frazier (CSAP), Office of Program page less margins, multiplied by the total implementing plans developed during the Services, Division of Grants Management, number of allowed pages. grant period. Substance Abuse and Mental Health • Space will be measured on the physical • Grantees must provide annual and final Services Administration, 5600 Fishers page. Space left blank within the Project financial status reports. These reports may be Lane, Rockwall II, Suite 630, Rockville, MD Narrative (excluding margins) is considered included as separate sections of annual and 20857, (301) 443–6816, part of the Project Narrative, in determining final progress reports or can be separate [email protected]. compliance. documents. Because SAMHSA is extremely Kathleen Sample (CSAT), Office of Program —The page limit for Appendices stated in the interested in ensuring that its best practices Services, Division of Grants Management, specific funding announcement cannot be efforts can be sustained, your financial Substance Abuse and Mental Health exceeded. reports must explain plans to ensure the Services Administration, 5600 Fishers To facilitate review of your application, sustainability (see Glossary) of efforts Lane, Rockwall II, Suite 630, Rockville, MD follow these additional guidelines. Failure to initiated under this grant. Initial plans for 20857, (301) 443–9667, adhere to the following guidelines will not, sustainability should be described in year 1 [email protected]. in itself, result in your application being of the grant. In each subsequent year, you screened out and returned without review. should describe the status of the project, Appendix A—Checklist for Formatting However, the information provided in your successes achieved and obstacles Requirements and Screenout Criteria application must be sufficient for review. encountered in that year. for SAMHSA Grant Applications • SAMHSA will provide guidelines and Following these guidelines will help ensure SAMHSA’s goal is to review all requirements for these reports to grantees at your application is complete, and will help applications submitted for grant funding. the time of award and at the initial grantee reviewers to consider your application. However, this goal must be balanced against orientation meeting after award. SAMHSA —The 10 application components required SAMHSA’s obligation to ensure equitable staff will use the information contained in for SAMHSA applications should be treatment of applications. For this reason, the reports to determine the grantee’s included. These are: SAMHSA has established certain formatting • progress toward meeting its goals. Face Page (Standard Form 424, which is requirements for its applications. If you do in PHS 5161–1) 3.2 Government Performance and Results Act not adhere to these requirements, your • Abstract The Government Performance and Results application will be screened out and returned • Table of Contents Act (GPRA) mandates accountability and to you without review. In addition to these • Budget Form (Standard Form 424A, formatting requirements, programmatic performance-based management by Federal which is in PHS 5161–1) requirements (e.g., relating to eligibility) may agencies. To meet the GPRA requirements, • Project Narrative and Supporting be stated in the specific NOFA and in Section SAMHSA must collect performance data (i.e., Documentation ‘‘GPRA data’’) from grantees. These III of the standard grant announcement. • Please check the entire NOFA and Section III Appendices requirements will be specified in the NOFA • Assurances (Standard Form 424B, which for each funding opportunity. of the standard grant announcement before preparing your application. is in PHS 5161–1) 3.3 Publications • —Use the PHS 5161–1 application. Certifications (a form in PHS 5161–1) • If you are funded under this grant program, —Applications must be received by the Disclosure of Lobbying Activities you are required to notify the Government application deadline. Applications (Standard Form LLL, which is in PHS Project Officer (GPO) and SAMHSA’s received after this date must have a proof 5161–1) Publications Clearance Officer (301–443– of mailing date from the carrier dated at • Checklist (a form in PHS 5161–1) 8596) of any materials based on the least 1 week prior to the due date. Private —Applications should comply with the SAMHSA-funded project that are accepted metered postmarks are not acceptable as following requirements: for publication. proof of timely mailing. Applications not • Provisions relating to confidentiality, In addition, SAMHSA requests that received by the application deadline or not participant protection and the protection of grantees: postmarked at least 1 week prior to the human subjects specified in Section IV–2.4 of • Provide the GPO and SAMHSA application deadline will not be reviewed. the FY 2004 standard funding Publications Clearance Officer with advance —Information provided must be sufficient for announcements. copies of publications. review. • Budgetary limitations as specified in • Include acknowledgment of the —Text must be legible. Section I, II, and IV–5 of the FY 2004 SAMHSA grant program as the source of • Type size in the Project Narrative cannot standard funding announcements. funding for the project. exceed an average of 15 characters per inch, • Documentation of nonprofit status as • Include a disclaimer stating that the as measured on the physical page. (Type size required in the PHS 5161–1. views and opinions contained in the in charts, tables, graphs, and footnotes will —Pages should be typed single-spaced with publication do not necessarily reflect those of not be considered in determining one column per page. SAMHSA or the U.S. Department of Health compliance.) —Pages should not have printing on both and Human Services, and should not be • Text in the Project Narrative cannot construed as such. exceed 6 lines per vertical inch. sides. SAMHSA reserves the right to issue a press —Paper must be white paper and 8.5 inches —Please use black ink and number pages release about any publication deemed by by 11.0 inches in size. consecutively from beginning to end so SAMHSA to contain information of program —To ensure equity among applications, the that information can be located easily or policy significance to the substance abuse amount of space allowed for the Project during review of the application. The cover treatment/substance abuse prevention/mental Narrative cannot be exceeded. page should be page 1, the abstract page health services community. • Applications would meet this should be page 2, and the table of contents requirement by using all margins (left, right, page should be page 3. Appendices should VII. Agency Contacts top, bottom) of at least one inch each, and be labeled and separated from the Project The NOFAs provide contact information adhering to the page limit for the Project Narrative and budget section, and the for questions about program issues. Narrative stated in the specific funding pages should be numbered to continue the For questions on grants management announcement. sequence. issues, contact: • Should an application not conform to —Send the original application and two Gwendolyn Simpson (CMHS), Office of these margin or page limits, SAMHSA will copies to the mailing address in the Program Services, Division of Grants use the following method to determine funding announcement. Please do not use Management, Substance Abuse and Mental compliance: The total area of the Project staples, paper clips, and fasteners. Nothing Health Services Administration, 5600 Narrative (excluding margins, but including should be attached, stapled, folded, or Fishers Lane, Room 12–103, Rockville, MD charts, tables, graphs and footnotes) cannot pasted. Do not use heavy or lightweight 20857, (301) 443–4456, exceed 58.5 square inches multiplied by the paper or any material that cannot be copied [email protected]. page limit. This number represents the full using automatic copying machines. Odd-

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sized and oversized attachments such as from other non-Federal public or private choose to take part in SAMHSA posters will not be copied or sent to entities. dissemination efforts. The conditions for reviewers. Do not include videotapes, Logic Model: A logic model is a making that choice, together with definitions audiotapes, or CD–ROMs. diagrammatic representation of a theoretical of the three major criteria, are as follows. framework. A logic model describes the Promising Programs have been Appendix B—Glossary logical linkages among program resources, implemented and evaluated sufficiently and Best Practice: Best practices are practices conditions, strategies, short-term outcomes, are scientifically defensible. They have that incorporate the best objective and long-term impact. More information on positive outcomes in preventing substance information currently available regarding how to develop logics models and examples abuse and related behaviors. However, they effectiveness and acceptability. can be found through the resources listed in have not yet been shown to have sufficient Catchment Area: A catchment area is the Appendix F. rigor and/or consistently positive outcomes geographic area from which the target Practice: A practice is any activity, or required for Effective Program status. population to be served by a program will be collective set of activities, intended to Nonetheless, Promising Programs are eligible drawn. improve outcomes for people with or at risk to be elevated to Effective/Model status after Cooperative Agreement: A cooperative for substance abuse and/or mental illness. review of additional documentation agreement is a form of Federal grant. Such activities may include direct service regarding program effectiveness. Originated Cooperative agreements are distinguished provision, or they may be supportive from a range of settings and spanning target from other grants in that, under a cooperative activities, such as efforts to improve access populations, Promising Programs can guide agreement, substantial involvement is to and retention in services, organizational prevention, treatment, and rehabilitation. anticipated between the awarding office and efficiency or effectiveness, community Effective Programs are well-implemented, the recipient during performance of the readiness, collaboration among stakeholder well-evaluated programs that produce funded activity. This involvement may groups, education, awareness, training, or consistently positive pattern of results (across include collaboration, participation, or any other activity that is designed to improve domains and/or replications). Developers of intervention in the activity. HHS awarding outcomes for people with or at risk for Effective Programs have yet themselves. offices use grants or cooperative agreements substance abuse or mental illness. Model Programs are also well- (rather than contracts) when the principal Practice Support System: This term refers implemented, well-evaluated programs, purpose of the transaction is the transfer of to contextual factors that affect practice meaning they have been reviewed by NREP money, property, services, or anything of delivery and effectiveness in the pre- according to rigorous standards of research. value to accomplish a public purpose of adoption phase, delivery phase, and post- Their developers have agreed with SAMHSA support or stimulation authorized by Federal delivery phase, such as (a) community to provide materials, training, and technical statute. The primary beneficiary under a collaboration and consensus building, (b) assistance for nationwide implementation. grant or cooperative agreement is the public, training and overall readiness of those That helps ensure the program is carefully as opposed to the Federal Government. implementing the practice, and (c) sufficient implemented and likely to succeed. Cost sharing or Matching: Cost sharing ongoing supervision for those implementing Programs that have met the NREP refers to the value of allowable non-Federal the practice. standards for each category can be identified contributions toward the allowable costs of a Stakeholder: A stakeholder is an by accessing the NREP Model Programs Web Federal grant project or program. Such individual, organization, constituent group, site at www.modelprograms.samhsa.gov. contributions may be cash or in-kind or other entity that has an interest in and will be affected by a proposed grant project. Appendix D—Center for Mental Health contributions. For SAMHSA grants, cost Services Evidence-Based Practice sharing or matching is not required, and Sustainability: Sustainability is the ability applications will not be screened out on the to continue a program or practice after Toolkits basis of cost sharing. However, applicants SAMHSA grant funding has ended. SAMHSA’s Center for Mental Health often include cash or in-kind contributions in Target Population: The target population is Services and the Robert Wood Johnson their proposals as evidence of commitment to the specific population of people whom a Foundation initiated the Evidence-Based the proposed project. This is allowed, and particular program or practice is designed to Practices Project to: (1) Help more consumers this information may be considered by serve or reach. and families find effective services, (2) help reviewers in evaluating the quality of the Wraparound Service: Wraparound services providers of mental health services develop application. are non-clinical supportive services—such as effective services, and (3) help administrators Fidelity: Fidelity is the degree to which a child care, vocational, educational, and support and maintain these services. The specific implementation of a program or transportation services—that are designed to project is now also funded and endorsed by practice resembles, adheres to, or is faithful improve the individual’s access to and numerous national, State, local, private and to the evidence-based model on which it is retention in the proposed project. public organizations, including the Johnson based. Fidelity is formally assessed using Appendix C—National Registry of & Johnson Charitable Trust, MacArthur rating scales of the major elements of the Effective Programs Foundation, and the West Family evidence-based model. A toolkit on how to Foundation. develop and use fidelity instruments is To help SAMHSA’s constituents learn The project has been developed through available from the SAMHSA-funded more about science-based programs, the cooperation of many Federal and State Evaluation Technical Assistance Center at SAMHSA’s Center for Substance Abuse mental health organizations, advocacy http://tecathsri.org or by calling (617) 876– Prevention (CSAP) created a National groups, mental health providers, researchers, 0426. Registry of Effective Programs (NREP) to consumers and family members. A website Grant: A grant is the funding mechanism review and identify effective programs. NREP (www.mentalhealthpractices.org) was created used by the Federal Government when the seeks candidates from the practice as part of Phase I of the project, which principal purpose of the transaction is the community and the scientific literature. included the identification of the first cluster transfer of money, property, services, or While the initial focus of NREP was of evidence-based practices and the design of anything of value to accomplish a public substance abuse prevention programming, implementation resource kits to help people purpose of support or stimulation authorized NREP has expanded its scope and now understand and use these practices by Federal statute. The primary beneficiary includes prevention and treatment of successfully. under a grant or cooperative agreement is the substance abuse and of co-occurring Basic information about the first six public, as opposed to the Federal substance abuse and mental disorders, and evidence-based practices is available on the Government. psychopharmacological programs and web site. The six practices are: In-Kind Contribution: In-kind contributions workplace programs. 1. Illness Management and Recovery toward a grant project are non-cash NREP includes three categories of 2. Family Psychoeducation contributions (e.g., facilities, space, services) programs: Effective Programs, Promising 3. Medication Management Approaches in that are derived from non-Federal sources, Programs, and Model Programs. Programs Psychiatry such as State or sub-State non-Federal defined as Effective have the option of 4. Assertive Community Treatment revenues, foundation grants, or contributions becoming Model Programs if their developers 5. Supported Employment

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6. Integrated Dual Disorders Treatment • Substance Abuse Treatment and • Substance Abuse Treatment for Women Each of the resource kits contains Domestic Violence. TIP 25 (1997) NCADI ι Offenders: Guide to Promising Practices. TAP ι information and materials written by and for BKD239. 23 (1999) NCADI BKD310. • the following groups: • Treatment Drug Courts: Integrating Addiction Counseling Competencies: —Consumers Substance Abuse Treatment With Legal Case The Knowledge, Skills, and Attitudes of ι —Families and Other Supporters Processing. TIP 23 (1996) NCADI BKD205. Professional Practice. TAP 21 (1998) NCADI • Alcohol and Other Drug Screening of ι BKD246. —Practitioners and Clinical Supervisors • —Mental Health Program Leaders Hospitalized Trauma Patients. TIP 16 (1995) Bringing Excellence to Substance Abuse NCADI ι BKD164. Services in Rural and Frontier America. TAP —Public Mental Health Authorities ι • Combining Alcohol and Other Drug 20 (1997) NCADI BKD220. Material on the web site can be printed or • Abuse Treatment With Diversion for Counselor’s Manual for Relapse downloaded with Acrobat Reader, and Prevention with Chemically Dependent references are provided where additional Juveniles in the Justice System. TIP 21 (1995) ι Criminal Offenders. TAP 19 (1996) NCADI ι information can be obtained. NCADI BKD169. • Detoxification From Alcohol and Other BKD723. Once published, the full kits will be • Draft Buprenorphine Curriculum for Drugs. TIP 19 (1995) NCADI ι BKD172. available from National Mental Health Physicians (Note: The Curriculum is in • LAAM in the Treatment of Opiate Information Center at www.health.org or 1– DRAFT form and is currently being updated) Addiction. TIP 22 (1995) NCADI ι BKD170. 800–789–CMHS (2647). www.buprenorphine.samhsa.gov. • Matching Treatment to Patient Needs in • Appendix E—Effective Substance Abuse CSAT Guidelines for the Accreditation of Opioid Substitution Therapy. TIP 20 (1995) Opioid Treatment Programs Treatment Practices NCADI ι BKD168. • www.samhsa.gov/centers/csat/content/dpt/ To assist potential applicants, SAMHSA’s Planning for Alcohol and Other Drug accreditation.htm. Center for Substance Abuse Treatment Abuse Treatment for Adults in the Criminal • Model Policy Guidelines for Opioid ι (CSAT) has identified the following listing of Justice System. TIP 17 (1995) NCADI Addiction Treatment in the Medical Office current publications on effective treatment BKD165. www.samhsa.gov/centers/csat/content/dpt/ • practices for use by treatment professionals Assessment and Treatment of Cocaine- model—policy.htm. in treating individuals with substance abuse Abusing Methadone-Maintained Patients. TIP NIDA Manuals—Available through NCADI: disorders. These publications are available 10 (1994) NCADI ι BKD157. • Brief Strategic Family Therapy. Manual from the National Clearinghouse for Alcohol • Assessment and Treatment of Patients 5 (2003) NCADI ι BKD481. and Drug Information (NCADI); Tele: 1–800– With Coexisting Mental Illness and Alcohol • Drug Counseling for Cocaine Addiction: 729–6686 or www.health.org and and Other Drug Abuse. TIP 9 (1994) NCADI The Collaborative Cocaine Treatment Study www.samhsa.gov/centers/csat2002/ ι BKD134. Model. Manual 4 (2002) NCADI ι BKD465. publications.html. • Intensive Outpatient Treatment for • The NIDA Community-Based Outreach CSAT Treatment Improvement Protocols Alcohol and Other Drug Abuse. TIP 8 (1994) Model: A Manual to Reduce Risk HIV and (TIPs) are consensus-based guidelines NCADI ι BKD139. Other Blood-Borne Infections in Drug Users. ● developed by clinical, research, and Other Effective Practice Publications (2000) NCADI BKD366. administrative experts in the field. • An Individual Counseling Approach to • CSAT Publications— Treat Cocaine Addiction: The Collaborative Integrating Substance Abuse Treatment • and Vocational Services. TIP 38 (2000) Anger Management for Substance Abuse Cocaine Treatment Study Model. Manual 3 NCADI ι BKD381. and Mental Health Clients: A Cognitive (1999) NCADI ● BKD337. ι • • Substance Abuse Treatment for Persons Behavioral Therapy Manual (2002) NCADI Cognitive-Behavioral Approach: Treating with Child Abuse and Neglect Issues. TIP 36 BKD444. Cocaine Addiction. Manual 1 (1998) NCADI • ι (2000) NCADI ι BKD343. Anger Management for Substance Abuse BKD254. • and Mental Health Clients: Participant • Community Reinforcement Plus Substance Abuse Treatment for Persons ι with HIV/AIDS. TIP 37 (2000) NCADI ι Workbook (2002) NCADI BKD445. Vouchers Approach: Treating Cocaine • ι BKD359. Multidimensional Family Therapy for Addiction. Manual 2 (1998) NCADI • Brief Interventions and Brief Therapies Adolescent Cannabis Users. CYT Cannabis BKD255. for Substance Abuse. TIP 34 (1999) NCADI Youth Treatment Series Vol. 5 (2002) NCADI NIAAA Publications—* These publications ι ι BKD341. BKD388. are available in PDF format or can be ordered • • Enhancing Motivation for Change in Navigating the Pathways: Lessons and on-line at www.niaaa.nih.gov/publications/ Substance Abuse Treatment. TIP 35 (1999) Promising Practices in Linking Alcohol and guides.htm. An order form for the Project NCADI ι BKD342. Drug Services with Child Welfare. TAP 27 MATCH series is available on-line at ι • Screening and Assessing Adolescents for (2002) NCADI BKD436. www.niaaa.nih.gov/publications/match.htm. • Substance Use Disorders. TIP 31 (1999) The Motivational Enhancement Therapy All publications listed can be ordered NCADI ι BKD306. and Cognitive Behavioral Therapy through the NIAAA Publications Distribution • Treatment for Stimulant Use Disorders. Supplement: 7 Sessions of Cognitive Center, P.O. Box 10686, Rockville, MD TIP 33 (1999) NCADI ι BKD289. Behavioral Therapy for Adolescent Cannabis 20849–0686. • • Treatment of Adolescents with Users. CYT Cannabis Youth Treatment Series *Alcohol Problems in Intimate Substance Use Disorders. TIP 32 (1999) Vol. 2 (2002) NCADI ι BKD385. Relationships: Identification and NCADI ι BKD307. • Family Support Network for Adolescent Intervention. A Guide for Marriage and • Comprehensive Case Management for Cannabis Users. CYT Cannabis Youth Family Therapists (2003) NIH Pub. No. 03– Substance Abuse Treatment. TIP 27 (1998) Treatment Series Vol. 3 (2001) NCADI ι 5284. • NCADI ι BKD251. BKD386. * Helping Patients with Alcohol • Continuity of Offender Treatment for • Identifying Substance Abuse Among Problems: A Health Practitioner’s Guide. Substance Use Disorders From Institution to TANF-Eligible Families. TAP 26 (2001) (2003) NIH Pub. No. 03–3769. • Community. TIP 30 (1998) NCADI ι BKD304. NCADI ι BKD410. Cognitive-Behavioral Coping Skills • Naltrexone and Alcoholism Treatment. • Motivational Enhancement Therapy and Therapy Manual. Project MATCH Series, Vol. TIP 28 (1998) NCADI ι BKD268. Cognitive Behavioral Therapy for Adolescent 3 (1995) NIH Pub. No. 94–3724. • • Substance Abuse Among Older Adults. Cannabis Users: 5 Sessions. CYT Cannabis Motivational Enhancement Therapy TIP 26 (1998) NCADI ι BKD250. Youth Treatment Series Vol. 1 (2001) NCADI Manual. Project MATCH Series, Vol. 2 (1994) • Substance Use Disorder Treatment for ι BKD384. NIH Pub. No. 94–3723. • People With Physical and Cognitive The Adolescent Community Appendix F—Logic Model Resources Disabilities. TIP 29 (1998) NCADI ι BKD288. Reinforcement Approach for Adolescent • A Guide to Substance Abuse Services for Cannabis Users. CYT Cannabis Youth Chen, W.W., Cato, B.M., & Rainford, N. Primary Care Clinicians. TIP 24 (1997) Treatment Series Vol. 4 (2001) NCADI ι (1998–9). Using a logic model to plan and NCADI ι BKD234. BKD387. evaluate a community intervention program:

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A case study. International Quarterly of Science Grants. The primary purpose of lenient, permitting a greater number of Community Health Education, 18(4), 449– this republication is to revise the criteria applications to be reviewed. This 458. used to screen out applications from republication also includes an Edwards, E.D., Seaman, J.R., Drews, J., & peer review. Motivated by the need to Edwards, M.E. (1995). A community additional award criterion in Section V, approach for Native American drug and assure equitable opportunity and a updated agency contact information in alcohol prevention programs: A logic model ‘‘level playing field’’ to all applicants, Section VII, and minor technical framework. Alcoholism Treatment Quarterly, SAMHSA believes the screening criteria changes to comply with the formatting 13(2), 43–62. in these announcements will not best requirements for announcement of Hernandez, M. & Hodges, S. (2003). serve the public unless revised and Federal funding opportunities, as Crafting Logic Models for Systems of Care: republished. This is a republication of specified by the Office of Management Ideas into Action. [Making children’s mental the Service to Science Grants and Budget. The text for the republished health services successful series, volume 1]. announcement. This republication Tampa, FL: University of South Florida, The standard Service to Science Grants Louis de la Parte Florida Mental Health makes those criteria more lenient, announcement is provided below. Institute, Department of Child & Family permitting a greater number of The standard Service to Science Studies. http://cfs.fmhi.usf.edu or phone applications to be reviewed. The Grants announcement will be posted on (813) 974–4651 revisions to the criteria can be found, in SAMHSA’s web page (www.samhsa.gov) Hernandez, M. & Hodges, S. (2001). their entirety, in: Section IV, and will be available from SAMHSA’s Theory-based accountability. In M. Application and Submission clearinghouses on an ongoing basis. The Hernandez & S. Hodges (Eds.), Developing Information; and Appendix A, Checklist standard announcements will be used in Outcome Strategies in Children’s Mental for Formatting Requirements and Health, pp. 21–40. Baltimore: Brookes. conjunction with brief Notices of Julian, D.A. (l997). Utilization of the logic Screenout Criteria for SAMHSA Grant Funding Availability (NOFAs) that will model as a system level planning and Applications. Additional references to announce the availability of funds for evaluation device. Evaluation and Planning, the criteria elsewhere in the text have specific grant funding opportunities 20(3), 251–257. been changed to be consistent with the within each of the standard grant Julian, D.A., Jones, A., & Deyo, D. (1995). revised criteria in Section IV and programs (e.g., Homeless Treatment Open systems evaluation and the logic Appendix A. grants, Statewide Family Network model: Program planning and evaluation In addition, this republication grants, HIV/AIDS and Substance Abuse tools. Evaluation and Program Planning, includes an additional award criterion Prevention Planning Grants, etc.). 18(4), 333–341. in Section V, updated agency contact Patton, M.Q. (1997). Utilization-Focused information in Section VII, and minor Department of Health and Human Evaluation (3rd Ed.), pp. 19, 22, 241. Services Thousand Oaks, CA: Sage. technical changes to comply with the Wholey, J.S., Hatry, H.P., Newcome, K.E. formatting requirements for Substance Abuse and Mental Health (Eds.) (1994). Handbook of Practical Program announcement of Federal funding Services Administration Evaluation. San Francisco, CA: Jossey-Bass opportunities, as specified by the Office Inc. of Management and Budget. Service-to-Science Grants—STS 04 PA Dated: February 26, 2004. This notice provides the republished (MOD) (Modified Announcement) Daryl Kade, text for SAMHSA’s standard Service to Catalogue of Federal Domestic Assistance Director, Office of Policy, Planning and Science Grants announcement. (CFDA) No.: 93.243 (unless otherwise Budget, Substance Abuse and Mental Health DATES: Use of the republished standard specified in a NOFA in the Federal Register Services Administration. Service to Science Grants and on www.grants.gov) [FR Doc. 04–4693 Filed 3–5–04; 8:45 am] announcement will be effective March Key Dates 8, 2004. The standard Service to Science BILLING CODE 4162–20–P Application Deadline: This Program Grants announcement must be used in Announcement provides instructions conjunction with separate Notices of and guidelines for multiple funding DEPARTMENT OF HEALTH AND Funding Availability (NOFAs) that will opportunities. Application deadlines for HUMAN SERVICES provide application due dates and other specific funding opportunities will be key dates for specific SAMHSA grant published in Notices of Funding Substance Abuse and Mental Health funding opportunities. Services Administration Availability (NOFAs) in the Federal ADDRESSES: Questions about SAMHSA’s Register and on www.grants.gov. Notice of Republication of Standard standard Service to Science Grants Intergovernmental Review (E.O. Service to Science Grants announcement may be directed to Cathy 12372): Letters from State Single Point Announcement Friedman, M.A., Office of Policy, of Contact (SPOC) are due 60 days after Planning and Budget, 5600 Fishers application deadline. Lane, Room 12C–26, Rockville, Authority: Sections 509, 516, and 520A of Public Health System Impact the Public Health Service Act. Maryland, 20857. Fax: (301–594–6159) Statement (PHSIS)/Single State Agency E-mail: [email protected]. AGENCY: Substance Abuse and Mental Coordination: Applicants must send the Health Services Administration, HHS. FOR FURTHER INFORMATION CONTACT: PHSIS to appropriate State and local Cathy Friedman, M.A., Office of Policy, ACTION: Notice of republication of health agencies by application deadline. Planning and Budget, 5600 Fishers Standard Service to Science Grants Comments from Single State Agency are Lane, Room 12C–26, Rockville, Announcement. due 60 days after application deadline. Maryland, 20857. Fax: (301–594–6159) Table of Contents SUMMARY: On November 21, 2003, the E-mail: [email protected]. Phone: Substance Abuse and Mental Health (301) 443–6902. I. Funding Opportunity Description 1. Introduction SUPPLEMENTARY INFORMATION: Services Administration published SAMHSA 2. Expectations standard grant announcements for is republishing its standard Service to II. Award Information Services Grants, Infrastructure Grants, Science Grants announcement to make 1. Award Amount Best Practices Planning and the criteria used to screen out 2. Funding Mechanism Implementation Grants, and Service to applications from peer review more III. Eligibility Information

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1. Eligible Applicants Federal Register and at • Develop training and practice 2. Cost Sharing www.grants.gov—the Federal grant manuals; 3. Other announcement web page. • Train persons who are IV. Application and Submission Information SAMHSA’s Service-to-Science Grants implementing the practice; 1. Address to Request Application Package • More systematically implement the 2. Content and Form of Application are authorized under Section 509, 516 and/or 520A of the Public Health practice; Submission • 3. Submission Dates and Times Service Act, unless otherwise specified Develop measurement instruments; 4. Intergovernmental Review (E.O. 12372) in a NOFA in the Federal Register and and • Requirements on www.grants.gov. Ensure that the intended target 5. Funding Limitations/Restrictions Typically, funding for Service-to- population (see Glossary) is being 6. Other Submission Requirements Science Grants will be targeted to reached by the practice. V. Application Review Information specific populations and/or issue areas, The desired endpoint of Phase I is 1. Evaluation Criteria readiness to conduct a high-quality, 2. Review and Selection Process which will be specified in the NOFAs. The NOFAs will also: systematic evaluation. VI. Award Administration Information Phase II provides support for 1–3 • Specify total funding available for 1. Award Notices years to evaluate the success of the 2. Administrative and National Policy the first year of the grants and the practice. The purpose of Phase II is to Requirements expected size and number of awards; conduct a high-quality, systematic 3. Reporting Requirements • Provide the application deadline; evaluation to document short-term VII. Agency Contacts • Note any specific program Appendix A—Checklist for Formatting outcomes and demonstrate that the Requirements and Screenout Criteria for requirements for each funding practice is worthy of an experimental SAMHSA Grant Applications opportunity; and • study. On the basis of the evaluation, Appendix B—Glossary Include any limitations or you may need to further refine the Appendix C—Logic Model Resources exceptions to the general provisions in practice and further refine the practice this announcement (e.g., eligibility, I. Funding Opportunity Description manual. The evaluation may use a pre- award size, allowable activities). post approach, an open trial model, 1. Introduction It is, therefore, critical that you other quasi or non-experimental model, The Substance Abuse and Mental consult the NOFA as well as this or an experimental model. Health Services Administration announcement in developing your grant The desired endpoint for Phase II is (SAMHSA) announces its intent to application. readiness to submit the practice for solicit applications for Service-to- 2. Expectations inclusion in SAMHSA’s NREP and/or to Science grants. These grants will submit applications to various research document and evaluate innovative While there is a well-established institutions for additional research. practices that address critical substance evidence base for many behavioral SAMHSA’s Service-to-Science grants abuse and mental health service gaps health practices, critical service gaps will provide support to stabilize but have not yet been formally exist for which there is no formal practices so that they may be evaluated. Applicants who seek to evidence base. Stakeholders have documented and evaluated. However, stabilize, document, and evaluate developed many innovative practices to these grants are not intended to support promising practices for mental health fill these gaps, but they may lack the development of entirely new practices. and/or substance abuse treatment, expertise and/or resources to formally The practices must be in place and prevention, and support services should document and evaluate their practices. operational for at least one year prior to apply for awards under this Consequently, it is not clear whether application, and you must have at least announcement. these innovative practices are effective, anecdotal evidence that the practice is SAMHSA also funds grants under and they are not disseminated widely. effective. three other standard grant SAMHSA seeks to encourage continued You may apply for a combination of announcements: development of evidence-based Phases I and II in a single grant • Services Grants provide funding to practices to fill service gaps by application if you have identified a implement substance abuse and mental documenting and evaluating promising priority gap for which a fully developed health services. stakeholder-initiated practices. This and documented practice currently does • Infrastructure Grants support program will help organizations that not exist. identification and implementation of have identified promising new practices • During Phase I, you will further systems changes but are not designed to to evaluate and package those develop and document the practice. fund services. innovations for review and inclusion in • During Phase II, you will evaluate • Best Practices Planning and the National Registry of Effective the practice. Implementation Grants help Programs (NREP) as well as for further At the conclusion of Phase I, communities and providers identify research. SAMHSA staff will review your progress to determine whether Phase II practices to effectively meet local needs, 2.1 Program Design develop strategic plans for is warranted. This decision will be implementing/adapting those practices SAMHSA will fund Service-to- based on review of the documentation and pilot-test practices prior to full- Science grants in two phases. You may required by the end of Phase I, as scale implementation. apply for Phase I and II combined or for described under the Performance This announcement describes the Phase II alone. Applications for Phase I Expectations section below. You must general program design and provides alone will not be accepted. provide compelling evidence that the application instructions for all Phase I provides support for up to 2 practice has been sufficiently developed SAMHSA Service-to-Science Grants. years to stabilize and document an and documented to be evaluated and The availability of funds for specific existing practice that fills an identified has produced positive results. Service-to-Science Grants will be gap. During Phase I, you may: For practices that are already fully announced in supplementary Notices of • Further develop or refine the developed, implemented, stabilized, Funding Availability (NOFAs) in the promising practice; and documented but that have not yet

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been formally evaluated, you may apply activities include, but are not limited to, • Service utilization for Phase II only. Applications for Phase the following: • Service delivery costs I alone will not be accepted. • Convening relevant stakeholder • Satisfaction with services Depending on your readiness, you meetings • Demographic characteristics of may receive a combination of Phases I • Alignment of management participants, as well as the types of and II for a period of up to, but not more information systems with data services that participants have received, than, 5 years. You may apply for a collection needs are consistent with expectations based shorter grant period than the maximum, • Training evaluators on the logic model for the practice. and SAMHSA may award a grant for a • Measurement instrument • Service delivery patterns are stable. shorter time period than you request. development/selection • A fidelity scale has been developed • Data collection for assessing the integrity of the 2.2 Establishing Need • Database management practice, and the practice has been • Service-to-Science grants are intended Data and cost analysis implemented with fidelity according to • to develop solutions to widespread Dissemination of results the scale. • needs. This grant program is not Refinement of logic model and • Systematically collected short-term intended to address a local community’s practice manual based on evaluation outcome measures indicate meaningful need for funds to solve a local problem. results results. Therefore, you must demonstrate that 2.4 Performance Expectations • Consumers, family members, and the broader substance abuse and/or other critical stakeholders are satisfied All grantees will be expected to meet mental health field—not just your local with the practice. the following performance requirements community—has a need for the practice. In addition, at the end of Phase II, by the end of their grant projects. You must also show that no well- grantees must: documented solution to the problem Phase I • Demonstrate how consumers, exists, and that your local community By the end of Phase I, documentation family members, and other critical can support an evaluation that will stakeholders participated in the increase the knowledge base of the field. for the practice must include: • evaluation of the practice. A logic model depicting the • 2.3 Allowable Activities principles and concepts underlying the Demonstrate how the practice will be sustained over the 5 years following Phase I: Practice Development and practice. • A manual describing the practice in the end of the grant period. Documentation • detail that would allow others to As appropriate, submit the practice In Phase I, you will further develop replicate the practice. to the SAMHSA National Registry of and document the practice. The types of • Documentation of how critical Effective Programs (NREP). • activities that may be needed and that stakeholders were included in the Demonstrate the willingness of are allowable include, but are not development of the practice. those who initiated the practice to limited to, the following: • A detailed description of the participate in rigorous research over the • Strategic planning population that the practice is designed next 5 years (e.g., through submission of • Convening stakeholder meetings to serve, and demographic grant applications to the National • Training of practitioners characteristics of the people served by Institutes of Health, private foundations, • Efforts to overcome policy and the practice over the past year. or other research funding sources; funding barriers to practice stability • Documentation that the number of through formal agreements between • Development of an action plan for people being served by the practice has practice initiators and researchers; etc.) systematizing and stabilizing the been stabilized. 2.5 Data and Performance Measurement practice • Documentation of the number and • Development of a practice support percentage of staff trained in the The Government Performance and system practice, and a mechanism for ongoing Results Act of 1993 (Pub. L. 103–62, or • Developing needed partnerships for training for any new staff. ‘‘GPRA’’) requires all Federal agencies ongoing implementation • A process evaluation demonstrating to set program performance targets and • Logic model development that the practice is in full operation and report annually on the degree to which • Documentation of core elements of that a routine service delivery process is the previous year’s targets were met. the practice in place. Agencies are expected to evaluate • Practice manual development • Pilot outcome results. (Note: their programs regularly and to use • Measurement instrument Collection of these data need not results of these evaluations to explain development/selection include an extensive set of outcomes their successes and failures and justify • Participant recruitment systematically collected on all requests for funding. • Development of quality assurance and participants, but quantitative project To meet the GPRA requirements, accountability mechanisms data should provide some indication SAMHSA must collect performance data • Implementation and refinement of the that key outcomes are being achieved.) (i.e., ‘‘GPRA data’’) from grantees. practice Grantees are required to report these • Implementation process evaluation Phase II GPRA data to SAMHSA on a timely • Management information system By the end of Phase II, the evaluation basis. development of the practice must have demonstrated Specifically, grantees will be required • Collection of pilot outcome data that: to provide data on a set of required • Key outcome measures have been measures, as specified in the NOFA. Phase II: Practice Evaluation clearly identified and defined. The data collection tools to be used for During Phase II, SAMHSA will (if • Participant data collection systems reporting the required data will be necessary) continue to fund are in place that include: provided in the application kits implementation of the practice being • Demographic characteristics distributed by SAMHSA’s evaluated. Other types of allowable • Practice outcomes clearinghouses and posted on

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SAMHSA’s Web site along with each requirements that occur during the You may apply for either a combined NOFA. In your application, you must grantee’s project period. Phase I & II grant or for a Phase II only demonstrate your ability to collect and grant. 2.6 Grantee Meetings report on these measures, and you may • Awards for Phase I of the combined be required to provide some baseline You must plan to send a minimum of grants are for up to $150,000 (direct and data. two people (including the Project indirect costs) per year for up to 2 years. The terms and conditions of the grant Director) to at least one joint grantee • Awards for Phase II are $300,000– award also will specify the data to be meeting in each year of the grant, and $500,000 (direct and indirect costs) per submitted and the schedule for you must include funding for this travel year for 1–3 years. submission. Grantees will be required to in your budget. At these meetings, • Awards for combined Phase I and II adhere to these terms and conditions of grantees will present the results of their grants may not exceed 5 years. award. projects and Federal staff will provide Phase II funding will be approved Applicants should be aware that technical assistance. Each meeting will only if you provide compelling evidence SAMHSA is working to develop a set of be 3 days. These meetings will usually that the practice has been sufficiently required core performance measures for be held in the Washington, DC, area, developed and documented to be each of SAMHSA’s standard grants (i.e., and attendance is mandatory. evaluated and has produced positive Services Grants, Infrastructure Grants, II. Award Information results. Best Practices Planning and Proposed budgets cannot exceed the Implementation Grants, and Service-to- 1. Award Amount allowable amount as specified in the Science Grants). As this effort proceeds, The NOFA will specify the expected NOFA in any year of the proposed some of the data collection and award amount for each funding project. Annual continuation awards reporting requirements included in opportunity. Regardless of the amount will depend on the availability of funds, SAMHSA’s NOFAs may change. All specified in the NOFA, the actual award grantee progress in meeting project goals grantees will be expected to comply amount will depend on the availability and objectives, and timely submission with any changes in data collection of funds. of required data and reports.

SUMMARY TABLE

Years of Funding level Phase Activity focus support Application requirement (direct and indirect costs)

I ...... Practice Development and Docu- 0–2 Optional ...... Up to $150,000 per year. mentation. II ...... Practice Evaluation ...... 1–3 Required ...... $300,000–$500,000 per year.

Total ...... 1–5

2. Funding Mechanism grants. Such partnerships will use the requirements will be specified in expertise of each partner to ensure Section III–3 of the NOFA. The NOFA will indicate whether sound service delivery, high-quality awards for each funding opportunity You also must comply with any evaluation, independent results, and will be made as grants or cooperative additional program requirements relevance of the evaluation design to agreements (see the Glossary in specified in the NOFA, such as the service delivery outcomes. Appendix B for further explanation of required signature of certain officials on these funding mechanisms). For 2. Cost Sharing the face page of the application and/or cooperative agreements, the NOFA will required memoranda of understanding Cost sharing (see Glossary) is not describe the nature of Federal with certain signatories. required in this program, and involvement in project performance and applications will not be screened out on IV. Application and Submission specify roles and responsibilities of the basis of cost sharing. However, you Information grantees and Federal staff. may include cash or in-kind (see (To ensure that you have met all III. Eligibility Information Glossary) contributions in your proposal submission requirements, a checklist is as evidence of commitment to the 1. Eligible Applicants provided for your use in Appendix A of proposed project. this document.) Eligible applicants are domestic public and private nonprofit entities. 3. Other 1. Address To Request Application For example, State, local or tribal Applications must comply with the Package governments; public or private following requirements, or they will be You may request a complete universities and colleges; community- screened out and will not be reviewed: application kit by calling one of and faith-based organizations; and tribal Use of the PHS 5161–1 application; SAMHSA’s national clearinghouses: organizations may apply. The statutory application submission requirements in authority for this program precludes Section IV–3 of this document; and For substance abuse prevention or grants to for-profit organizations. The formatting requirements provided in treatment grants, call the National NOFA will indicate any limitations on Section IV–2.3 of this document. Clearinghouse for Alcohol and Drug eligibility. Applicants should be aware that the Information (NCADI) at 1–800–729– Though not required, SAMHSA NOFA may include additional 6686. encourages community-based providers requirements that, if not met, will result • For mental health grants, call the and independent researchers to partner in applications being screened out and National Mental Health Information when applying for Service-to-Science returned without review. These Center at 1–800–789–CMHS (2647).

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• You also may download the application. Obtaining a DUNS • Include job descriptions for key required documents from the SAMHSA number is easy and there is no charge. personnel. Job descriptions should be Web site at www.samhsa.gov. Click on To obtain a DUNS number, access the no longer than 1 page each. ‘‘grant opportunities.’’ Dun and Bradstreet web site at • Sample sketches and job Additional materials available on this www.dunandbradstreet.com or call 1– descriptions are listed on page 22, Item web site include: 866–705–5711. To expedite the 6 in the Program Narrative section of the • A technical assistance manual for process, let Dun and Bradstreet know PHS 5161–1. potential applicants; that you are a public/private nonprofit • Section H—Confidentiality and • Standard terms and conditions for organization getting ready to submit a SAMHSA Participant Protection/Human SAMHSA grants; Federal grant application.] Subjects. Section IV–2.4 of this • Guidelines and policies that relate —Abstract—Your total abstract should document describes requirements for to SAMHSA grants (e.g., guidelines on be no longer than 35 lines. In the first the protection of the confidentiality, cultural competence, consumer and five lines or less of your abstract, rights and safety of participants in family participation, and evaluation); write a summary of your project that SAMHSA-funded activities. This and can be used, if your project is funded, section also includes guidelines for • Enhanced instructions for in publications, reporting to Congress, completing this part of your application. completing the PHS 5161–1 application. or press releases. —Appendices 1 through 5—Use only the appendices listed below. Do not 2. Content and Form of Application —Table of Contents—Include page use more than 30 pages for Submission numbers for each of the major sections of your application and for Appendices 1, 4, and 5. There are no 2.1 Required Documents each appendix. page limitations for Appendices 2 and SAMHSA application kits include the 3. Do not use appendices to extend or —Budget Form—Use SF 424A, which is replace any of the sections of the following documents: part of the PHS 5161–1. Fill out • PHS 5161–1 (revised July 2000)— Project Narrative unless specifically Sections B, C, and E of the SF 424A. required in the NOFA. Reviewers will Includes the face page, budget forms, —Project Narrative and Supporting not consider them if you do. assurances, certification, and checklist. Documentation—The Project • You must use the PHS 5161–1 unless Appendix 1: Letters of Support. Narrative describes your project. It • Appendix 2: Documentation of the otherwise specified in the NOFA. consists of Sections A through D. Applications that are not submitted on Practice (Phase II only applicants). These sections in total may be no • Appendix 3: Data Collection the required application form will be longer than 25 pages. More detailed Instruments/Interview Protocols. screened out and will not be reviewed. instructions for completing each • • Appendix 4: Sample Consent Program Announcement (PA)— section of the Project Narrative are Forms. Includes instructions for the grant provided in ‘‘Section V—Application • Appendix 5: Letter to the SSA (if application. This document is the PA. Review Information’’ of this • applicable; see Section IV–4 of this Notice of Funding Availability document. document). (NOFA)—Provides specific information —Assurances—Non-Construction about availability of funds, as well as The Supporting Documentation provides additional information Programs. Use Standard Form 424B any exceptions or limitations to found in PHS 5161–1. Some provisions in the PA. The NOFAs will necessary for the review of your application. This supporting applicants will be required to be published in the Federal Register as complete the Assurance of well as on the Federal grants web site documentation should be provided immediately following your Project Compliance with SAMHSA Charitable (www.grants.gov). Choice Statutes and Regulations Form You must use all of the above Narrative in Sections E through H. There are no page limits for these SMA 170. If this assurance applies to documents in completing your a specific funding opportunity, it will application. sections, except for Section G, the Biographical Sketches/Job Descriptions. be posted on SAMHSA’s web site 2.2 Required Application Components • Section E—Literature Citations. with the NOFA and provided in the application kits available at To ensure equitable treatment of all This section must contain complete citations, including titles and all SAMHSA’s clearinghouse (NCADI). applications, applications must be —Certifications—Use the authors, for any literature you cite in complete. In order for your application ‘‘Certifications’’ forms found in PHS to be complete, it must include the your application. • 5161–1. required ten application components Section F—Budget Justification, —Disclosure of Lobbying Activities— (Face Page, Abstract, Table of Contents, Existing Resources, Other Support. You Use form SF LLL found in the PHS Budget Form, Project Narrative and must provide a narrative justification of 5161–1. Federal law prohibits the use Supporting Documentation, the items included in your proposed of appropriated funds for publicity or Appendices, Assurances, Certifications, budget, as well as a description of propaganda purposes, or for the Disclosure of Lobbying Activities, and existing resources and other support preparation, distribution, or use of the Checklist). you expect to receive for the proposed information designed to support or —Face Page—Use Standard Form (SF) project. defeat legislation pending before the 424, which is part of the PHS 5161– • Section G—Biographical Sketches Congress or State legislatures. This 1. [Note: Beginning October 1, 2003, and Job Descriptions. includes ‘‘grass roots’’ lobbying, applicants will need to provide a Dun • Include a biographical sketch for which consists of appeals to members and Bradstreet (DUNS) number to the Project Director and other key of the public suggesting that they apply for a grant or cooperative positions. Each sketch should be 2 pages contact their elected representatives agreement from the Federal or less. If the person has not been hired, to indicate their support for or Government. SAMHSA applicants include a letter of commitment from the opposition to pending legislation or to will be required to provide their individual with a current biographical urge those representatives to vote in a DUNS number on the face page of the sketch. particular way.

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—Checklist—Use the Checklist found in end so that information can be located and note if the population includes PHS 5161–1. The Checklist ensures easily during review of the homeless youth, foster children, that you have obtained the proper application. The cover page should be children of substance abusers, pregnant signatures, assurances and page 1, the abstract page should be women, or other targeted groups. certifications and is the last page of page 2, and the table of contents page • Explain the reasons for including your application. should be page 3. Appendices should groups of pregnant women, children, be labeled and separated from the people with mental disabilities, people 2.3 Application Formatting in institutions, prisoners, and Requirements Project Narrative and budget section, and the pages should be numbered to individuals who are likely to be Applicants also must comply with the continue the sequence. particularly vulnerable to HIV/AIDS. following basic application —Send the original application and two • Explain the reasons for including or requirements. Applications that do not copies to the mailing address in excluding participants. • comply with these requirements will be Section IV–6.1 of this document. Explain how you will recruit and screened out and will not be reviewed. Please do not use staples, paper clips, select participants. Identify who will —Information provided must be and fasteners. Nothing should be select participants. sufficient for review. attached, stapled, folded, or pasted. 3. Absence of Coercion: • Explain if participation in the —Text must be legible. Do not use heavy or lightweight paper • project is voluntary or required. Identify Type size in the Project Narrative or any material that cannot be copied possible reasons why participation is cannot exceed an average of 15 using automatic copying machines. required, for example, court orders characters per inch, as measured on the Odd-sized and oversized attachments requiring people to participate in a physical page. (Type size in charts, such as posters will not be copied or tables, graphs, and footnotes will not be program. sent to reviewers. Do not include • If you plan to compensate considered in determining compliance.) videotapes, audiotapes, or CD-ROMs. • Text in the Project Narrative cannot participants, state how participants will exceed 6 lines per vertical inch. 2.4 Confidentiality and Human Subjects be awarded incentives (e.g., money, —Paper must be white paper and 8.5 Protection gifts, etc.). • State how volunteer participants inches by 11.0 inches in size. Applicants must describe procedures will be told that they may receive —To ensure equity among applications, relating to Confidentiality and the the amount of space allowed for the services intervention even if they do not Protection of Human Subjects participate in or complete the data Project Narrative cannot be exceeded. Regulations in Section H of the • Applications would meet this collection component of the project. application, using the guidelines 4. Data Collection: requirement by using all margins (left, provided below. Problems with • Identify from whom you will collect right, top, bottom) of at least one inch confidentiality and protection of human data (e.g., from participants themselves, each, and adhering to the 25-page limit subjects identified during peer review of family members, teachers, others). for the Project Narrative. the application may result in the delay Describe the data collection procedures • Should an application not conform of funding. and specify the sources for obtaining to these margin or page limits, SAMHSA data (e.g., school records, interviews, will use the following method to Confidentiality and Participant psychological assessments, determine compliance: The total area of Protection questionnaires, observation, or other the Project Narrative (excluding All applicants must describe how sources). Where data are to be collected margins, but including charts, tables, they will address the requirements for through observational techniques, graphs and footnotes) cannot exceed each of the following elements relating questionnaires, interviews, or other 58.5 square inches multiplied by 25. to confidentiality and participant direct means, describe the data This number represents the full page protection. collection setting. less margins, multiplied by the total 1. Protect Clients and Staff from • Identify what type of specimens number of allowed pages. Potential Risks: (e.g., urine, blood) will be used, if any. • Space will be measured on the • Identify and describe any State if the material will be used just for physical page. Space left blank within foreseeable physical, medical, evaluation or if other use(s) will be the Project Narrative (excluding psychological, social, and legal risks or made. Also, if needed, describe how the margins) is considered part of the potential adverse effects as a result of material will be monitored to ensure the Project Narrative, in determining the project itself or any data collection safety of participants. compliance. activity. • Provide in Appendix 3: Data —The 30-page limit for Appendices 1, 4 • Describe the procedures you will and 5 cannot be exceeded. Collection Instruments/Interview follow to minimize or protect Protocols, copies of all available data To facilitate review of your participants against potential risks, collection instruments and interview application, follow these additional including risks to confidentiality. • protocols that you plan to use. guidelines. Failure to adhere to the Identify plans to provide guidance 5. Privacy and Confidentiality: following guidelines will not, in itself, and assistance in the event there are • Explain how you will ensure result in your application being adverse effects to participants. privacy and confidentiality. Include • screened out and returned without Where appropriate, describe who will collect data and how it will be review. However, following these alternative treatments and procedures collected. guidelines will help reviewers to that may be beneficial to the • Describe: consider your application. participants. If you choose not to use • How you will use data collection —Pages should be typed single-spaced these other beneficial treatments, instruments. with one column per page. provide the reasons for not using them. • Where data will be stored. —Pages should not have printing on 2. Fair Selection of Participants: • Who will or will not have access to both sides. • Describe the target population(s) for information. —Please use black ink and number the proposed project. Include age, • How the identity of participants pages consecutively from beginning to gender, and racial/ethnic background will be kept private, for example,

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through the use of a coding system on • Additionally, if other consents (e.g., regulation at 45 CFR part 100, sets up data records, limiting access to records, consents to release information to others a system for State and local review of or storing identifiers separately from or gather information from others) will applications for Federal financial data. be used in your project, provide a assistance. A current listing of State Note: If applicable, grantees must agree to description of the consents. Will Single Points of Contact (SPOCs) is maintain the confidentiality of alcohol and individuals who do not consent to included in the application kit and can drug abuse client records according to the having individually identifiable data be downloaded from the Office of provisions of Title 42 of the Code of Federal collected for evaluation purposes be Management and Budget (OMB) web Regulations, Part II. allowed to participate in the project? site at www.whitehouse.gov/omb/grants/ 6. Adequate Consent Procedures: 7. Risk/Benefit Discussion: spoc.html. • • List what information will be given Discuss why the risks are reasonable Check the list to determine whether to people who participate in the project. compared to expected benefits and your State participates in this program. Include the type and purpose of their importance of the knowledge from the You do not need to do this if you are participation. Identify the data that will project. a federally recognized Indian tribal be collected, how the data will be used, government. Protection of Human Subjects • and how you will keep the data private. Regulations If your State participates, contact • State: your SPOC as early as possible to alert • All applicants for Service-to-Science him/her to the prospective Whether or not their participation is grants must comply with the Protection voluntary. application(s) and to receive any • of Human Subjects Regulations (45 CFR necessary instructions on the State’s Their right to leave the project at part 46). any time without problems. review process. Applicants must describe the process • • Possible risks from participation in For proposed projects serving more for obtaining Institutional Review Board than one State, you are advised to the project. (IRB) approval fully in their • Plans to protect clients from these contact the SPOC of each affiliated applications. While IRB approval is not State. risks. required at the time of grant award, you • • Explain how you will get consent The SPOC should send any State will be required, as a condition of review process recommendations to the for youth, the elderly, people with award, to provide the documentation limited reading skills, and people who following address within 60 days of the that an Assurance of Compliance is on application deadline: do not use English as their first file with the Office for Human Research language. Substance Abuse and Mental Health Protections (OHRP) and that IRB Services Administration, Office of Note: If the project poses potential approval has been received prior to Program Services, Review Branch, 5600 physical, medical, psychological, legal, social enrolling any participants in the Fishers Lane, Room 17–89, Rockville, or other risks, you must obtain written proposed project. Maryland, 20857, Attn: SPOC—Funding informed consent. Additional information about Announcement No. [fill in pertinent • Protection of Human Subjects Indicate if you will obtain informed funding opportunity number from the Regulations can be obtained on the web consent from participants or assent from NOFA]. at http://ohrp.osophs.dhhs.gov. You minors along with consent from their In addition, community-based, non- may also contact OHRP by e-mail parents or legal guardians. Describe how governmental service providers who are ([email protected]) or by phone the consent will be documented. For not transmitting their applications (301–496–7005). example: Will you read the consent through the State must submit a Public forms? Will you ask prospective 3. Submission Dates and Times Health System Impact Statement participants questions to be sure they (PHSIS) (approved by OMB under understand the forms? Will you give Deadlines for submission of applications for specific funding control no. 0920–0428; see burden them copies of what they sign? statement below) to the head(s) of • Include, as appropriate, sample opportunities will be published in the NOFAs in the Federal Register and appropriate State or local health consent forms that provide for: (1) agencies in the area(s) to be affected no Informed consent for participation in posted on the Federal grants web site (www.grants.gov). later than the pertinent receipt date for service intervention; (2) informed applications. The PHSIS is intended to consent for participation in the data Your application must be received by the application deadline. Applications keep State and local health officials collection component of the project; and informed of proposed health services (3) informed consent for the exchange received after this date must have a proof-of-mailing date from the carrier grant applications submitted by (releasing or requesting) of confidential community-based, non-governmental information. The sample forms must be dated at least 1 week prior to the due date. Private metered postmarks are not organizations within their jurisdictions. included in Appendix 4, ‘‘Sample State and local governments and Indian Consent Forms’’, of your application. If acceptable as proof of timely mailing. You will be notified by postal mail tribal government applicants are not needed, give English translations. that your application has been received. subject to these requirements. Note: Never imply that the participant Applications not received by the The PHSIS consists of the following waives or appears to waive any legal rights, application deadline or not postmarked information: may not end involvement with the project, or by a week prior to the application • A copy of the face page of the releases your project or its agents from deadline will be screened out and will application (SF 424); and liability for negligence. not be reviewed. • A summary of the project, no longer • Describe if separate consents will be than one page in length, that provides: obtained for different stages or parts of 4. Intergovernmental Review (E.O. (1) A description of the population to be the project. For example, will they be 12372) Requirements served, (2) a summary of the services to needed for both participant protection Executive Order 12372, as be provided, and (3) a description of the in treatment intervention and for the implemented through Department of coordination planned with appropriate collection and use of data? Health and Human Services (DHHS) State or local health agencies.

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For SAMHSA grants, the appropriate custody where they are not free to move Hand carried applications will not be State agencies are the Single State about in the community). accepted. Faxed or e-mailed Agencies (SSAs) for substance abuse • Pay for the purchase or construction applications will not be accepted. and mental health. A listing of the SSAs of any building or structure to house V. Application Review Information can be found on SAMHSA’s web site at any part of the program. (Applicants www.samhsa.gov. If the proposed may request up to $75,000 for 1. Evaluation Criteria project falls within the jurisdiction of renovations and alterations of existing Your application will be reviewed more than one State, you should notify facilities, if necessary and appropriate to and scored according to the quality of all representative SSAs. the project.) • your response to the requirements listed Applicants who are not the SSA must Provide residential or outpatient below for developing the Project include a copy of a letter transmitting treatment services when the facility has Narrative (Sections A–D). These the PHSIS to the SSA in Appendix 4, not yet been acquired, sited, approved, sections describe what you intend to do ‘‘Letter to the SSA.’’ The letter must and met all requirements for human with your project. notify the State that, if it wishes to habitation and services provision. • In developing the Project Narrative comment on the proposal, its comments (Expansion or enhancement of existing section of your application, use these should be sent not later than 60 days residential services is permissible.) • instructions, which have been tailored after the application deadline to: Pay for housing other than to this program. These are to be used Substance Abuse and Mental Health residential mental health and/or instead of the ‘‘Program Narrative’’ Services Administration, Office of substance abuse treatment. • instructions found in the PHS 5161–1. Program Services, Review Branch, 5600 Provide inpatient treatment or • You must use the four sections/ Fishers Lane, Room 17–89, Rockville, hospital-based detoxification services. headings listed below in developing Maryland, 20857, Attn: SSA—Funding Residential services are not considered your Project Narrative. Be sure to place Announcement No. [fill in pertinent to be inpatient or hospital-based the required information in the correct funding opportunity number from services. • section, or it will not be considered. NOFA]. Pay for incentives to induce clients Your application will be scored In addition: to enter treatment. However, a grantee according to how well you address the • Applicants may request that the or treatment provider may provide up to requirements for each section. SSA send them a copy of any State $20 or equivalent (coupons, bus tokens, • Reviewers will be looking for comments. gifts, childcare, and vouchers) to clients evidence of cultural competence in each • The applicant must notify the SSA as incentives to participate in required section of the Project Narrative. Points within 30 days of receipt of an award. data collection follow-up. This amount will be assigned based on how well you [Public reporting burden for the Public may be paid for participation in each address the cultural competence aspects Health System Reporting Requirement is required interview. • of the evaluation criteria. SAMHSA’s estimated to average 10 minutes per Implement syringe exchange guidelines for cultural competence can response, including the time for copying programs, such as the purchase and be found on the SAMHSA web site at the face page of SF 424 and the abstract distribution of syringes and/or needles. • www.samhsa.gov. Click on ‘‘Grant and preparing the letter for mailing. An Pay for pharmacologies for HIV Opportunities.’’ agency may not conduct or sponsor, and antiretroviral therapy, sexually • The Supporting Documentation you a person is not required to respond to, transmitted diseases (STDs)/sexually provide in Sections E–H and a collection of information unless it transmitted illnesses (STI), TB, and Appendices 1 through 5 will be displays a currently valid OMB control hepatitis B and C, or for psychotropic considered by reviewers in assessing number. The OMB control number for drugs. your response, along with the material this project is 0920–0428. Send 6. Other Submission Requirements in the Project Narrative. comments regarding this burden to CDC • The number of points after each Clearance Officer, 1600 Clifton Road, 6.1 Where To Send Applications heading below is the maximum number MS D–24, Atlanta, GA 30333, Attn: PRA Send applications to the following of points a review committee may assign (0920–0428).] address: Substance Abuse and Mental to that section of your Project Narrative. 5. Funding Limitations/Restrictions Health Services Administration, Office Bullet statements in each section do not of Program Services, Review Branch, have points assigned to them. They are Cost principles describing allowable 5600 Fishers Lane, Room 17–89, provided to invite the attention of and unallowable expenditures for Rockville, Maryland, 20857. applicants and reviewers to important Federal grantees, including SAMHSA Be sure to include the funding areas within each section. grantees, are provided in the following announcement number from the NOFA Section A: Statement of Need (15 documents: in item number 10 on the face page of • Points) Institutions of Higher Education: the application. If you require a phone OMB Circular A–21 • Describe the problem the project • number for delivery, you may use (301) State and Local Governments: OMB 443–4266. will address. Describe the national Circular A–87 significance of the problem. • Nonprofit Organizations: OMB 6.2 How To Send Applications Documentation of need may come from Circular A–122 Mail an original application and 2 a variety of qualitative and quantitative • Appendix E Hospitals: 45 CFR Part 74 copies (including appendices) to the sources in the professional literature. In addition, SAMHSA Service-to- mailing address provided above. The The quantitative data could also come Science grant funds may not be used to: original and copies must not be bound. from national data available regarding • Pay for any lease beyond the project Do not use staples, paper clips, or mental health and substance use needs, period. fasteners. Nothing should be attached, gaps, and priorities. For example: • Provide services to incarcerated stapled, folded, or pasted. • Applications focusing on substance populations (defined as those persons in You must use a recognized abuse might draw from SAMHSA’s jail, prison, detention facilities, or in commercial or governmental carrier. National Household Survey on Drug Use

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and Health (NHSDUH); Drug Abuse project by the applicant or other the practice can better be evaluated for Warning Network (DAWN); and Drug partnering organizations. effectiveness following completion of and Alcohol Services Information • Describe your experience with the grant activities. For applications that System (DASIS), which includes the similar collaborative projects, and include Phase I, include in your Treatment Episode Data Set (TEDS). explain why you believe you will be description how achievement of your • Applications focusing on mental able to sustain this collaboration goals will fulfill the Performance health might draw on data available throughout the project period. Expectations cited in Section I–2 of this from the National Association of State • If applying for combined Phase I document. Mental Health Program Directors and II, describe the extent to which the • Describe the action steps to (NASMHPD), SAMHSA practice has been previously developed, accomplish the goals and objectives. (www.samhsa.gov/cmhs/ implemented, stabilized, and Demonstrate that the action steps will MentalHealthStatistics), or other documented. Include a description of lead to successful accomplishment of sources. the extent to which the support system the goals and objectives. Qualitative sources may also include needed for full implementation of the • Describe the potential barriers to conclusions of conferences and events proposed practice is in place—e.g., successful conduct of the proposed of national significance. community collaboration and consensus project and how you will overcome • Describe the target population for building; alignment of management them. the practice, including demographic information systems, policies, and • Describe how the proposed project information. Discuss the target funding mechanisms; documentation of will address issues of age, race/ population’s language, beliefs, norms core elements of the practice; reliable ethnicity, culture, language, sexual and values, as well as socioeconomic recruitment and intake procedures; orientation, disability, literacy, and factors that must be considered in quality assurance and accountability gender in the target population. delivering programs to this population mechanisms; training and overall • Check the NOFA for any additional • Review the literature that readiness of those implementing the requirements. demonstrates a need to develop or adapt practice; and involvement of families Section C: Evaluation Design and an effective practice for the target and consumers in the project. Analysis (40 Points) population. Demonstrate through the • If applying for Phase II only, show • literature review that current evidence- that the practice is ready for systematic Describe in detail your evaluation based approaches to the problem do not evaluation by providing documentation, design for determining the effectiveness exist or have not been evaluated for the in Appendix 2, that includes all of the of the practice. For applications that specific target populations, or that following: include Phase I, describe your process approaches of greater clinical or cost • A logic model depicting the evaluation to determine that the practice effectiveness are needed. principles and concepts underlying the is in full operation, as well as how you • Demonstrate that the need in the practice. will track the number and percentage of community in which the project will be • A copy of the Title Page and Table staff fully trained in the practice. carried out is of sufficient magnitude of Contents for a manual describing the • Describe the process and outcome that an adequate evaluation of the practice in detail that would allow evaluation protocols you intend to use. practice can be conducted. To the extent others to replicate the practice, and Include in Appendix 3 evaluation possible, use locally generated data or details on how the manual can be instruments to be used. Describe any State data such as that available through acquired. literature or pilot testing done to verify State needs assessments. • Documentation of how critical the validity and reliability of the • Check the NOFA for any additional stakeholders were included in the instruments to be used or how you plan requirements. development of the practice. to develop the instruments during the • A detailed description of the grant period. Section B: Proposed Approach (30 population that the practice is designed • Discuss the reliability and validity Points) to serve, and demographic of evaluation methods and instrument(s) • Describe the practice proposed for characteristics of the people served by in terms of the gender/age/culture of the evaluation. Document that the practice the practice over the past year. target population. has been in place and operational for at • Demonstration of stability in the • Describe how you will develop and least one year prior to the application number of people being served by the manage a database management system due date. practice. to record participant demographic • Describe how the proposed practice • Documentation that staff are trained characteristics, practice outcomes, will respond to the needs described in in the practice (via the number and service utilization, practice costs, and Section A of your Project Narrative. percentage of staff trained), and a satisfaction of stakeholders with the • Discuss the potential effectiveness mechanism for ongoing training for any practice. of the practice proposed for evaluation. new staff. • Describe how the integrity of the Why has this practice been selected? • Evidence demonstrating that the practice will be assessed using a fidelity Present the theoretical underpinnings, practice is in full operation and that a (see Glossary) scale. If no fidelity scale core principles, and major assumptions routine service delivery process is in currently exists for the practice, of the proposed practice. Outline the place. describe the process by which you will key operational elements of the practice • Pilot outcome results. (Note: develop one during the grant period. and summarize any relevant literature. Collection of these data need not Describe how you will document and • Identify any necessary collaborators include an extensive set of outcomes assess changes to the model that occur on the project, including their roles and systematically collected on all throughout the project. responsibilities. Demonstrate their participants, but quantitative project • Document your ability to collect commitment to the project. Include data should provide some indication and report on the required performance letters of support in Appendix 1: Letters that key outcomes are being achieved.) measures as specified in the NOFA, of Support. Identify any cash or in-kind • Present the goals and measurable including data required by SAMHSA to contributions that will be made to the objectives of the project. Describe why meet GPRA requirements. Specify and

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justify any additional measures you reviewed by the appropriate National may be identified in the NOFA or plan to use for your grant project. Advisory Council. negotiated with the grantee prior to • Describe how you will analyze the Decisions to fund a grant are based grant award. These may include, for data collected. Include any analyses that on: example: will be done to determine the • The strengths and weaknesses of • Actions required to be in effectiveness of the practice for diverse the application as identified by the peer compliance with human subjects subgroups, as well as the satisfaction of review committee and approved by the requirements; various stakeholder groups with the appropriate National Advisory Council; • Requirements relating to additional practice. • Availability of funds; and data collection and reporting; • Describe how your process • After applying the aforementioned • Requirements relating to evaluation will document the role of criteria, the following method for participation in a cross-site evaluation; critical stakeholders in the development breaking ties: When funds are not or and/or evaluation of the practice. available to fund all applications with • Requirements to address problems • Check the NOFA for any additional identical scores, SAMHSA will make identified in review of the application. requirements. award decisions based on the • You will be held accountable for Section D: Management Plan and application(s) that received the greatest the information provided in the Staffing (15 Points) number of points by peer reviewers on application relating to performance targets. SAMHSA program officials will • the evaluation criterion in Section V–1 Provide a realistic time line for the with the highest number of possible consider your progress in meeting goals project (chart or graph) showing key points (Evaluation Design and and objectives, as well as your failures activities, milestones, and responsible Analysis—40 points). Should a tie still and strategies for overcoming them, staff. [Note: The time line should be part exist, the evaluation criterion with the when making an annual of the Project Narrative. It should not be next highest possible point value will be recommendation to continue the grant placed in an appendix.] used, continuing sequentially to the and the amount of any continuation • Discuss the capability and evaluation criterion with the lowest award. Failure to meet stated goals and experience of the applicant organization possible point value, should that be objectives may result in suspension or and other participating organizations necessary to break all ties. If an termination of the grant award, or in with similar projects and populations, evaluation criterion to be used for this reduction or withholding of including experience in providing purpose has the same number of continuation awards. culturally appropriate/competent possible points as another evaluation • In an effort to improve access to services. criterion, the criterion listed first in funding opportunities for applicants, • Provide a list of staff members who Section V–1 will be used first. SAMHSA is participating in the U.S. will conduct the project, showing the Department of Health and Human role of each and their level of effort and VI. Award Administration Information Services ‘‘Survey on Ensuring Equal qualifications. Include the Project 1. Award Notices Opportunity for Applicants.’’ This Director and other key personnel, such survey is included in the application kit After your application has been as evaluators and database management for SAMHSA grants. Applicants are reviewed, you will receive a letter from personnel. encouraged to complete the survey and • Describe the racial/ethnic SAMHSA through postal mail that return it, using the instructions characteristics of key staff and indicate describes the general results of the provided on the survey form. if any are members of the target review, including the score that your population/community. If the target application received. 3. Reporting Requirements population is multi-linguistic, indicate If you are approved for funding, you 3.1 Progress and Financial Reports if the staffing pattern includes bilingual will receive an additional notice, the and bicultural individuals. Notice of Grant Award, signed by • Grantees must provide annual and • If you plan to include an advisory SAMHSA’s Grants Management Officer. final progress reports. The final progress body in your project, describe its The Notice of Grant Award is the sole report must summarize information membership, roles and functions, and obligating document that allows the from the annual reports, describe the frequency of meetings. grantee to receive Federal funding for accomplishments of the project, and • Describe the resources available for work on the grant project. It is sent by describe next steps for implementing the proposed project (e.g., facilities, postal mail and is addressed to the plans developed during the grant equipment), and provide evidence that contact person listed on the face page of period. resources are adequate for conducting a the application. • Grantees must provide annual and high-quality evaluation of the identified If you are not funded, you can re- final financial status reports. These practice. apply if there is another receipt date for reports may be included as separate • Check the NOFA for any additional the program. sections of annual and final progress requirements. reports or can be separate documents. 2. Administrative and National Policy Because SAMHSA is extremely Note: Although the budget for the proposed Requirements project is not a review criterion, the review interested in ensuring that treatment or group will be asked to comment on the • You must comply with terms and prevention service efforts are sustained, appropriateness of the budget after the merits conditions of the grant award. Standard your financial reports should explain of the application have been considered. SAMHSA terms and conditions are plans to ensure the sustainability (see available on SAMHSA’s web site at Glossary) of efforts initiated under this 2. Review and Selection Process www.samhsa.gov/grants/2004/useful— grant. Initial plans for sustainability SAMHSA applications are peer- info.asp. should be described in year 1 of the reviewed according to the review • Depending on the nature of the grant. In each subsequent year, you criteria listed above. For those programs specific funding opportunity and/or the should describe the status of the project, where the individual award is over proposed project as identified during successes achieved and obstacles $100,000, applications must also be review, additional terms and conditions encountered in that year.

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• SAMHSA will provide guidelines Mental Health Services exceed 58.5 square inches multiplied by the and requirements for these reports to Administration, 5600 Fishers Lane, page limit. This number represents the full grantees at the time of award and at the Rockwall II, Suite 630, Rockville, MD page less margins, multiplied by the total initial grantee orientation meeting after 20857, (301) 443–6816, number of allowed pages. • Space will be measured on the physical award. SAMHSA staff will use the [email protected]. page. Space left blank within the Project information contained in the reports to Kathleen Sample (CSAT), Office of Narrative (excluding margins) is considered determine the grantee’s progress toward Program Services, Division of Grants part of the Project Narrative, in determining meeting its goals. Management, Substance Abuse and compliance. Mental Health Services 3.2 Government Performance and —The page limit for Appendices stated in the Administration, 5600 Fishers Lane, specific funding announcement cannot be Results Act (GPRA) Rockwall II, Suite 630, Rockville, MD exceeded. The Government Performance and 20857, (301) 443–9667, To facilitate review of your application, Results Act (GPRA) mandates [email protected]. follow these additional guidelines. Failure to accountability and performance-based adhere to the following guidelines will not, management by Federal agencies. To Appendix A—Checklist for Formatting in itself, result in your application being meet the GPRA requirements, SAMHSA Requirements and Screenout Criteria screened out and returned without review. must collect performance data (i.e., for SAMHSA Grant Applications However, the information provided in your ‘‘GPRA data’’) from grantees. These application must be sufficient for review. SAMHSA’s goal is to review all Following these guidelines will help ensure requirements will be specified in the applications submitted for grant funding. your application is complete, and will help NOFA for each funding opportunity. However, this goal must be balanced against reviewers to consider your application. SAMHSA’s obligation to ensure equitable 3.3 Publications treatment of applications. For this reason, —The 10 application components required SAMHSA has established certain formatting for SAMHSA applications should be If you are funded under this grant included. These are: program, you are required to notify the requirements for its applications. If you do • not adhere to these requirements, your Face Page (Standard Form 424, which is Government Project Officer (GPO) and in PHS 5161–1) application will be screened out and returned • SAMHSA’s Publications Clearance to you without review. In addition to these Abstract Officer (301–443–8596) of any materials • Table of Contents formatting requirements, programmatic • based on the SAMHSA-funded project requirements (e.g., relating to eligibility) may Budget Form (Standard Form 424A, that are accepted for publication. which is in PHS 5161–1) be stated in the specific NOFA and in Section • In addition, SAMHSA requests that III of the standard grant announcement. Project Narrative and Supporting grantees: Please check the entire NOFA and Section III Documentation • • Appendices Provide the GPO and SAMHSA of the standard grant announcement before • preparing your application. Assurances (Standard Form 424B, which Publications Clearance Officer with is in PHS 5161–1) advance copies of publications. —Use the PHS 5161–1 application. • • Certifications (a form in PHS 5161–1) Include acknowledgment of the —Applications must be received by the • Disclosure of Lobbying Activities SAMHSA grant program as the source of application deadline. Applications (Standard Form LLL, which is in PHS funding for the project. received after this date must have a proof 5161–1) • Include a disclaimer stating that the of mailing date from the carrier dated at • Checklist (a form in PHS 5161–1) least 1 week prior to the due date. Private —Applications should comply with the views and opinions contained in the metered postmarks are not acceptable as publication do not necessarily reflect following requirements: proof of timely mailing. Applications not • those of SAMHSA or the U.S. received by the application deadline or not Provisions relating to confidentiality, Department of Health and Human postmarked at least 1 week prior to the participant protection and the protection of Services, and should not be construed application deadline will not be reviewed. human subjects specified in Section IV–2.4 of as such. —Information provided must be sufficient for the FY 2004 standard funding SAMHSA reserves the right to issue a review. announcements. • Budgetary limitations as specified in press release about any publication —Text must be legible. • Section I, II, and IV–5 of the FY 2004 deemed by SAMHSA to contain Type size in the Project Narrative cannot standard funding announcements. information of program or policy exceed an average of 15 characters per inch, • Documentation of nonprofit status as significance to the substance abuse as measured on the physical page. (Type size required in the PHS 5161–1. treatment/substance abuse prevention/ in charts, tables, graphs, and footnotes will —Pages should be typed single-spaced with not be considered in determining one column per page. mental health services community. compliance.) • —Pages should not have printing on both VII. Agency Contacts Text in the Project Narrative cannot sides. exceed 6 lines per vertical inch. —Please use black ink and number pages The NOFAs provide contact —Paper must be white paper and 8.5 inches information for questions about program consecutively from beginning to end so by 11.0 inches in size. that information can be located easily issues. —To ensure equity among applications, the during review of the application. The cover For questions on grants management amount of space allowed for the Project page should be page 1, the abstract page issues, contact: Narrative cannot be exceeded. should be page 2, and the table of contents Gwendolyn Simpson (CMHS), Office of • Applications would meet this page should be page 3. Appendices should Program Services, Division of Grants requirement by using all margins (left, right, be labeled and separated from the Project Management, Substance Abuse and top, bottom) of at least one inch each, and Narrative and budget section, and the Mental Health Services adhering to the page limit for the Project pages should be numbered to continue the Administration, 5600 Fishers Lane, Narrative stated in the specific funding sequence. Room 12–103, Rockville, MD 20857, announcement. —Send the original application and two • Should an application not conform to copies to the mailing address in the (301) 443–4456, these margin or page limits, SAMHSA will funding announcement. Please do not use [email protected]. use the following method to determine staples, paper clips, and fasteners. Nothing Edna Frazier (CSAP), Office of Program compliance: The total area of the Project should be attached, stapled, folded, or Services, Division of Grants Narrative (excluding margins, but including pasted. Do not use heavy or lightweight Management, Substance Abuse and charts, tables, graphs and footnotes) cannot paper or any material that cannot be copied

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using automatic copying machines. Odd- Grant: A grant is the funding mechanism particular program or practice is designed to sized and oversized attachments such as used by the Federal Government when the serve or reach. posters will not be copied or sent to principal purpose of the transaction is the Wraparound Service: Wraparound services reviewers. Do not include videotapes, transfer of money, property, services, or are non-clinical supportive services—such as audiotapes, or CD–ROMs. anything of value to accomplish a public child care, vocational, educational, and purpose of support or stimulation authorized transportation services—that are designed to Appendix B—Glossary by Federal statute. The primary beneficiary improve the individual’s access to and Best Practice: Best practices are practices under a grant or cooperative agreement is the retention in the proposed project. that incorporate the best objective public, as opposed to the Federal information currently available regarding Government. Appendix C—Logic Model Resources effectiveness and acceptability. In-Kind Contribution: In-kind contributions Chen, W.W., Cato, B.M., & Rainford, N. Catchment Area: A catchment area is the toward a grant project are non-cash (1998–9). Using a logic model to plan and geographic area from which the target contributions (e.g., facilities, space, services) evaluate a community intervention program: population to be served by a program will be that are derived from non-Federal sources, A case study. International Quarterly of drawn. such as State or sub-State non-Federal Community Health Education, 18(4), 449– Cooperative Agreement: A cooperative revenues, foundation grants, or contributions 458. agreement is a form of Federal grant. from other non-Federal public or private Edwards, E.D., Seaman, J.R., Drews, J., & Cooperative agreements are distinguished entities. Edwards, M.E. (1995). A community from other grants in that, under a cooperative Logic Model: A logic model is a approach for Native American drug and agreement, substantial involvement is diagrammatic representation of a theoretical alcohol prevention programs: A logic model anticipated between the awarding office and framework. A logic model describes the framework. Alcoholism Treatment Quarterly, the recipient during performance of the logical linkages among program resources, 13(2), 43–62. funded activity. This involvement may conditions, strategies, short-term outcomes, Hernandez, M. & Hodges, S. (2003). include collaboration, participation, or and long-term impact. More information on Crafting Logic Models for Systems of Care: intervention in the activity. HHS awarding how to develop logics models and examples Ideas into Action. [Making children’s mental offices use grants or cooperative agreements can be found through the resources listed in health services successful series, volume 1]. (rather than contracts) when the principal Appendix C. Tampa, FL: University of South Florida, The purpose of the transaction is the transfer of Practice: A practice is any activity, or Louis de la Parte Florida Mental Health money, property, services, or anything of collective set of activities, intended to Institute, Department of Child & Family value to accomplish a public purpose of improve outcomes for people with or at risk Studies. http://cfs.fmhi.usf.edu or phone support or stimulation authorized by Federal for substance abuse and/or mental illness. (813) 974–4651. statute. The primary beneficiary under a Such activities may include direct service Hernandez, M. & Hodges, S. (2001). grant or cooperative agreement is the public, provision, or they may be supportive Theory-based accountability. In M. as opposed to the Federal Government. activities, such as efforts to improve access Hernandez & S. Hodges (Eds.), Developing Cost Sharing or Matching: Cost sharing to and retention in services, organizational Outcome Strategies in Children’s Mental refers to the value of allowable non-Federal Health, pp. 21–40. Baltimore: Brookes. contributions toward the allowable costs of a efficiency or effectiveness, community readiness, collaboration among stakeholder Julian, D.A. (l997). Utilization of the logic Federal grant project or program. Such model as a system level planning and contributions may be cash or in-kind groups, education, awareness, training, or evaluation device. Evaluation and Planning, contributions. For SAMHSA grants, cost any other activity that is designed to improve 20(3), 251–257. sharing or matching is not required, and outcomes for people with or at risk for Julian, D.A., Jones, A., & Deyo, D. (1995). applications will not be screened out on the substance abuse or mental illness. Open systems evaluation and the logic basis of cost sharing. However, applicants Practice Support System: This term refers model: Program planning and evaluation often include cash or in-kind contributions in to contextual factors that affect practice tools. Evaluation and Program Planning, their proposals as evidence of commitment to delivery and effectiveness in the pre- 18(4), 333–341. the proposed project. This is allowed, and adoption phase, delivery phase, and post- Patton, M.Q. (1997). Utilization-Focused this information may be considered by delivery phase, such as (a) community Evaluation (3rd Ed.), pp. 19, 22, 241. reviewers in evaluating the quality of the collaboration and consensus building, (b) application. training and overall readiness of those Thousand Oaks, CA: Sage. Fidelity: Fidelity is the degree to which a implementing the practice, and (c) sufficient Wholey, J.S., Hatry, H.P., Newcome, K.E. specific implementation of a program or ongoing supervision for those implementing (Eds.) (1994). Handbook of Practical Program practice resembles, adheres to, or is faithful the practice. Evaluation. San Francisco, CA: Jossey-Bass to the evidence-based model on which it is Stakeholder: A stakeholder is an Inc. based. Fidelity is formally assessed using individual, organization, constituent group, Dated: February 26, 2004. rating scales of the major elements of the or other entity that has an interest in and will Daryl Kade, evidence-based model. A toolkit on how to be affected by a proposed grant project. Director, Office of Policy, Planning and develop and use fidelity instruments is Sustainability: Sustainability is the ability Budget, Substance Abuse and Mental Health available from the SAMHSA-funded to continue a program or practice after Services Administration. Evaluation Technical Assistance Center at SAMHSA grant funding has ended. http://tecathsri.org or by calling (617) 876– Target Population: The target population is [FR Doc. 04–4694 Filed 3–5–04; 8:45 am] 0426. the specific population of people whom a BILLING CODE 4162–20–P

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Part III

Department of the Interior National Environmental Policy Act Revised Implementing Procedures; Notice

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DEPARTMENT OF THE INTERIOR the near future, each bureau will Supplementary Information Portion of consider revising its chapter to bring it the September 4, 2003, Publication [516 DM 1–15] into conformance with the Department’s In the SUPPLEMENTARY INFORMATION National Environmental Policy Act procedures. Any revisions to these section of the September 4, 2003, Revised Implementing Procedures chapters will be published in the Federal Register notice, we made the Federal Register for public comment. In statement that: AGENCY: Department of the Interior. accordance with 1507.3 of the CEQ They update our policies and ACTION: Notice of final revised Regulations, this Department submitted procedures in order to stay current with procedures. these final revisions to CEQ for their changing environmental laws and review and approval. In a letter, CEQ SUMMARY: This notice contains the final programs of the Federal government. revised Departmental policies and approved these procedures for final Several reviewers were concerned procedures for compliance with the publication. The remaining sections of that this statement needed more National Environmental Policy Act SUPPLEMENTARY INFORMATION will clarification and seemed to apply a (NEPA), as amended, Executive Order provide background, a synopsis of more formal reading of the statement 11514, as amended, and the Council on comments and responses, and than did the Department. Environmental Quality’s (CEQ) procedural requirements. Following the We intended the statement in a casual regulations. This action is necessary to SUPPLEMENTARY INFORMATION is the text manner since, over the last twenty three update these procedures and to make of the final procedures. years, there have been a number of new and modified environmental them available to the public on the Background: On September 4, 2003, Department’s Internet site. These requirements at all levels of the Department published these government. We wish to assure all procedures are final and will be procedures in draft form and invited the published in part 516 of the reviewers that this sentence is only a public to make comments. All summary expression reflecting the Departmental Manual (DM) and will be comments received to date on this made available to the public on the intent of the revision to take into publication have been read, analyzed, account the past twenty three years of Electronic Library of Interior Policies and considered in the revision process. (ELIPS). ELIPS is located at http:// changing environmental requirements. The procedures have also been These Departmental procedures elips.doi.gov/. The bureaus and offices circulated in the Department for final of the Department of the Interior are originated in 1980 and have become clearance by each assistant secretary. In dated both in reference to and required to use these procedures when some cases, responses to public meeting their responsibilities under the substantive compliance with newer comments or changes made as a result National Environmental Policy Act. requirements. Agencies often revise of public comments have been further their procedures for this reason. Also, FOR FURTHER INFORMATION CONTACT: revised during the final, internal review the CEQ Regulations require agencies to Terence N. Martin, Team Leader, and clearance process. review their procedures [40 CFR Natural Resources Management; Office 1507.3(a)]. In addition, the Department of Environmental Policy and Comments and Responses: The Department received, reviewed, and has been posting sections of its Compliance; 1849 C Street, NW.; operating manual on the Internet for Washington, DC 20240. Telephone: considered seventeen letters of comment on the September 4, 2003, easy public access. Before these 202–208–5465. E-mail: chapters can be posted, they must be [email protected]. Federal Register notice. There were some comments which focused on revised to be useful to our bureaus and SUPPLEMENTARY INFORMATION: General: certain broad issues, and those the public. These procedures address policy as well comments are addressed immediately Several reviewers expressed concern as procedure in order to assure that the September 4, 2003, Federal below. We have identified these issues compliance with the spirit and intent of Register notice did not explain all of the with portions of the publication or with NEPA. They update Interior’s policies changes or did not provide explicit, a descriptive title. These titles are in all and procedures in order to stay current highlighted changes. capital letters for easy identification. with changing environmental laws and We believe that we did provide programs of the Federal government. It Following these responses, we have sufficient explanation of the material is the intent of these procedures to incorporated the outline of each chapter presented, and we cited the Internet provide one set of broad Departmental of the final publication for ease of location of the current procedures so directives and instructions to all tracking individual comments on that anyone wishing to download them bureaus and offices of the Department to specific sections. To find your and make their own comparisons could follow in their NEPA compliance comment, you should proceed to the do so. Further, a contact was given for activities. In previous publications of section of the manual that you any questions from the public. Any these chapters the Department’s bureaus commented on to see the response. For requests for a paper copy of the current published appendices to chapter 6 to example, if you made a comment in chapters would have been honored. No further describe each bureau’s Chapter 3, subpart 4, proceed to the such requests were received. compliance program. In order to more heading 516 DM 3 and find 3.4. In each Several reviewers noted our citation efficiently handle these appendices in subpart where there are comments, we of Executive Order 13212 in the the ELIPS system, it has been decided have paraphrased the comments in supplemental information and to republish them as new chapters to italics followed immediately by our expressed concern that this represented this DM part. Therefore, new chapters 8 response in regular type. If several a particular emphasis on expediting through 15 which represent the reviewers made comments on the same energy projects and that the reference to currently existing bureau appendices section and a single answer is 516 DM 4.16 was incorrect. will be added to the Departmental warranted, it is identified as an answer This portion of the SUPPLEMENTARY Manual. These chapters have already to multiple comments. If a chapter INFORMATION was merely intended to received public review, are final, and subpart is not listed, there were no display the various procedural are not being republished here today. In comments received on that subpart. requirements that this publication

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would have had to address had it been forwarded to that bureau for their use in We appreciate the comment and can a rulemaking. There was no intention to any future revision of Chapter 8. assure reviewers that Departmental indicate any emphasis on the One reviewer expressed concern that employees are fully bound by these application of Executive Order 13212 the department’s procedures should procedures and Executive Order 12630 over any other requirement that applies await the completion of CEQ’s guidance and are expected to carry out their to the Department. The reference to 516 arising from the CEQ task force report responsibilities accordingly. DM 4.16 was an error in publication, on moderizing NEPA implementation. Several reviewers offered comments and it should have been 516 DM 4.17 as During development of the September on the Bureau of Land Management’s the reviewer noted. It has been changed 4, 2003, publication, the Department willingness to comply fully with the in this version. was in contact with CEQ staff policy statements of 516 DM 1. Relationship of these revised concerning the new concepts and All bureaus of the Department are departmental NEPA procedures to changes that were being written into the bound by these procedures as well as current NEPA compliance and Federal manual chapters. CEQ made suggestions their NEPA procedures set out in their financial assistance program activities of for improvement and generally chapters and handbooks. BLM has the Department’s Fish and Wildlife indicated that the Department’s changes participated vigorously in the Service. were consistent with the information development of the Department’s new Several reviewers remain concerned being collected for their report, procedures and plans to move rapidly about this publication and its perceived ‘‘Modernizing NEPA Implementation.’’ toward updating its chapter and increase in workload under the Federal We believe that it is unnecessary to wait handbook to conform to the new financial assistance programs of the Fish for CEQ to complete any new guidance Departmental procedures. We have and Wildlife Service (FWS). The arising from the report forwarded these specific comments to concerns are: (1) Federal aid program recommendations since the Department the bureau for its information and activities will be subject to an increasing maintains its own guidance system to consideration in their revision efforts. amount of environmental assessments further explain or interpret new Several reviewers commented that when categorical exclusions should be guidance from CEQ or elsewhere. Federal permitting processes remain able to provide adequate NEPA Reviewers are referred to our cumbersome, complex, and compliance, (2) EAs should only be environmental statement memorandum unpredictable. used to determine if an EIS is necessary series at http://www.doi.gov/oepc/ We agree and believe that we have under Federal aid grant programs, (3) ememoranda.html. addressed many of these problems to Federal aid grants for maintenance work One reviewer was concerned with the often receive more environmental the best of our ability in these chapters. chapter 1 references to the department analysis than is warranted because The revisions emphasize combining and its officers interpreting and Federal managers return to the base analyses when practicable and, where project for their NEPA analysis when administering the policies, regulations, appropriate, using information from one only the maintenance activity should be and public laws of the United States in study in another. Both of these examined, and (4) Certain additions to accordance with NEPA. techniques should help decrease the Appendix 1—containing the We do not believe there is a problem cumbersomeness, complexity, and Department’s categorical exclusions with this language since it is consistent unpredictability of the NEPA process. (CXs) need to be made to further the use with section 102(1) of NEPA. The Departmental Manual NEPA of CXs in Federal aid programs. One reviewer pointed out that states chapters provide oversight guidance for We appreciate the comments that have public participation processes that eight bureaus with very diverse have been made in this area and have may be duplicated by the department missions and statutory authorities, and, reviewed them for any possible changes and create confusion. therefore, must balance both general and to the Departmental Manual. However, The reviewer indicated that the specific coverage for a number of issues. these comments and recommendations Department should accept State public Also a specific environmental statement are the concern of and better answered participation processes as adequate and memorandum has been issued covering by the Department’s Fish and Wildlife move toward use of cooperative this topic. Reviewers are referred to our Service. The Departmental NEPA agreements to further the Federal/State environmental statement memorandum procedures serve as umbrella roles in producing NEPA compliance series at: http://www.doi.gov/oepc/ procedures for all of the bureaus in the documents. We agree in general and ememoranda.html. Department and do not provide a level understand that several States have One reviewer commented directly and of detail sufficient to apply to all the adequate public participation programs. others implied in some portions of their bureaus and their varied mandates, The CEQ Regulations at 40 CFR 1506.6 comments that the revised procedures missions, and needs. require the Department to provide for were a positive step forward to improve The FWS NEPA procedures in the public involvement and this has been a NEPA implementation in the Departmental Manual, which address cornerstone of the Department’s NEPA department. the requirements set forth in 516 DM procedures for many years. To address We appreciate these comments. 6.5, were last published as final this comment, we have allowed for Several reviewers offered comments procedures on January 16, 1997. All public involvement to be accomplished proposing no changes to the text of the public comments were considered and through local partnerships in 516 DM chapters or comments expressing an were incorporated into the final FWS 1.2B. opinion on the department’s proposed procedures. The FWS will be reviewing One reviewer commented that DOI changes. and revising as necessary its NEPA should hold its employees fully These comments were all read and guidance following final publication of accountable for their actions when considered; and, in some cases, assisted the Departmental Manual. carrying out their responsibilities during our revision of specific sections of the Since these comments and consensus-based management. The procedures or supported other recommendations are concerned with reference was to our statement reviewers’ recommendations. We the program activities of the Fish and concerning Executive Order 12630 in appreciate the input provided in these Wildlife Service, they have been the procedural requirements below. comments.

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516 DM 1 We appreciate the support. the subpart in a way that provides One reviewer voiced support for coverage for both current and future 1.2 Policy 1.4A(3). laws. One reviewer recommended a We appreciate the support. A reviewer expressed support for wording change to 1.2B and 1.2C Several reviewers commented on and 1.5A(3) concerning the use of electronic concerning references to section 101 of suggested wording changes to the systems but cautioned against total NEPA and to the definition of the baseline data provision in 1.4A(4). reliance on them. human environment in 40 CFR 1508.14. The Department understands that We understand the concern that many We agree and have amended both baseline data are both necessary to portions of the public still do not have subparts along with subpart 1.2D. environmental analysis and can be computers or Internet access. Our controversial from the standpoint of 1.3 General Responsibilities guidance memorandum on this topic determining what the baseline is and (see http://www.doi.gov/oepc/ One reviewer suggests that our how to get those data for a given project. ememoranda.html) and 1.5A(2) requires requirements in 1.3D(4) are beyond the We believe that this subpart is our bureaus to continue providing paper scope of NEPA. appropriate for the Department and its copies of NEPA documents to anyone We disagree and refer reviewers to bureaus as written. We believe that it is requesting them. sections 102(1), 102(2)(A), 102(2)(G), best to provide Departmental managers Two different comments were 102(2)(H), and 104(1). with this overall guidance and let received on 1.5B(3). One concerned the Several reviewers commented on the project specific NEPA documents and potential exclusion of certain interested concept of consensus-based their public comments determine parties in projects involving management in 1.3D(5). whether baseline has been properly international considerations. The other Comments were both for and against defined and documented. was that DOI would consider global our use of the concept and also offered Several reviewers commented on implications such as climate change and using the term ‘‘information-based 1.4A(5) giving support, concerned about deforestation in its decision-making. management’’ as a substitute. Some requiring combined EISs in the same There is no intent to exclude concern was voiced about compliance area, and concerned that CXs ignore appropriate interested parties in this with the Federal Advisory Committee cumulative impacts. subpart, and the subpart has been Act (FACA) and that States may have to This provision is written with revised accordingly. The subpart is a provide training on Federal laws for sufficient flexibility to allow broad statement that the Department which they have no expertise and often Departmental managers to determine the will play an appropriate role in have no funds to provide any training. best way to integrate existing international environmental issues to We have reviewed the subpart again and environmental analyses and data into the extent it is authorized to do so. The believe that these concerns are their NEPA documents and does not subpart recognizes the concepts set forth unfounded. We also refer the reviewers require combined NEPA documents by in section 102(2)(F) of the Act and to our environmental statement several agencies unless that is the most further embodied in Executive Order memorandum on the Web site noted efficient and effective method to 12114 (Environmental Impacts Abroad above under the general comment on adequately comply with NEPA. We also of Major Federal Actions). the NEPA Task Force Report. We feel call attention to extraordinary that sufficient flexibility is built into circumstance 2.6 in 516 DM 2; 1.6 Public Involvement these new concepts to make them Appendix 2 that is intended to assure A reviewer commented that this workable under existing budget that cumulative impacts are not ignored section should only be an issue if the conditions at both Federal and State when applying CXs. Federal agency can demonstrate that a levels. Finally, legal review of our One reviewer noted that 1.4A(6) does State has no public participation consensus-based management advises not and should not require completion program. that it is compliant with FACA. of all approvals before DOI completes a As noted above in the general Several reviewers spoke in support of NEPA document. discussion of State public participation tiered and transferred analyses in This is understood and Departmental programs, public participation is 1.3D(6). EISs have always identified and required of all Federal agencies. It is not The support is appreciated. discussed any remaining approvals our intent to ignore the efforts of State Several reviewers spoke in support of needed before an action could be taken. governments to fully involve the public the adaptive management concept One comment supported 1.4B. nor should our efforts duplicate State introduced in 1.3D(7). We appreciate the comment. efforts. The Department is fully aware of We appreciate the support. 1.5 Consultation, Coordination, and 40 CFR 1500.4(n) which calls for One reviewer suggest the addition of Cooperation With Other Agencies and eliminating duplication with State and the CEQ Regulations to 1.3E(1). Organizations local procedures. Departmental We agree and have done so. managers are expected to combine their One reviewer suggested that Several comments were made on efforts with States when it is collecting baseline data be added to 1.5A(1) concerning the applicability of appropriate, as determined by both 1.3E(3) and adding a similar passage to certain laws such as the Patriot Act and governments. 4.17C. the Federal Land Policy and One reviewer supported 1.6B on We believe that the general Management Act. NEPA status reporting. requirement in 1.4A(4) is sufficient to We have reviewed the subpart and We appreciate the comment. bind Departmental managers on this have added the qualifier ‘‘to the extent subject. allowed by law’’ in the second sentence. 516 DM 2 The comments are well founded, but 1.4 Consideration of Environmental because several other statutes are 2.1 Purpose Values applicable and applicability can vary A reviewer has commented on the One reviewer voiced support for depending upon the case at hand, we seemingly restrictive character of the 1.4A(1). took a more general approach to fixing often used phrase: Federal, State, and

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local agencies (including Tribal statutory, regulatory, and policy We appreciate the support. governments) in this chapter. The constraints. Concerning the late 2.4 Lead Agencies concern is that other interested parties introduction of issues, we believe the may not qualify for joint lead and current language is satisfactory and One reviewer suggested that 2.4E cooperating agency roles or for general allows the individual manager to handle needs to list statutes in which lead involvement in NEPA compliance the late introduction of issues and agency designations may be required. activities. alternatives in an appropriate manner. We have researched this and were NEPA is a Federal statute and its Another specific comment requested advised that the Natural Gas Act is one provisions, as well as the Departmental specific timelines and notice for statute where the lead agency is and bureau procedures, govern DOI’s comment. Again, we believe that these designated to be the Federal Energy implementation. However, this does not procedures should not usurp the local Regulatory Commission. We do not preclude the involvement of interested manager’s ability to work out believe that a change is warranted parties that are not local governments arrangements with interested parties because these statutes will surface in from participating in scoping and in the that fit the individual situation. any NEPA proceeding where they may development of NEPA analyses and One reviewer recommended a new have an impact and will not be documents. The CEQ Regulations at 40 2.2F that would clearly indicate that overlooked. Further, these procedures CFR 1501.2(d)(2) require that Federal NEPA applied only to Federal actions. necessarily refrain from publishing lists agencies consult early with appropriate We have made this addition. and other specific data which may change periodically and would thereby State and local agencies and Indian 2.3 Whether To Prepare an EIS tribes and with interested private require the Department to revise these persons and organizations when such One reviewer recommended that procedures. Instead, the Department has involvement is reasonably foreseeable. subpart 2.3A(1) be revised in (b) to read an environmental guidance There are a number of other places in as follows: memorandum system where data such the regulations and this Departmental Unresolved conflicts concerning as this may be made available (see http:/ Manual that provide for public alternative uses of available resources /www.doi.gov/oepc/ememoranda.html). will not be a sole reason to disallow the involvement and stress public 2.5 Cooperating Agencies involvement as an important part of full use of an otherwise acceptable NEPA compliance. See also 2.2D and categorical exclusion. Several reviewers commented on 2.5D 2.6B. Finally, it is noted that the This arises from a general concern from the standpoint of needing high Department did not fairly paraphrase in from several reviewers that unresolved level clearance, use of specific wording footnote 4 the meaning of the July 1999, conflicts should not be a reason for not from the CEQ Regulations, and lack of September 2000, and January 2002 CEQ applying a specific categorical exclusion funding at the local level. We have considered these comments guidance on the topic of cooperating as expressed in extraordinary and made some changes to the subpart agencies. We have reviewed our circumstance 2.3 or that unresolved to be more specific about what should footnote and the CEQ guidance and conflicts should even be a criterion for happen between bureaus and believe that we have properly portrayed establishing a category. There was cooperating agencies. We believe the CEQ’s meaning by paraphrasing their additional comment that our reference subpart now reflects the regulations to discussion urging Federal agencies to to section 102(2)(E) of NEPA was also a the best extent possible. As a practical more actively solicit participation from misinterpretation of the Act. matter, cooperating agency State and local agencies. We considered these concerns and removed the unresolved conflicts arrangements are best made at the local 2.2 Apply NEPA Early criterion in 2.3A(1)(b) but have not manager’s level so that work can begin A county reviewer is concerned that removed that same portion of and proceed efficiently without 2.2A does not explicitly include extraordinary circumstance 2.3. At least requiring and waiting for clearance from counties for consultation purposes. one bureau has indicated that this higher levels. In the event that Please see the response given above in addition to the extraordinary cooperating agencies do not meet their 2.1 to a similar concern. Counties are circumstance is necessary in the commitments, higher level managers included as units of local government. successful application of their can be brought in at the appropriate One reviewer has indicated support categorical exclusions. Finally, we time to help resolve any differences. On for subpart 2.2A. believe that our reference to section the subject of funding raised by one of We appreciate the support. 102(2)(E) is appropriate and is further the reviewers, it is recognized that local One reviewer has indicated support confirmed in 40 CFR 1507.2(d). governments qualifying for cooperating for subpart 2.2B. A reviewer suggested that 2.3A(3) agency status may not always have We appreciate the support. concerning documentation of sufficient funds to participate. The CEQ Several reviewers commented on categorical exclusions not include Regulations allow for this in 40 CFR subpart 2.2D concerned that consensus extensive review and documentation as 1501.6(b)(5) and this is taken into should not be required on any part of noted in the CEQ NEPA Task Force account in the factors provided with the the process beyond identification of report. January 2002 guidance memorandum issues and concerned that interested The subpart calls for ‘‘* * * sufficient from CEQ, but, unfortunately, some parties who decline their participation environmental review to determine opportunities may be missed due to early may not enter the process at a later whether it meets any of the resource limitations. date. extraordinary circumstances. * * * ’’ We have reviewed the subpart and We believe that this is satisfactory 2.6 Scoping determined that only minor adjustments language to cover this issue. A reviewer commented in 2.6A that were needed. The subpart currently One reviewer expressed support for counties with limited budgets and staff handles the subject with a moderate 2.3D. should be able to receive direct approach both promoting the use of We appreciate the support. invitations to scoping meetings. consensus-based management while One reviewer expressed support for We understand the budget constraints recognizing the limits on its use due to 2.3F. that governments may have from time to

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time but believe that notices of intent to bring about more continuity and make a determination on whether to use do an EIS and hold scoping meetings are objectivity. Particularly, we have used a CX. There are those who wish to have now easily obtained from the Federal the word significant as used in the no CXs applied and those who wish to Register online. Local notifications are definition of categorical exclusion in 40 have more CXs and less EAs and EISs often published in newspapers and CFR 1508.4. We have also made direct produced. The varied missions of the newsletters. changes to some of them as Department call for balancing these Several reviewers offered support for recommended by the public comments. competing interests to serve the public 2.6B, made a suggested revision to On those recommended word changes in the best possible way. We have include State, local, and Tribal where we disagreed, we have made no retained the spirit of this section while governments, and called attention to the changes. Following are specific changing the wording to ‘‘significant applicability of a previous comment responses to comments on each impact.’’ made on 1.5A(1). extraordinary circumstance. 516 DM 3 We appreciate the support and have 2.1—We have substituted the term made the suggested change to the extent ‘‘significant impacts’’ for the term 3.3 Public Involvement we felt was necessary. Regarding ‘‘significant adverse affects.’’ This Several reviewers made comments subpart 1.5A(1), we refer the reviewer to change acknowledges the fact that a from differing points of view on 3.3B. the response made there. categorical exclusion may not be We believe that our revised wording A reviewer offered support for 2.6C. warranted if the proposed action may is now consistent with the CEQ Again, we appreciate the support. have affects that are largely positive or Regulations and the policy statements 2.7 Time Limits negative. made earlier in chapter 1 of this part. 2.2—We have used the phrase Several reviewers recommended that ‘‘significant impacts,’’ at the beginning 516 DM 4 2.7A be strengthened to require time to help create consistency. We have 4.3 Timing limits. added migratory birds. We have not One reviewer supports 4.3A. We believe that the subpart as written added the phrase, under Federal best complies with the CEQ Regulations We appreciate the support. ownership or jurisdiction, as suggested, Several reviewers requested a change on this topic. In 40 CFR 1501.8, CEQ because project effects may impact areas in 4.3B concerning the offshore minerals recognized that prescribed time limits adjacent to Federal lands. example. would be too inflexible. Further, our 2.3—No change. Based on the comments and the cited experience with prescribed time limits 2.4—No change. One reviewer did court cases, we have made the change. for the preparation of NEPA analyses suggest deletion of this extraordinary and documents as well as other circumstance. However, we have 4.10 Alternatives Including the Departmental matters show that determined that it should be retained Proposed Action unforeseen events can cause missed because our experience has shown that One reviewer recommended the deadlines, but that progress continues to it is sometimes needed and used. addition of an item on the human be made. 2.5—No change. environment. In subpart 2.7B it is recommended 2.6—We revised this to be more We have made a reference to 40 CFR that staff should be assembled and consistent with the other extraordinary 1508.14 in subpart 1.2D. Such an trained in the type of project to be circumstances. addition in 4.10A would not be analyzed. 2.7—We have used the phrase consistent with the intent of the subpart We have made minor changes to this ‘‘significant impacts,’’ at the beginning which describes the commonly used subpart to reinforce this concept. to help create consistency. terms when dealing with NEPA 2.8—We have used the phrase Appendix 1 alternatives. ‘‘significant impacts,’’ throughout to One reviewer suggests a revision to One reviewer indicated continued help create consistency. We have 4.10A(2), reasonable alternative. opposition to CXs 1.11 and 1.12 retained the phrase, proposed to be We decline to make the change since concerning fuels reduction and listed, because it is contained in the the language was derived from Question rehabilitation. Endangered Species Act and serves to 2 in CEQ’s ‘‘Forty Most Asked The comment is noted, but no change alert analysts, reviewers, proponents, Questions’’ guidance document. will be made since these CXs were the and decision makers of the pending One reviewer suggested a change for subject of previous notice and comment possibility of listing. 4.10A(4), preferred alternative. prior to their adoption. 2.9—We have made minor We have changed the definition to It was also recommended that CX 1.8 modifications. conform more precisely with that given be narrowed to exclude minor boundary 2.10—We have made minor in the ‘‘Forty Most Asked Questions.’’ changes and land titles. modifications. One reviewer recommended that Again, no change will be made since 2.11—We have added the phrase, on 4.10A(5), environmentally preferred the historical exercise of this CX has not Federal lands, to clarify this point. alternative be omitted from the subpart. uncovered systemic abuse of its use or 2.12—We have made minor Further the reviewer indicated that the any reason to re-evaluate its use. modifications. term does not appear in NEPA Several reviewers expressed Appendix 2 documentation. continued concern that we do not We disagree and have not omitted the Several reviewers commented on the require the presence of an extraordinary subpart. Both 40 CFR 1505.2(b) and the need for objective standards in the circumstance to halt the use of a CX but ‘‘Forty Most Asked Questions’’ discuss extraordinary circumstances and allow the phrase ‘‘* * * have the term. recommended re-wording of several of significant adverse effects on * * *’’ to A reviewer recommends defining the them. be the determining factor. term, participating communities in We have reviewed the extraordinary Experience has shown that the 4.10D. circumstances with these comments in Department must have some leeway in We have opted to change the word mind and have made several changes to this matter to allow local managers to ‘‘communities’’ to the phrase

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‘‘interested parties’’ which is more 4.17 Environmental Review and and further guidance was developed for consistent with other references to this Consultation Requirements bureaus which included additional CEQ topic throughout the chapters. A reviewer noted support for 4.17C guidance on the topic. This guidance is available in an environmental statement 4.12 Tiering but cautioned that not all approvals had to be in place before completing the EIS. memorandum, ESM97–3, that is One reviewer supports 4.12B. The text has been modified to show available on the Web site noted earlier We appreciate the support. this. in this manual. We decided, based upon actual emergency experience in the 4.15 Methodology and Scientific 4.19 Response to Comments. Department in 1997, that the two most Accuracy A reviewer commented that 4.19A important points to address in the A reviewer recommended that we add and B contradicted other subparts, manual were: (1) Take the action if life, language to 4.15 to identify the particularly 2.2B and D on involving property, and resources are threatened information quality requirements that interested parties early and eliminating and (2) immediately consult with the were established by Section 515 of the late input to the NEPA process. Department and CEQ if there are Treasury and General Government We have reviewed these subparts, significant impacts. The guidance Appropriation Act for Fiscal Year 2001. modified both of them, and related contained in ESM97–3 uses the phrase, We have made this addition. 4.19B to 2.2D. We wish to point out, important resource, and indicates that importance may reflect economic, 4.16 Adaptive Management however, that 2.2D is primarily aimed at the late introduction of issues and social, or cultural values. We have One reviewer commented that they alternatives and that 4.19A and B are changed the subpart to use the term, support the concept of a working group discussing any late comments regardless important resources. on adaptive management to be set up of their content. 516 DM 7 under the CEQ NEPA Task Force report and suggests that DOI wait for the 4.25 Proposals for Legislation 7.4 Types of Reviews outcome before incorporating adaptive A reviewer expressed support for One reviewer has recommended that management activities into bureau 4.25B. the National Historic Preservation Act activities. We appreciate the support. be added to 7.4K. We have indicated above in a general We have made this change. comment on the NEPA Task Force 4.26 Time Periods Procedural Requirements: The report that we have the flexibility to A reviewer has recommended the following list of procedural react to any changes that arise from the retention of the 60 day review period for requirements has been assembled and working group’s recommendations. draft EISs. addressed to contribute to this open Some of the Department’s bureaus This subpart was changed to mesh review process. Today’s publication is a already have experience in the use of properly with the EPA filing process. notice of final, internal Departmental adaptive management in their programs Forty five (45) days is the minimum action and not a rulemaking. However, dating back a number of years. The public comment period for draft EISs we have addressed the various Department is comfortable with this prescribed by the CEQ Regulations and procedural requirements that are addition to the procedures and believes is counted from the publication of EPA’s generally applicable to proposed and that the subpart provides the basics of notice of availability. This often means final rulemaking to show how they adaptive management so that any future that an EIS has been printed and sent to would affect this notice if it were a adjustments can be made through our the public as much as five to seven days rulemaking. environmental guidance memoranda prior to the EPA notice appearing in the Regulatory Planning and Review series. Federal Register. So receipt by the Under Executive Order 12866 (58 FR Another reviewer noted that adaptive public is usually coincident with the 51735, October 4, 1993) it has been management could be used to make EPA publication. On complex or determined that this action is the multiple decisions without doing controversial projects, our bureaus have implementation of policy and additional environmental analysis and provided longer comment periods (e.g., procedures applicable only to the offered a number of references 60 to 90 days), and they retain this Department of the Interior and not a describing adaptive management and flexibility. Therefore, no change has significant regulatory action. These how it should be used. been made. policies and procedures would not We appreciate the information and 516 DM 5 impose a compliance burden on the will continue to consider it as we apply general economy. adaptive management. The Department 5.5 Implementing the Decision is well aware of the possibility that It was recommended that the word Administrative Procedures Act adaptive management could be used to natural be deleted from the subpart. This document is not subject to prior confuse environmental issues and lead We disagree and have not made the notice and opportunity to comment to possible multiple decisions change. The definition of human because it is a general statement of (piecemealing). However, our environment in 40 CFR 1508.14 clearly policy and procedure [(5 U.S.C. experience shows that DOI has properly says that human environment is to 553(b)(A)]. However, notice and used adaptive management to achieve include the natural and physical opportunity to comment is required by better mitigation in the absence of a full environment. the CEQ Regulations [40 CFR 1507.3(a)]. knowledge of impacts at the time the analysis is performed. 5.8 Emergencies Regulatory Flexibility Act A final comment endorsed the change A suggestion was made that the This document is not subject to notice in management approach when phrase: serious resource losses be struck and comment under the Administrative anticipated mitigation outcomes are not from the discussion in this subpart. Procedures Act, and, therefore, is not being met. The topic of emergencies was subject to the analytical requirements of We agree. reviewed in the Department in 1997, the Regulatory Flexibility Act (5 U.S.C.

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601 et seq.). This document provides the significant effects or implications on part is not a rulemaking; and, therefore, Department with policy and procedures Federalism. not subject to Executive Order 13211. under NEPA and does not compel any Paperwork Reduction Act Actions To Expedite Energy-Related other party to conduct any action. This document does not require Projects Small Business Regulatory Enforcement information collection as defined under Executive Order 13212 of May 18, Fairness Act the Paperwork Reduction Act. 2001, requires agencies to expedite These policies and procedures do not Therefore, this document does not energy-related projects by streamlining comprise a major rule under 5 U.S.C. constitute a new information collection internal processes while maintaining 804(2), the Small Business Regulatory system requiring Office of Management safety, public health, and environmental Enforcement Fairness Act. The and Budget (OMB) approval under the protections. Today’s publication is in document will not have an annual effect Paperwork Reduction Act (44 U.S.C. conformance with this requirement as it on the economy of $100 million or more 3501 et seq.). promotes existing process streamlining requirements and revises the text to and is expected to have no significant National Environmental Policy Act economic impacts. Further, it will not emphasize this concept (see chapter 4, cause a major increase in costs or prices The Council on Environmental subpart 4.17). Quality does not direct agencies to for consumers, individual industries, Government Actions and Interference Federal, State, or local government prepare a NEPA analysis or document before establishing agency procedures With Constitutionally Protected agencies, or geographic regions and will Property Rights impose no additional regulatory that supplement the CEQ regulations for restraints in addition to those already in implementing NEPA. Agency NEPA In accordance with Executive Order operation. Finally, the document does procedures are internal procedural 12630 (March 15, 1988) and part 318 of not have significant adverse effects on guidance to assist agencies in the the Departmental Manual, the competition, employment, investment, fulfillment of agency responsibilities Department has reviewed today’s notice productivity, innovation, or the ability under NEPA, but are not the agency’s to determine whether it would interfere of United States based enterprises to final determination of what level of with constitutionally protected property compete with foreign based enterprises. NEPA analysis is required for a rights. Again, we believe that as internal particular proposed action. instructions to bureaus on the Unfunded Mandates Reform Act Essential Fish Habitat implementation of the National Environmental Policy Act, this In accordance with the Unfunded We have analyzed this document in Mandates Reform Act (2 U.S.C. 1501, et publication would not cause such accordance with section 305(b) of the interference. seq.), this document will not Magnuson-Stevens Fishery (Authority: NEPA, the National significantly or uniquely affect small Conservation and Management Act and governments. A Small Government Environmental Quality Improvement Act of determined that issuance of this 1970, as amended (42 U.S.C. 4371 et seq.); Agency Plan is not required. The document will not affect the essential document does not require any E.O. 11514, March 5, 1970, as amended by fish habitat of Federally managed E.O. 11991, May 24, 1977; and CEQ additional management responsibilities. species; and, therefore, an essential fish Regulations 40 CFR 1507.3) Further, this document will not produce habitat consultation on this document is P. Lynn Scarlett, a Federal mandate of $100 million or not required. greater in any year, that is, it is not a Assistant Secretary—Policy, Management significant regulatory action under the Consultation and Coordination With and Budget. Indian Tribal Governments Unfunded Mandates Reform Act. These Department of the Interior— policies and procedures are not In accordance with Executive Order Departmental Manual expected to have significant economic 13175 of November 6, 2000, and 512 impacts nor will they impose any DM 2, we have assessed this document’s Effective Date: Series: Environmental Quality. unfunded mandates on other Federal, impact on tribal trust resources and Part 516: National Environmental State, or local government agencies to have determined that it does not Policy Act of 1969. carry out specific activities. directly affect tribal resources since it Chapter 1: Protection and describes the Department’s procedures Federalism Enhancement of Environmental Quality. for its compliance with NEPA. In accordance with Executive Order Originating Office: Office of 13132, this document does not have Actions Concerning Regulations That Environmental Policy and Compliance. Significantly Affect Energy Supply, significant Federalism effects; and, 516 DM 1 therefore, a Federalism assessment is Distribution, or Use not required. The policies and Executive Order 13211 of May 18, 1.1 Purpose procedures will not have substantial 2001, requires a Statement of Energy This Chapter establishes the direct effects on the States, on the Effects for significant energy actions. Department’s policies for complying relationship between the Federal Significant energy actions are actions with title I of the National government and the States, or on the normally published in the Federal Environmental Policy Act of 1969, as distribution of power and Register that lead to the promulgation of amended (42 U.S.C. 4321–4347) responsibilities among the various a final rule or regulation and may have (NEPA); section 2 of Executive Order levels of government. No intrusion on any adverse effects on energy supply, 11514, Protection and Enhancement of State policy or administration is distribution, or use. We have explained Environmental Quality, as amended by expected, roles or responsibilities of above that this document is an internal Executive Order 11991; Executive Order Federal or State governments will not Departmental Manual part which only 12114, Environmental Effects Abroad of change, and fiscal capacity will not be affects how the Department conducts its Major Federal Actions; and the substantially, directly affected. business under the National regulations of the Council on Therefore, the document does not have Environmental Policy Act. This manual Environmental Quality (CEQ)

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implementing the procedural provisions H. Where necessary, to monitor, which prohibit or limit full compliance of NEPA (40 CFR 1500–1508; identified evaluate, and control activities to with the intent, purpose, and provisions in this Part 516 as the CEQ Regulations). protect and enhance the quality of the of NEPA and, in consultation with the environment and to base decision Solicitor and the Office of Congressional 1.2 Policy making on monitoring data and and Legislative Affairs, shall take or It is the policy of the Department: evaluation results; and recommend, as appropriate, corrective A. To provide leadership in protecting I. To cooperate with and assist the actions as may be necessary to bring and enhancing those aspects of the CEQ. these authorities and policies into quality of the Nation’s environment conformance with the intent, purpose, 1.3 General Responsibilities which relate to or may be affected by the and procedures of NEPA. Department’s policies, goals, programs, The following responsibilities reflect (4) Shall monitor, evaluate, and plans, or functions in furtherance of the Secretary’s decision that the officials control on a continuing basis their national environmental policy; responsible for making program activities as needed to protect and B. To the fullest practicable extent, to decisions are also responsible for taking enhance the quality of the environment. encourage public involvement in the the requirements of NEPA into account Such activities will include both those development of Departmental plans and in those decisions and will be held directed to controlling pollution and programs through State, local, and accountable for that responsibility: enhancing the environment and those Tribal partnerships and cooperative designed to accomplish other program agreements at the beginning of the A. Assistant Secretary—Policy, Management and Budget (AS/PMB) objectives which may affect the quality NEPA process, and to provide timely of the environment. They will develop information to the public to better assist (1) Is the Department’s focal point on programs and measures to protect and in understanding such plans and NEPA matters and is responsible for enhance environmental quality. They programs affecting environmental overseeing the Department’s will assess progress in meeting the quality in accordance with the CEQ implementation of NEPA. specific objectives of such activities as Regulations; (2) Serves as the Department’s they affect the quality of the C. To interpret and administer, to the principal contact with the CEQ. environment. fullest extent possible, the policies, (3) Assigns to the Director, Office of (5) Shall, in furtherance of public regulations, and public laws of the Environmental Policy and Compliance participation practices (see 1.2B, above), United States administered by the (OEPC), the responsibilities outlined for use consensus-based management 1 and Department in accordance with the that Office in this Part. community-based NEPA training 2 to the requirements of sections 101 and 102 of B. Solicitor extent possible in all NEPA compliance NEPA; activities. Will ensure that the D. To consider and give important Is responsible for providing legal Department’s collaborative efforts under weight to environmental factors, along advice in the Department’s compliance this part comply with the Federal with other societal needs, in developing with NEPA. Advisory Committee Act (FACA), 5 proposals and making decisions in order C. Assistant Secretaries U.S.C., appendix.3 to achieve a proper balance between the (6) Shall use tiered and transferred (1) Are responsible for compliance development and utilization of natural, analyses to help avoid needless with NEPA, Executive Order 11514, as cultural, and human resources and the repetition. They will require decision amended, Executive Order 12114, the protection and enhancement of makers to produce NEPA documents CEQ Regulations, and this Part for environmental quality (see section 101 that save resources and reduce the bureaus and offices under their of NEPA and 1508.14); public’s perception that NEPA E. To consult, coordinate, and jurisdiction. documents merely accomplish cooperate with other Federal agencies (2) Shall ensure that, to the fullest compliance with a process and do not and, particularly, State, local, Alaska extent possible, the policies, add to the general knowledge of Native Corporations, and Indian tribal regulations, and public laws of the environmental impacts to natural governments in the development and United States administered under their resources. implementation of the Department’s jurisdiction are interpreted and (7) Shall use adaptive management plans and programs affecting administered in accordance with the (see 516 DM 4.16) to fully comply with environmental quality and, in turn, to requirements of NEPA. 40 CFR 1505.2 which requires a give consideration to those activities D. Heads of Bureaus and Offices monitoring and enforcement program to that succeed in best addressing State and local concerns; (1) Must comply with the provisions 1 Consensus-based management in the NEPA F. To be innovative in natural of NEPA, Executive Order 11514, as context is the inclusion of interested parties with resource protection and to use all amended, Executive Order 12114, the an assurance for the participants that the results of practicable means, consistent with other CEQ Regulations, and this Part. their work will be given consideration by the essential considerations of national (2) Shall interpret and administer, to decision maker in selecting a course of action. It is policy, to improve, coordinate, and the fullest extent possible, the policies, a logical outgrowth of public participation. 2 Community-based training in the NEPA context direct its policies, plans, functions, regulations, and public laws of the is the training of local participants with Federal programs, and resources in furtherance United States administered under their participants in the intricacies of the environmental of national environmental goals; jurisdiction in accordance with the planning and decision making effort as it relates to G. To rigorously integrate systematic, requirements of NEPA. the local community(ies). It should de-mystify the process and inform participants how to become interdisciplinary approaches into the (3) Shall continue to review their effectively involved. design of all activities and to base statutory authorities, administrative 3 To ensure FACA compliance, each bureau and decision making on adequate regulations, policies, programs, and office will verify whether FACA applies, and will environmental data in order to identify procedures, including those related to ensure that the FACA requirements are followed anytime the Department utilizes (i.e. manages and reasonable alternatives to proposed loans, grants, contracts, leases, licenses, controls) or establishes a group to be consulted or actions that will avoid or minimize or permits, in order to identify any to provide recommendations to a Departmental adverse environmental impacts; deficiencies or inconsistencies therein official.

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be adopted, where applicable, for any alternatives, and particularly those C. In Externally Initiated Proposals mitigation activity. alternatives and measures that would reduce, mitigate or prevent adverse Officials responsible for the E. Heads of Regional, Field, or Area development or conduct of loan, grant, Offices environmental impacts or that would enhance environmental quality. contract, lease, license, permit, or other (1) Must comply with the provisions However, such an environmental externally initiated activities shall of NEPA, Executive Order 11514, as analysis is not, in and of itself, a require applicants, to the extent amended, Executive Order 12114, the program proposal or the decision necessary and practicable, to provide CEQ Regulations, and this Part. document, is not a justification of a environmental information, analyses, (2) Shall use information obtained in proposal, and will not support or and reports as an integral part of their the NEPA process, including pertinent deprecate the overall merits of a applications. As with internally information provided by State and local proposal or its various alternatives. initiated proposals, officials shall agencies, Indian tribal governments, and encourage applicants and other interest groups, to identify reasonable (4) Environmental analyses shall interested parties to consult with the alternatives to proposed actions that strive to provide baseline data where Department and provide their will avoid or minimize adverse impacts possible and shall provide monitoring comments, recommendations, and to the human environment while and evaluation tools as necessary to suggestions for improvement. improving overall environmental ensure that an activity is implemented results. as contemplated by the NEPA analysis. 1.5 Consultation, Coordination, and (3) Shall monitor, evaluate, and Baseline data gathered for these Cooperation with Other Agencies and control their activities on a continuing analyses may include pertinent social, Organizations economic, and environmental data. basis to further protect and enhance the A. Departmental Plans and Programs quality of the environment. (5) If proposed actions are planned for 1.4 Consideration of Environmental the same geographic area or are (1) Officials responsible for planning Values otherwise closely related, or implementing Departmental plans environmental analysis should be and programs will develop and utilize A. In Departmental Management integrated to ensure adequate procedures to consult, coordinate, and (1) In the management of the natural, consideration of resource use cooperate with relevant State, local, and cultural, and human resources under its interactions, to reduce resource Indian tribal governments; other jurisdiction, the Department must conflicts, to establish baseline data, to bureaus and Federal agencies; and consider and balance a wide range of monitor and evaluate changes in such public and private organizations and economic, environmental, and societal data, to adapt actions or groups of individuals concerning the needs at the local, regional, national, actions accordingly, and to comply with environmental effects of these plans and and international levels, not all of NEPA and the CEQ Regulations. programs on their jurisdictions or which are quantifiable in comparable Proposals shall not be segmented in interests. Such efforts should, to the terms. In considering and balancing order to reduce the levels of extent allowed by law and in these objectives, Departmental plans, environmental impacts reported in accordance with FACA, include proposals, and decisions often require NEPA documents. consensus-based management whenever recognition of complements and (6) When proposed actions involve possible. This is a planning process that resolution of conflicts among approval processes of other agencies, incorporates direct community interrelated uses of these natural, the Department shall use its lead role to involvement into bureau activities from cultural, and human resources within identify opportunities to consolidate initial scoping through implementation technological, budgetary, and legal those processes. of the bureau or office decision and, in constraints. Various Departmental appropriate cases, monitoring and conflict resolution mechanisms are B. In Internally Initiated Proposals future adaptive management measures. available to assist this balancing effort. All bureau NEPA and planning (2) Departmental project reports, Officials responsible for development procedures will be made available to the program proposals, issue papers, and or conduct of planning and decision public. other decision documents must making systems within the Department (2) Bureaus and offices will use, to the carefully analyze the various objectives, shall incorporate environmental maximum extent possible, existing resources, and constraints, and planning as an integral part of these notification, coordination, and review comprehensively and objectively systems in order to ensure that mechanisms established by the Office of evaluate the advantages and environmental values and impacts are Management and Budget and CEQ. disadvantages of the proposed actions fully considered, facilitate any However, use of these mechanisms must and their reasonable alternatives. Where necessary documentation of those appropriate, these documents will considerations, and identify reasonable not be a substitute for early contain or reference supporting and alternatives in the design and consultation, coordination, and underlying economic, environmental, implementation of activities that cooperation with others, especially technological, and other societal minimize adverse environmental State, local, and Indian tribal analyses in language that all impacts. An interdisciplinary approach governments. participants can understand and use. shall be initiated at the earliest possible (3) Bureaus and offices are (3) The underlying environmental time to provide for consultation among encouraged to expand, develop, and use analyses will factually, objectively, and all participants for each planning or new forms of notification, coordination, comprehensively analyze the decision making endeavor. This and review, particularly by electronic environmental effects of proposed interdisciplinary approach should, to means and the Internet. Bureaus are also actions and their reasonable the extent possible, have the capacity to encouraged to stay abreast of and use alternatives. They will systematically consider innovative and creative new technologies in environmental data analyze the environmental impacts of solutions from all participants. gathering and problem solving.

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B. Other Departmental Activities 1.6 Public Involvement chapters 2–7 of this part. Citations in (1) Technical assistance, advice, data, A. Bureaus and Offices, in accordance brackets refer to the CEQ Regulations. and information useful in restoring, with 301 DM 2 and this part, will D. Instructions specific to each bureau maintaining, and enhancing the quality develop and implement procedures to are found in chapters 8 through 15. This of the environment will be made ensure the fullest practicable provision portion of the manual may expand or available to other Federal agencies; of timely public information and contract depending on the number of State, local, and Indian tribal understanding of their plans and bureaus existing at any particular time. governments; institutions; and other programs with environmental impacts In addition, bureaus may prepare entities as appropriate. including information on the handbooks or other technical guidance (2) Information regarding existing or environmental impacts of alternative for their personnel on how to apply this potential environmental problems and courses of action. This is to include part to principal programs. In the case control methods developed as a part of public involvement in the development of any apparent discrepancies between research, development, demonstration, of NEPA analyses and documents. these procedures and bureau handbooks test, or evaluation activities will be B. These procedures will include, or technical guidance, 516 DM 2–7 shall made available to other Federal wherever appropriate, provision for govern. agencies; State, local, and Indian tribal public meetings in order to obtain the Department of the Interior— governments; institutions; and other views of interested parties, newsletters, Departmental Manual entities as appropriate. and status reports of NEPA compliance Effective Date: (3) Recognizing the worldwide and activities. Public information shall Series: Environmental Quality. long-range character of environmental include all necessary policies and Part 516: National Environmental problems and consistent with the procedures concerning plans and Policy Act of 1969. foreign policy of the United States, programs in a readily accessible, Chapter 2: Initiating the NEPA appropriate support will be made consistent format. available (in consultation with clearly C. Bureaus and offices will also Process. defined interested parties including coordinate and collaborate with State Originating Office: Office of Tribal governments, if applicable) to and local agencies and Indian tribal Environmental Policy and Compliance. initiatives, resolutions, and programs governments in developing and using 516 DM 2 designed to maximize international similar procedures for informing the cooperation in anticipating and public concerning their activities 2.1 Purpose preventing a decline in the quality of affecting the quality of the environment. This Chapter provides supplementary the world environment. instructions for implementing those 1.7 Mandate C. Plans and Programs of Other portions of the CEQ Regulations Agencies and Organizations A. This Part provides Department- pertaining to initiating the NEPA wide instructions for complying with (1) Officials responsible for process. The numbers in parentheses NEPA, Executive Orders 11514, as protecting, conserving, developing, or signify the appropriate citation in the managing resources under the amended by 11991 (Protection and CEQ Regulations. Enhancement of Environmental Quality) Department’s jurisdiction shall 2.2 Apply NEPA Early (40 CFR 1501.2) coordinate and cooperate with State, and 12114 (Environmental Effects local, and Indian tribal governments; Abroad of Major Federal Actions), and A. Bureaus shall initiate early other bureaus and Federal agencies; and the CEQ Regulations. The provisions of consultation and coordination with public and private organizations and part 516 are intended to establish other bureaus and any Federal agency individuals, and provide them with guidelines to be followed by the having jurisdiction by law or special timely information concerning the Department and its Bureaus, Services expertise with respect to any environmental effects of these entities’ and Offices. Part 516 is not intended to, environmental issue that should be plans and programs. nor does it, create any right, benefit, or addressed, and with appropriate (2) Bureaus and offices are trust responsibility, substantive or Federal, State, local and Indian tribal encouraged to participate early in the procedural, enforceable at law or equity governments authorized to develop and planning processes of other agencies by any person or party against the enforce environmental standards or to and organizations in order to ensure full United States, its agencies, its officers, manage and protect natural resources. cooperation with, and understanding of, or any other person. The provisions of B. Bureaus shall also initiate the the Department’s programs and interests part 516 are not intended to direct or consultation process with interested in natural, cultural, and human bind any person outside the parties and organizations at the time an resources. Department. application is received, or when the (3) Bureaus and offices will use, to the B. The Department hereby adopts the bureau initiates action on an agency fullest extent possible, existing CEQ Regulations implementing the plan or project requiring NEPA analyses Departmental review mechanisms to procedural provisions of NEPA [sec. and documentation. avoid unnecessary duplication of effort 102(2)(C)] except where compliance C. Bureaus shall revise or amend and to avoid confusion by other would be inconsistent with other program regulations, requirements, and organizations. statutory requirements. In the case of directives to ensure that private or non- (4) Bureaus and offices will work any discrepancies among these Federal applicants are informed of any closely with other Federal agencies to procedures and the NEPA statute; environmental information required to ensure that similar or related proposed Executive Orders 11514, 11991, and be included in their applications and of actions in the same geographic area are 12114; or the mandatory provisions of any consultation with other Federal fully evaluated to determine if agency the CEQ Regulations, the laws, agencies, or State, local, or Indian tribal analyses can be integrated so that one executive orders, and regulations shall governments required prior to making NEPA compliance document can be govern. the application. A discussion and a list used by all for their individual C. Instructions supplementing the of these regulations, requirements, and permitting and licensing needs. CEQ Regulations are provided in directives are found in 516 DM 6.4 and

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6.5. The specific regulations, administrative civil or criminal identified at that time. The draft scoping requirements, and directives for each enforcement actions. document may also be made available bureau are found in separate chapters of (3) The CEQ Regulations at 40 CFR upon request to a contact usually named this part beginning with chapter 8. 1508.4 require agency procedures to in the notice. D. It is imperative that bureaus enlist provide for extraordinary circumstances in which a normally excluded action E. Environmental Impact Statement (40 the participation of all interested parties CFR 1508.11) as early as possible and provide any may have a significant environmental necessary community-based training in effect thus requiring additional analysis See 516 DM 4. Decisions/actions order to reduce costs, prevent delays, and action. The extraordinary which would normally require the and to promote efficiency in the NEPA circumstances to be considered when preparation of an EIS will be identified process. It is the intent of these using categorical exclusions are listed in in each bureau chapter beginning with procedures to achieve early consensus appendix 2 of this chapter. Any action Chapter 8. F. Existing environmental analyses on the scope of NEPA compliance and that is normally categorically excluded should be used in analyzing impacts of the methodologies for collecting needed must be subjected to sufficient a proposed action to the extent possible baseline data. Consensus-based environmental review to determine and appropriate. CEQ Regulations management [as described in 516 DM whether it meets any of the encourage agencies to make the best use 1.5(A)(1)] should be used, as extraordinary circumstances, in which of existing NEPA documents and to appropriate, to facilitate this process case, further analysis and environmental avoid redundancy and unneeded including the consideration of any documents must be prepared for the paperwork through supplementing, publicly developed alternatives. action. Bureaus are reminded and incorporating by reference, or adopting However, the use of consensus-based encouraged to work within existing previous environmental analyses. Use of management may be restricted or ended administrative frameworks, including existing documents carries with it a based on applicable statutory, any existing programmatic agreements, presumption that the bureaus will regulatory, or policy requirements. when deciding how to apply any of the determine, in a deliberative manner and Further, it is the intent of these appendix 2 extraordinary through agency procedures, that existing procedures to facilitate environmental circumstances. environmental analyses still adequately analyses that avoid the late introduction B. Environmental Assessment (EA) (40 cover current actions. of issues and alternatives that should CFR 1508.9) 2.4 Lead Agencies (40 CFR 1501.5) have been identified initially during See 516 DM 3. Decisions/actions scoping. which would normally require the A. The AS/PMB shall designate lead E. Bureaus shall engage in a rigorous preparation of an EA will be identified bureaus within the Department when interdisciplinary approach at the in each bureau chapter beginning with bureaus under more than one Assistant earliest possible time to ensure adequate chapter 8. Secretary are involved and cannot reach identification and consideration of the agreement on lead bureau status. The wide variety of environmental factors C. Finding of No Significant Impact AS/PMB shall represent the Department and considerations inherent in NEPA (FONSI) (40 CFR 1508.13) in consultations with CEQ or other compliance activities. A FONSI will be prepared as a Federal agencies in the resolution of F. NEPA applies to Department and separate covering document based upon lead agency determinations. bureau decision making and focuses on a review of an EA. Accordingly, the B. Bureaus will inform the OEPC of major Federal actions significantly words include(d) in § 1508.13 will be any agreements to assume lead agency affecting the quality of the human interpreted as attach(ed) in reference to status. OEPC will assist in the environment. the EA. coordination and documentation of any AS/PMB designations made in 2.4A. 2.3 Whether To Prepare an D. Notice of Intent (NOI) (40 CFR C. To eliminate duplication with State Environmental Impact Statement (EIS) 1508.22.) and local procedures, a non-Federal (40 CFR 1501.4) An NOI will be prepared as soon as agency (including Indian tribal A. Categorical Exclusions (CX) (40 CFR practicable after a decision to prepare an governments) may be designated as a 1508.4) EIS and shall be published in the joint lead agency when it has a duty to Federal Register, with a copy to the comply with State or local requirements (1) Categorical exclusions are defined OEPC and made available to the affected that are comparable to the NEPA as a group of actions that would have no public in accordance with § 1506.6. requirements. significant individual or cumulative Publication of an NOI may be delayed D. 40 CFR 1501.5 describes the effect on the quality of the human if there is proposed to be more than selection of lead agencies, the environment and, for which in the three (3) months between the decision settlement of lead agency disputes, and absence of extraordinary circumstances, to prepare an EIS and the time the use of joint lead agencies. While the neither an environmental assessment preparation is actually initiated. The joint lead relationship is not precluded nor an environmental impact statement notice, at a minimum, identifies key among several Federal agencies, the is required. personnel, sets forth a schedule, and Department recommends that it be (2) Based on (1) above, the categories invites early comment. Scoping requests applied sparingly and that one Federal of actions listed in Appendix 1 to this generally announce a schedule for agency be selected as the lead with the Chapter are categorically excluded, scoping meetings where the agencies remaining Federal, State, Indian tribal Department-wide, from the preparation and the public can participate in the governments, and local agencies of environmental assessments or formal scoping process. These notices assuming the role of cooperating agency. environmental impact statements. A list are also usually published in the In this manner, the other Federal, State, of CX specific to bureau programs will Federal Register and may contain the and local agencies can work to ensure be found in the bureau chapters text of a draft scoping document that that the ensuing NEPA document will beginning with chapter 8. Note that outlines the actions, alternatives, and meet their needs for adoption and 1508.18(a) excludes bringing judicial or environmental issues and impacts application to their related decision. If

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joint lead is dictated by other law, C. Scoping should encourage the outside the scope of NEPA in accordance regulation, policy, or practice, then one responsible official to integrate analyses with 40 CFR 1508.18(a). Federal agency shall be identified as the required by other environmental laws. 1.5 Nondestructive data collection, agency responsible for filing the EIS. Scoping should also be used to integrate inventory (including field, aerial, and satellite surveying and mapping), study, E. Lead agency designations may be other planning activities for separate research, and monitoring activities. required by law in certain projects that may have similar or 1.6 Routine and continuing government circumstances. cumulative impacts. Integrated analysis business, including such things as facilitates the resolution of resource supervision, administration, operations, 2.5 Cooperating Agencies (40 CFR conflicts and minimizes redundancy. maintenance, renovations, and replacement 1501.6) D. Through scoping meetings, activities having limited context and A. The OEPC will assist Bureaus in newsletters, or other communication intensity (e.g., limited size and magnitude or short-term effects). determining cooperating agencies and methods, it should be made clear that coordinate requests from non-Interior 1.7 Management, formulation, allocation, the lead agency is ultimately transfer, and reprogramming of the agencies. responsible for the scope of an EIS and Department’s budget at all levels. (This does B. Bureaus will inform the OEPC of that suggestions obtained during not exclude the preparation of environmental any agreements to assume cooperating scoping (see B and C above) are documents for proposals included in the agency status or any declinations considered to be advisory. budget when otherwise required.) pursuant to Section 1501.6(c). 1.8 Legislative proposals of an C. Upon the request of the lead 2.7 Time Limits (40 CFR 1501.8) administrative or technical nature (including agency, any Federal agency with A. Time limits are an important such things as changes in authorizations for appropriations and minor boundary changes jurisdiction by law shall, and any consideration and, when used Federal agency with special expertise and land title transactions) or having diligently, can contribute greatly to a primarily economic, social, individual, or may, be a cooperating agency. Any non- more efficient NEPA process. Bureaus institutional effects; and comments and Federal agency (State, tribal, or local) are encouraged to set time limits of their reports on referrals of legislative proposals. may be a cooperating agency by own and to respond favorably to 1.9 Policies, directives, regulations, and agreement when it has jurisdiction by applicant requests for time limits and guidelines that are of an administrative, law (40 CFR 1508.15) or special set them consistent with the financial, legal, technical, or procedural expertise (40 CFR 1508.26) and meets requirements of 40 CFR 1501.8. Bureaus nature and whose environmental effects are the requirements of 40 CFR 1501.6. should work with cooperating agencies too broad, speculative, or conjectural to lend themselves to meaningful analysis and will Bureaus will consult with the Solicitor’s and agencies with which they must Office in cases where such non-Federal later be subject to the NEPA process, either consult in setting time limits and collectively or case-by-case. agencies are also applicants before the encourage their commitment in meeting 1.10 Activities which are educational, Department to determine relative lead/ the time frames established. informational, advisory, or consultative to cooperating agency responsibilities.4 B. When time limits are established, other agencies, public and private entities, D. Bureaus and potential cooperating they should reflect the availability of visitors, individuals, or the general public. agencies are advised to express in a personnel and funds. Efficiency of the 1.11 Hazardous fuels reduction activities letter and, if necessary, a memorandum NEPA process is dependent on the using prescribed fire not to exceed 4,500 of understanding their respective roles, management capabilities of the lead acres, and mechanical methods for crushing, piling, thinning, pruning, cutting, chipping, assignment of issues, schedules, and bureau, which is encouraged to staff commitments so that the NEPA mulching, and mowing, not to exceed 1,000 assemble a sufficiently well qualified acres. Such activities: Shall be limited to process remains on track and within the staff commensurate with the type of areas (1) in wildland-urban interface and (2) time schedule. project to be analyzed to ensure timely Condition Classes 2 or 3 in Fire Regime 2.6 Scoping (40 CFR 1501.7) completion of NEPA documents. Groups I, II, or III, outside the wildland- urban interface; Shall be identified through a A. The invitation requirement in CHAPTER 2; APPENDIX 1 collaborative framework as described in ‘‘A section 1501.7(a)(1) may be satisfied by Collaborative Approach for Reducing Departmental Categorical Exclusions including such an invitation in the NOI. Wildland Fire Risks to Communities and the B. Scoping is a process which The following actions are CXs pursuant to Environment 10-Year Comprehensive continues throughout the planning and 516 DM 2.3A(2). However, environmental Strategy Implementation Plan;’’ Shall be documents will be prepared for individual early stages of preparation of an EIS. conducted consistent with agency and actions within these CX if any of the Departmental procedures and applicable land Bureaus are encouraged through scoping extraordinary circumstances listed in 516 DM and resource management plans; Shall not be to engage State, local, and Tribal 2, Appendix 2, apply. conducted in wilderness areas or impair the governments and the public in the early 1.1 Personnel actions and investigations suitability of wilderness study areas for identification of concerns, potential and personnel services contracts. preservation as wilderness; Shall not include impacts, and possible alternative 1.2 Internal organizational changes and the use of herbicides or pesticides or the actions. Scoping requires facility and office reductions and closings. construction of new permanent roads or interdisciplinary considerations. 1.3 Routine financial transactions other new permanent infrastructure; and may Scoping is an opportunity to bring including such things as salaries and include the sale of vegetative material if the expenses, procurement contracts (in agencies and applicants together to lay primary purpose of the activity is hazardous accordance with applicable procedures and fuels reduction.5 the groundwork for setting time limits, Executive Orders for sustainable or green 1.12 Post-fire rehabilitation activities not expediting reviews where possible, procurement), guarantees, financial to exceed 4,200 acres (such as tree planting, integrating other environmental assistance, income transfers, audits, fees, fence replacement, habitat restoration, reviews, and identifying any major bonds, and royalties. heritage site restoration, repair of roads and obstacles that could delay the process. 1.4 Departmental legal activities trails, and repair of damage to minor facilities including, but not limited to, such things as such as campgrounds) to repair or improve 4 CEQ guidance to agencies dated July 28, 1999, arrests, investigations, patents, claims, and and January 30, 2002, urges agencies to more legal opinions. This does not include 5 Refer to the Environmental Statement actively solicit participation of Federal, State, tribal, bringing judicial or administrative civil or Memoranda Series for additional, required and local governments as cooperating agencies. criminal enforcement actions which are guidance.

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lands unlikely to recover to a management Department of the Interior— impact conclusions. It will not conclude approved condition from wildland fire Departmental Manual whether an EIS will be prepared. This damage, or to repair or replace minor conclusion will be made upon review of facilities damaged by fire. Such activities: Effective Date: Shall be conducted consistent with agency Series: Environmental Quality. the EA by the responsible bureau and Departmental procedures and applicable Part 516: National Environmental official and documented in either a NOI land and resource management plans; Shall Policy Act of 1969. or a FONSI. not include the use of herbicides or Chapter 3: Environmental E. Previous NEPA analyses should be pesticides or the construction of new Assessments. used in a tiered analysis or transferred permanent roads or other new permanent Originating Office: Office of and used in a subsequent analysis to infrastructure; and Shall be completed within Environmental Policy and Compliance. enhance the content of an EA whenever 6 three years following a wildland fire. possible. 516 DM 3 CHAPTER 2; APPENDIX 2 3.5 Format 3.1 Purpose Categorical Exclusions: Extraordinary Circumstances This Chapter provides supplementary A. An EA may be prepared in any instructions for implementing those format useful to facilitate planning, Extraordinary circumstances exist for decision making, and appropriate public individual actions within CXs which may: portions of the CEQ Regulations 2.1 Have significant impacts on public pertaining to EAs. participation. health or safety. B. An EA may be combined with any 2.2 Have significant impacts on such 3.2 When To Prepare (40 CFR 1501.3) other planning or decision making natural resources and unique geographic A. An EA will be prepared for all document; however, that portion which characteristics as historic or cultural actions, except those covered by a analyzes the environmental impacts of resources; park, recreation or refuge lands; categorical exclusion, those covered the proposal and alternatives will be wilderness areas; wild or scenic rivers; sufficiently by an earlier environmental clearly and separately identified and not national natural landmarks; sole or principal spread throughout or interwoven into drinking water aquifers; prime farmlands; document, or those actions for which a wetlands (Executive Order 11990); decision has already been made to other sections of the document. floodplains (Executive Order 11988); national prepare an EIS. The purpose of an EA 3.6 Adoption monuments; migratory birds; and other is to allow the responsible official to ecologically significant or critical areas. determine whether to prepare an EIS or A. An EA prepared for a proposal 2.3 Have highly controversial a FONSI. before the Department by another environmental effects or involve unresolved B. In addition, an EA may be prepared agency, entity, or person, including an conflicts concerning alternative uses of on any action at any time in order to applicant, may be adopted if, upon available resources [NEPA section 102(2)(E)]. assist in planning and decision making, independent evaluation by the 2.4 Have highly uncertain and potentially responsible official, it is found to significant environmental effects or involve to aid an agency’s compliance with unique or unknown environmental risks. NEPA when no EIS is necessary, or to comply with this Chapter and relevant 2.5 Establish a precedent for future action facilitate EIS preparation. provisions of the CEQ Regulations. or represent a decision in principle about B. When appropriate and efficient, a future actions with potentially significant 3.3 Public Involvement responsible official may augment such environmental effects. A. The public must be provided an EA when it is essentially, but not 2.6 Have a direct relationship to other notice of the availability of EAs (40 CFR entirely, in compliance, in order to actions with individually insignificant but 1506.6). make it so. cumulatively significant environmental B. Where appropriate, bureaus and C. If such an EA is adopted or effects. offices, when conducting the EA 2.7 Have significant impacts on augmented, responsible officials must properties listed, or eligible for listing, on the process, shall provide the opportunity prepare their own NOI or FONSI that National Register of Historic Places as for public participation and shall acknowledges the origin of the EA and determined by either the bureau or office. consider the public comments on the takes full responsibility for its scope and 2.8 Have significant impacts on species pending plan or program. content. listed, or proposed to be listed, on the List C. The scoping process may be D. Adoption or augmentation of an EA of Endangered or Threatened Species, or applied to an EA (40 CFR 1501.7). shall receive the same public have significant impacts on designated participation that the EA would have Critical Habitat for these species. 3.4 Content received if it had originated with the 2.9 Violate a Federal law, or a State, local, A. At a minimum, an EA will include or tribal law or requirement imposed for the adopting or augmenting bureau or brief discussions of the proposal, the office. protection of the environment. need for the proposal, alternatives [as 2.10 Have a disproportionately high and adverse effect on low income or minority required by section 102(2)(E) of NEPA], Department of the Interior— populations (Executive Order 12898). the environmental impacts of the Departmental Manual 2.11 Limit access to and ceremonial use proposed action and such alternatives, Effective Date: of Indian sacred sites on Federal lands by and a listing of agencies and persons Series: Environmental Quality. Indian religious practitioners or significantly consulted [1508.9(b)]. Part 516: National Environmental adversely affect the physical integrity of such B. In addition, an EA may describe a Policy Act of 1969. sacred sites (Executive Order 13007). broader range of alternatives and 2.12 Contribute to the introduction, Chapter 4: Environmental Impact proposed mitigation measures to Statements. continued existence, or spread of noxious facilitate planning and decision making. weeds or non-native invasive species known Originating Office: Office of C. The level of detail and depth of to occur in the area or actions that may Environmental Policy and Compliance. promote the introduction, growth, or impact analysis should normally be expansion of the range of such species limited to the minimum needed to 516 DM 4 determine whether there would be (Federal Noxious Weed Control Act and 4.1 Purpose Executive Order 13112). significant environmental effects. D. An EA will contain objective This chapter provides supplementary 6 Ibid. analyses that support its environmental instructions for implementing those

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portions of the CEQ regulations proposed action relevant to significantly affect the quality of the pertaining to EIS. environmental concerns or there are human environment. significant new circumstances or 4.2 Statutory Requirements (40 CFR 4.9 Purpose and Need (40 CFR information relevant to environmental 1502.3) 1502.13) concerns and bearing on the proposed NEPA requires that an EIS be action or its impacts. This section shall present the purpose prepared by the responsible Federal B. A bureau and/or the appropriate of and need for the agency action. The official. This official is normally the program Assistant Secretary will consult purpose and need shall be described in lowest-level official who has overall with the OEPC and the Office of the sufficient detail to aid in the responsibility for formulating, Solicitor prior to proposing to CEQ to development of an appropriate range of reviewing, or proposing an action or, prepare a supplemental statement using alternatives. Care should be taken to alternatively, has been delegated the alternative arrangements such as issuing ensure an objective presentation and not authority or responsibility to develop, a final supplement without preparing an a justification. approve, or adopt a proposal or action. intervening draft. Preparation at this level will ensure that 4.10 Alternatives Including the C. If, after a decision has been made Proposed Action (40 CFR 1502.14) the NEPA process will be incorporated based on a final EIS, a described into the planning process and that the proposal is further defined or modified A. The following terms are commonly EIS will accompany the proposal and if its changed effects are not used in NEPA compliance activities and through existing review processes. significant and still within the scope of are described below for clarification. 4.3 Timing (40 CFR 1502.5) the earlier EIS, an EA, and a FONSI may (1) Range of Alternatives—This term be prepared for subsequent decisions means all reasonable alternatives that A. For such actions as broad rather than a supplement. will be rigorously explored and programmatic decisions, rulemakings, objectively evaluated as well as other or resource management plans, an EIS 4.6 Format (40 CFR 1502.10) alternatives that are eliminated from should be commenced whenever a A. Proposed departures from the detailed study after providing reasons proposed action has been defined. standard format described in the CEQ for their elimination. These types of actions can be inherently regulations and this Chapter must be (2) Reasonable Alternatives—This vague and difficult to analyze until the approved by the OEPC. term means alternatives that are proposed action is defined. At that B. The section listing the preparers of technically and economically practical point, concurrent drafting of the the EIS will also include other sources or feasible and that meet the purpose proposal and its accompanying EIS of information, including a bibliography and need of the proposed action. should be commenced. (3) Proposed Action—This term B. The feasibility analysis (go/no-go) or list of cited references, when means the agency activity to be stage, at which time an EIS is to be appropriate. undertaken. It also means a non-Federal prepared for proposed projects C. The section listing the distribution entity’s planned activity which falls undertaken by DOI, is to be interpreted of the EIS will also fully describe the under a Federal agency’s authority to as the stage prior to the first point of consultation and public involvement issue permits, licenses, grants, rights-of- major commitment to the proposal. For processes used in planning the proposal way, or other common Federal example, this would normally be at the and in preparing the EIS, if this approvals, funding, or regulatory authorization stage for proposals information is not discussed elsewhere instruments. The proposed action is requiring Congressional authorization; in the document. The section will also generally the earliest known description the location or corridor stage for describe the level to which the public of the action to be taken. The proposed transportation, transmission, and contributed usable data for the action is not necessarily, but may communication projects; and the leasing document. become, during the NEPA process, a stage for offshore mineral resources D. If CEQ’s standard format is not preferred alternative or an proposals [40 CFR 1502.5(a)]. used or if the EIS is combined with C. For situations involving another planning or decision making environmentally preferred alternative. applications to DOI or the bureaus, an document, the section which analyzes The proposed action must be fully and EIS need not be commenced until an and compares the environmental clearly described in order to proceed application is essentially complete; i.e., consequences of the proposal and its with NEPA analysis. any required environmental information alternatives will be clearly and (4) Preferred Alternative—This term is submitted and any required advance separately identified and not means the alternative which the agency funding is paid by the applicant [40 CFR interwoven into other portions of or believes would fulfill its statutory 1502.5(b)]. Officials shall also inform spread throughout the document. mission and responsibilities, while giving consideration to economic, applicants of any responsibility they 4.7 Cover Sheet (40 CFR 1502.11) will bear for funding environmental environmental, technical, and other analyses associated with their The cover sheet will also indicate factors. It may or may not be the same proposals. whether the EIS is intended to serve any as the agency’s or the non-Federal other environmental review or entity’s proposed action. 4.4 Page Limits (40 CFR 1502.7) consultation requirements pursuant to (5) Environmentally Preferred Bureaus will ensure that the length of section 1502.25. The cover sheet will Alternative—This term means the EISs is no greater than necessary to also identify cooperating agencies, the alternative that will best promote the comply with NEPA, the CEQ location of the action, and whether the national environmental policy as regulations, and this Chapter. analysis is programmatic in nature. expressed in NEPA’s Section 101 and can be characterized as causing the least 4.8 Summary (40 CFR 1502.12) 4.5 Supplemental Statements (40 CFR damage to the biological and physical 1502.9) The emphasis in the summary should environment and best protect, preserve, A. Supplements are required if an be on those considerations, and enhance the nation’s historic, agency makes substantial changes in the controversies, and issues that cultural, and natural resources.

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(6) No Action Alternative—This term 4.11 Appendix (40 CFR 1502.18) determine if management actions are has two interpretations. First ‘‘no If an EIS is intended to serve other meeting outcomes, and, if not, action’’ means ‘‘no change’’ from a environmental review or consultation facilitating management changes that current management direction or level requirements pursuant to section will best ensure that outcomes are met of management intensity. Second ‘‘no 1502.25, any more detailed information or to re-evaluate the outcomes. Adaptive action’’ means ‘‘no project’’ in cases needed to comply with these management recognizes that knowledge where a new project is proposed for requirements may be included as an about natural resource systems is construction. Regardless of the appendix. sometimes uncertain and is the interpretation, the ‘‘no action’’ preferred method of management in alternative is required to be analyzed in 4.12 Tiering (40 CFR 1502.20) these cases. Bureaus are encouraged to an EIS. A. Tiering is a tool to prevent build adaptive management practice B. As a general rule, the following repetitive discussions and to focus on into their proposed actions and NEPA guidance will apply: issues currently before the decision compliance activities and train (1) For internally initiated proposals, maker. In this process, earlier personnel in this important i.e., for those cases where the documents from which later documents environmental concept. Department conducts or controls the are tiered, must be reliable and kept 4.17 Environmental Review and planning process, both the draft and current. Tiered documents must make a Consultation Requirements (40 CFR final EIS shall identify the bureau’s finding that conditions described in 1502.25) proposed action. earlier documents are still in effect or must revise any analyses that are out of A. A list of related environmental (2) For externally initiated proposals, review and consultation requirements is i.e., for those cases where the date. B. In some cases, transferring or available from the OEPC (ESM94–14). Department is reacting to an application B. If the EIS is intended to serve as the or similar request, combining information from previous NEPA documents can be done to reduce vehicle to fully or partially comply with (a) the draft and final EIS shall repetitive discussions and duplication any of these requirements, the identify the applicant’s proposed action, of effort (see 4.20, below). associated analyses, studies, or surveys and C. Bureaus must maintain access to will be identified as such and discussed (b) the draft EIS should also identify such things as: sources of similar in the text of the EIS and the cover sheet the bureau’s preferred alternative, if one information, examples of tiered and will so indicate. Any supporting or more exists, and the final EIS should transferred analyses, a set of procedural analyses or reports will be referenced or identify the bureau’s preferred steps to make the most of tiered and included as an appendix and shall be alternative unless another law prohibits transferred analyses, knowledge of sent to reviewing agencies as the expression of a preference. when to use previous material, and how appropriate in accordance with (3) Proposed departures from this to used tiered and transferred analyses applicable regulations or procedures. guidance must be approved by the without sacrificing references to original C. The draft EIS should list all Federal OEPC and the Office of the Solicitor. sources. permits, licenses, or approvals that must be obtained to implement the proposal. C. Certain mitigation measures can be 4.13 Incorporation by Reference (40 To the fullest extent possible, the clearly integral to the proposed action CFR 1502.21) environmental analyses for these related and its alternatives and should be permits, licenses, and approvals shall be incorporated into and analyzed as a part Citations of specific topics will integrated and performed concurrently. of the proposal and appropriate include the pertinent page numbers. All Although all approvals do not need to alternatives. When this is done, these literature references will be listed in the be in place to complete the NEPA measures are no longer considered bibliography. analysis, they do need to be in place independently with other mitigation. 4.14 Incomplete or Unavailable before implementing the proposed Where appropriate, major mitigation Information (40 CFR 1502.22) action. Bureaus shall ensure that they measures may be identified and The references to overall costs in this have a process in place to make analyzed as separate alternatives where section are not limited to market costs, integrated analyses a standard part of the environmental consequences are but include other costs to society such their NEPA compliance efforts. distinct and significant enough to as social costs due to delay. warrant separate evaluation. 4.18 Inviting Comments (40 CFR D. In practicing consensus-based 4.15 Methodology and Scientific 1503.1) management during the development of Accuracy (40 CFR 1502.24) A. Comments from State agencies will an EIS, bureaus should give full Conclusions about environmental be requested through procedures consideration to any reasonable effects will be preceded by an analysis established by the Governor pursuant to alternative(s) put forth by participating that supports that conclusion unless Executive Order 12372, and may be interested parties. While there can be no explicit reference by footnote is made to requested from local agencies through guarantee that a community’s proposed other supporting documentation that is these procedures to the extent that they alternative will be taken as the agency readily available to the public. Bureaus include the affected local jurisdictions. proposed action, bureaus must be able will also follow Departmental B. When the proposed action may to show that a community’s work is procedures for information quality as affect the environment of Indian trust or reflected in the evaluation of the required under Section 515 of the restricted land or other Indian trust proposed action and the final decision. Treasury and General Government resources, trust assets, or tribal health To be considered, the community’s Appropriations Act for Fiscal Year 2001. and safety, comments will be requested alternative must be fully consistent with from the Indian tribal government NEPA, the CEQ Regulations, this 4.16 Adaptive Management unless the Indian tribal government has Departmental Manual part, all Adaptive management is a system of designated an alternate review process. applicable Departmental and bureau management practices based on clearly C. The comments of other written policies and guidance. identified outcomes, monitoring to Departmental bureaus and offices must

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also be requested. In order to do this, its organizational responsibilities (112 1.4 Office of Insular Affairs the preparing bureau must furnish DM 4) and through supplemental A. Economic and Political Development of copies of the environmental document directives (381 DM 4.5B). Current the Territories and the Trust Territory of the to the other bureaus in quantities guidance is located in the Pacific Islands (15.875). sufficient to allow simultaneous review. Environmental Memoranda Series Department of the Interior— Bureaus may be removed from this periodically updated by OEPC and Departmental Manual circulation following consultation with, available on the OEPC Web site at http:/ and concurrence of, a bureau. /www.doi.gov/oepc. Effective Date: Series: Environmental Quality. 4.19 Response to Comments (40 CFR 4.25 Proposals for Legislation (40 CFR Part 516: National Environmental 1503.4) 1506.8) Policy Act of 1969. A. Preparation of a final EIS need not The Office of Congressional and Chapter 5: Relationship to Decision be delayed in those cases where a Legislative Affairs, in consultation with Making. Federal agency, external to DOI and the OEPC, shall: Originating Office: Office of from which comments are required to be A. Identify in the annual submittal to Environmental Policy and Compliance. obtained [40 CFR 1503.1(a)(1)], does not OMB of the Department’s proposed 516 DM 5 comment within the prescribed time legislative program any requirements period. for, and the status of, any environmental 5.1 Purpose B. Informal attempts will be made to documents. determine the status of any late This Chapter provides supplementary B. When required, ensure that a instructions for implementing those comments and a reasonable attempt legislative EIS is included as a part of should be made to include the portions of the CEQ Regulations the formal transmittal of a legislative pertaining to decision making. comments and a response in the final proposal to the Congress. EIS. As noted in 516 DM 2.2D, the late 5.2 Predecision Referrals to CEQ (40 introduction of new issues and 4.26 Time Periods (40 CFR 1506.10) CFR 1504.3) alternatives is to be avoided and they A. The minimum review period for a will be considered only to the extent A. Upon receipt of advice that another draft EIS will be forty-five (45) days Federal agency intends to refer a practicable. from the date of publication by the C. For those EISs requiring the Departmental matter to CEQ, the lead Environmental Protection Agency (EPA) bureau will immediately meet with that approval of the AS/PMB pursuant to of the notice of availability. 516 DM 6.3, bureaus will consult with Federal agency to attempt to resolve the B. For those ElSs requiring the issues raised and expeditiously notify the OEPC when they propose to prepare approval of the AS/PMB pursuant to an abbreviated final EIS [40 CFR its Assistant Secretary, the Solicitor, and 516 DM 6.3, the OEPC will be the OEPC. 1503.4(c)]. responsible for consulting with the EPA B. Upon any referral of a and/or CEQ about any proposed 4.20 Elimination of Duplication With Departmental matter to CEQ by another reductions in time periods or any State and Local Procedures (40 CFR Federal agency, the OEPC will be extensions of time periods proposed by 1506.2) responsible for coordinating the the bureaus. Bureaus will incorporate in their Department’s role with CEQ. The lead appropriate program regulations 4.27 Emergencies (40 CFR 1506.11) bureau will be responsible for provisions for the preparation of an EIS See subpart 5.8. developing and presenting the by a State agency to the extent Department’s position at CEQ including authorized in Section 102(2)(D) of CHAPTER 4, APPENDIX 1 preparation of briefing papers and NEPA. Eligible programs are listed in Programs of Grants to States and/or Tribes visual aids. Appendix 1 to this Chapter. in Which Agencies Having Statewide 5.3 Decision Making Procedures (40 4.21 Combining Documents (40 CFR Jurisdiction May Prepare EISs CFR 1505.1) 1506.4) 1.1 Fish and Wildlife Service A. Procedures for decisions by the See 516 DM 4.6D. A. Anadromous Fish Conservation Secretary/Deputy Secretary are specified 7 (11.405) . in 301 DM 1. Assistant Secretaries 4.22 Departmental Responsibility (40 B. Fish Restoration (15.605). CFR 1506.5) C. Wildlife Restoration (15.611). should follow a similar process when an environmental document accompanies a A. Bureaus are responsible for D. Endangered Species Conservation proposal for their decision. preparation of their environmental (15.615). B. Bureaus will incorporate in their documents and independent evaluation 1.2 National Park Service decision making procedures and NEPA of environmental documents prepared A. Historic Preservation Grants-in-Aid handbooks provisions for consideration by others for a bureau. (15.904). B. A contractor may be used to of environmental factors and relevant B. Outdoor Recreation-Acquisition environmental documents. The major prepare any environmental document in Development and Planning (15.916). accordance with the standards of 40 decision points for principal programs 1.3 Office of Surface Mining CFR 1506.5(c). likely to have significant environmental A. Regulation of Surface Coal Mining and effects will be identified in the bureau 4.23 Public Involvement (40 CFR Surface Effects of Underground Coal Mining chapters on ‘‘Managing the NEPA 1506.6) (15.250). Process’’ beginning with Chapter 8 of See 516 DM 1.2, 1.3, 1.6, and 301 DM B. Abandoned Mine Land Reclamation this Part. Program (15.252). 2. C. Relevant environmental documents, including supplements, will 4.24 Further Guidance (40 CFR 1506.7) 7 Citations in parentheses refer to the Catalog of Federal Domestic Assistance. Citations are current be included as part of the record in The OEPC may provide further as of 2003. The catalog may be viewed at http:// formal rulemaking or adjudicatory guidance concerning NEPA pursuant to cfda.gov/. proceedings.

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D. Relevant environmental the bureau will jointly be responsible Secretary may further assign the documents, comments, and responses for consulting with CEQ. Paragraph authority to approve the EIS if he or she will accompany proposals through 1506.11 applies only to the emergency chooses. The AS/PMB will make certain existing review processes so that and not to any related recovery actions that each program Assistant Secretary Departmental officials use them in after the emergency has passed. If the has adequate safeguards to ensure that making decisions. agency action does not have significant the EISs comply with NEPA, the CEQ E. The decision maker will consider environmental impacts, a bureau will Regulations, and the Departmental the environmental impacts of the consult with OPEC to consider any Manual. alternatives described in any relevant appropriate action. B. The AS/PMB is authorized to approve an EIS in those cases where the environmental document and the range Department of the Interior— decision for which the EIS has been of these alternatives must encompass Departmental Manual the alternatives considered by the prepared will occur at a level in the decision maker. Effective Date: Department above an individual F. To the extent practicable, the Series: Environmental Quality. program Assistant Secretary. decision maker will consider other Part 516: National Environmental 6.4 List of Specific Compliance substantive and legal obligations beyond Policy Act of 1969. Responsibilities the immediate context of the proposed Chapter 6: Managing the NEPA action. Process. A. Bureaus and offices shall: Originating Office: Office of (1) Prepare NEPA handbooks 5.4 Record of Decision (40 CFR 1505.2) Environmental Policy and Compliance. providing guidance on how to A. Any decision documents prepared 516 DM 6 implement NEPA in principal program pursuant to 301 DM 1 for proposals areas. involving an EIS shall incorporate all 6.1 Purpose (2) Prepare program regulations or appropriate provisions of section This Chapter provides supplementary directives for applicants. 1505.2(b) and (c). instructions for implementing those (3) Propose and apply categorical B. If a decision document provisions of the CEQ Regulations exclusions. incorporating these provisions is made pertaining to procedures for (4) Prepare and approve EAs. available to the public following a implementing and managing the NEPA (5) Decide whether to prepare an EIS. decision, it will serve the purpose of a process. (6) Prepare and publish NOIs and record of decision. FONSIs. 6.2 Organization for Environmental (7) Prepare and, when assigned, 5.5 Implementing the Decision (40 CFR Quality approve EISs. 1505.3) A. Office of Environmental Policy and B. Assistant Secretaries shall: (1) Approve bureau and offices The terms ‘‘monitoring’’ and Compliance. The Director, OEPC, handbooks. ‘‘conditions’’ will be interpreted as reporting to the AS/PMB, is responsible (2) Approve regulations or directives being related to factors affecting the for providing advice and assistance to the Department on matters pertaining to for applicants. quality of the natural and human (3) Approve proposed categorical environmental quality and for environment. exclusions. overseeing and coordinating the (4) Approve EISs pursuant to 516 DM 5.6 Limitations on Actions (40 CFR Department’s compliance with NEPA. 1506.1) 6.3. (See also 112 DM 4.) C. The AS/PMB shall: A bureau will immediately notify its B. Bureaus and Offices. Heads of (1) Concur with regulations or Assistant Secretary, the Solicitor, and bureaus and offices will designate directives for applicants. the OEPC of any situations described in organizational elements or individuals, (2) Concur with proposed categorical section 1506.1(b). as appropriate, at headquarters and exclusions. regional levels to be responsible for 5.7 Timing of Actions (40 CFR (3) Approve EISs pursuant to 516 DM overseeing matters pertaining to the 6.3. 1506.10) environmental effects of the bureau’s For those EISs requiring the approval plans and programs. The individuals 6.5 Bureau Requirements of the AS/PMB pursuant to 516 DM 6.3, assigned these responsibilities should A. Requirements specific to bureaus the responsible official will consult with have management experience or appear as separate chapters beginning the OEPC before making any request for potential, understand the bureau’s with chapter 8 of this part and include reducing the time period before a planning and decision making the following: decision or action. processes, and be well trained in (1) Identification of officials and 5.8 Emergencies (40 CFR 1506.11) environmental matters, including the organizational elements responsible for Department’s policies and procedures so NEPA compliance. In the event of an emergency that their advice has significance in the (2) List of program regulations or situation, a bureau will immediately bureau’s planning and decisions. These directives which provide information to take any necessary action to prevent or organizational elements will be applicants. reduce risks to public health or safety or identified in chapters 8–15, which (3) Identification of major decision important resources. If the agency action contain all bureau NEPA requirements. points in principal programs for which has significant environmental impacts, a an EIS is normally prepared. bureau will immediately consult with 6.3 Approval of EISs (4) List of projects or groups of its Assistant Secretary, the Solicitor, A. A program Assistant Secretary is projects for which an EA is normally OEPC, and (together with OEPC) CEQ authorized to approve an EIS in those prepared. about compliance with NEPA. Upon cases where the responsibility for the (5) List of categorical exclusions. learning of the emergency situation, the decision for which the EIS has been B. Bureau requirements are found in OEPC will immediately notify CEQ. prepared rests with the Assistant the following chapters for the current During follow-up activities OEPC and Secretary or below. The Assistant bureaus:

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(1) Fish and Wildlife Service (chapter prepared, circulated, and reviewed ensure resolution of the Department’s 8; formerly appendix 1). under a wide variety of statutes and concerns; and (2) Geological Survey (chapter 9; regulations. These procedures ensure (6) Shall consult with the Office of formerly appendix 2). that the Department responds to these Congressional and Legislative Affairs (3) Bureau of Indian Affairs (chapter review requests with coordinated and the Solicitor when environmental 10; formerly appendix 4). comments and recommendations under reviews pertain to legislative or legal (4) Bureau of Land Management Interior’s various authorities. matters, respectively. (chapter 11; formerly appendix 5). C. The Office of Congressional and 7.2 Policy (5) National Park Service (chapter 12; Legislative Affairs: Shall ensure that formerly appendix 7). The Department considers it a priority requests for reviews of environmental (6) Office of Surface Mining (chapter to provide competent and timely review review documents prepared by other 13; formerly appendix 8). comments on EISs and other Federal agencies that accompany or (7) Bureau of Reclamation (chapter 14; environmental or project review pertain to legislative proposals are formerly appendix 9). documents prepared by other Federal immediately referred to the AS/PMB. (8) Minerals Management Service agencies for their major actions which D. Regional Environmental Officers: (chapter 15; formerly appendix 10). significantly affect the quality of the When designated by the Director, OEPC, C. The Office of the Secretary and human environment. All such shall review, sign, and transmit the other Departmental Offices do not have documents are hereinafter referred to as Department’s review comments to the separate chapters but must comply with ‘‘environmental review documents.’’ requesting agency. this Part and will consult with the OEPC The term ‘‘environmental review E. Assistant Secretaries and Heads of about compliance activities. document’’ as used in this chapter is Bureaus and Offices: separate from and broader than the term (1) Shall designate officials and 6.6 Information About the NEPA ‘‘environmental document’’ found in 40 organizational elements responsible for Process CFR 1508.10 of the CEQ Regulations. the coordination and conduct of The OEPC will periodically publish a These reviews are predicated on the environmental reviews and report this Departmental list of bureau contacts Department’s jurisdiction by law or information to the Director, OEPC; (2) Shall provide the Director, OEPC, where information about the NEPA special expertise with respect to the with appropriate information and process and the status of EISs may be environmental impact involved and material concerning their delegated obtained. This list will be available on shall provide constructive comments to jurisdiction and special expertise in OEPC’s Web site at http://www.doi.gov/ other Federal agencies to assist them in order to assist in assigning review oepc. meeting their environmental responsibilities. responsibilities; Department of the Interior— (3) Shall conduct reviews based upon Departmental Manual 7.3 Responsibilities their areas of jurisdiction or special expertise and provide comments to the Effective Date: A. The AS/PMB: Shall be the designated lead bureau or office Series: Environmental Quality. Department’s contact point for the assigned responsibilities for preparing Part 516: National Environmental receipt of requests for reviews of environmental review documents Departmental comments; Policy Act of 1969. (4) When designated lead bureau by Chapter 7: Review of Environmental prepared by or for other Federal agencies. This authority shall be carried the Director, OEPC, shall prepare and Impact Statements and Project Proposals forward the Department’s review Prepared by Other Federal Agencies. out through the Director, OEPC. B. The Director, Office of comments as instructed; Originating Office: Office of (5) Shall ensure that review schedules Environmental Policy and Compliance. Environmental Policy and Compliance: (1) Shall determine whether such for discharging assigned responsibilities 516 DM 7 review requests are to be answered by are met and promptly inform other concerned offices if established target 7.1 Purpose a Secretarial Officer, the Director, OEPC, or by a Regional Environmental Officer, dates cannot be met and when they will A. These procedures implement the and determine which bureaus and/or be met; policy and directives of the National offices shall perform such reviews; (6) Shall provide a single, unified Environmental Policy Act of 1969 (Pub. (2) Shall prepare, or where bureau response to the lead bureau, as L. 91–190, 83 Stat. 852, January 1, 1970, appropriate, shall designate a lead directed; NEPA); Section 2(f) of Executive Order bureau responsible for preparing the (7) Shall ensure that the policies of No. 11514 (March 5, 1970); the CEQ Department’s review comments. The 516 DM 7.2 regarding competency and Regulations (43 FR 55990, November 28, lead bureau may be a bureau, Secretarial timeliness are carried out; and (8) Shall provide the necessary 1978; CEQ); Bulletin No. 72–6 of the office, other Departmental office, or task authority to those designated in E.1 Office of Management and Budget force and shall be that organizational above to carry out all the requirements (September 14, 1971); and provide entity with the most significant of 516 DM 7. guidance to bureaus and offices of the jurisdiction or environmental expertise Department in the review of EISs in regard to the requested review; 7.4 Types of Reviews prepared by and for other Federal (3) Shall establish review schedules A. Descriptions of Proposed Actions agencies. and target dates for responding to B. In accordance with 112 DM 4.2F, review requests and monitor their (1) Federal agencies and applicants these procedures further govern the compliance; for Federal assistance may circulate Department’s environmental review of (4) Shall review, sign, and transmit descriptions of proposed actions for the non-Interior proposals such as the Department’s review comments to purpose of soliciting information regulations, applications, plans, reports, the requesting agency; concerning environmental impacts in and other environmental documents (5) Shall consult with the requesting order to determine whether to prepare which affect the interests of the agency on the Department’s review EISs. Such descriptions of proposed Department. Such proposals are comments on an ‘‘as needed’’ basis to actions are not substitutes for EISs.

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(2) Requests for reviews of D. Notices of Intent and Scoping G. Final Environmental Impact descriptions of proposed actions are not Requests Statements required to be processed through the (1) Final EISs are prepared by Federal OEPC. Review comments may be (1) Notices of intent and scoping requests mark the beginning of the agencies following receipt and handled independently by bureaus and consideration of review comments. offices, with the Regional formal review process. Notices of intent are published in the Federal Register They are filed with the EPA and are Environmental Officer or Director, circulated to the public for an OEPC, being advised of significant or and announce that an agency plans to prepare an environmental review administrative waiting period of thirty highly controversial issues. Review days and sometimes for comment. comments are for the purpose of document under NEPA. Often the NOI and notice of scoping meetings and/or (2) The Director, OEPC, shall review providing informal technical assistance final EISs to determine whether they to the requesting agency and should requests are combined into one Federal Register notice. reflect adequate consideration of the state that they do not represent the Department’s comments. Bureaus and views and comments of the Department. (2) Reviews of notices of intent and scoping requests are processed through offices shall not comment B. Environmental Assessments the OEPC with instructions to bureaus independently on final EISs, but shall to comment directly to the requesting inform the Director, OEPC, of their (1) EAs are not substitutes for EISs. views. Any review comments shall be These assessments or reports may be agency. Review comments are for the purpose of providing informal technical handled in accordance with the prepared by Federal agencies, their instructions of the OEPC. consultants, or applicants for Federal assistance to the requesting agency and assistance. They are prepared either to should state that they do not represent H. License and Permit Applications provide information in order to make a the views and comments of the Department. (1) The Department receives draft and finding that there are no significant final environmental review documents impacts or that an EIS should be E. Preliminary, Proposed, or Working associated with applications for other prepared. If they are separately Draft Environmental Impact Statements Federal licenses and permits. This circulated, it is generally for the purpose activity largely involves the regulatory (1) Preliminary, proposed, or working of soliciting additional information program of the Corps of Engineers and draft EISs are sometimes prepared and concerning environmental impacts. the hydroelectric and natural gas circulated by Federal agencies and (2) Requests for reviews of EAs are not pipeline licensing programs of the applicants for Federal assistance for required to be processed through the Federal Energy Regulatory Commission. consultative purposes. OEPC. Review comments may be (2) Environmental review of handled independently by bureaus and (2) Requests for reviews of these types applications is generally handled in the offices, with the Regional of draft EISs are not required to be same manner as for draft and final EISs. Environmental Officer or Director, processed through the OEPC. Review Additional review guidance may be OEPC, being advised of significant or comments may be handled made available as necessary to highly controversial issues. If a bureau independently by bureaus and offices efficiently manage this activity. Bureau requests and OEPC agrees, a control with the Regional Environmental Officer reviewers should review information on number may be assigned with or Director, OEPC, being advised of the OEPC Web site and consult with the appropriate instructions. Review significant or highly controversial OEPC for the most current review comments are for the purpose of issues. Review comments are for the guidance. providing informal technical assistance purpose of providing informal technical (3) While review of NEPA compliance to the requesting agency and should assistance to the requesting agency and documents associated with Corps of state that they do not represent the should state that they do not represent Engineers permit applications is views and comments of the Department. the views and comments of the managed in accordance with this Department. C. Findings of No Significant Impact Chapter, review of Corps of Engineers F. Draft Environmental Impact permit applications is managed in (1) Findings of No Significant Impact Statements accordance with 503 DM 1. Reviewers are prepared by Federal agencies to are referred to that Manual Part and to document that there is no need to (1) Draft EISs are prepared by Federal 7.5C.(3) below for the processing of prepare an EIS. A FONSI is a statement agencies under the provisions of Section concurrent reviews. for the record by the proponent Federal 102(2)(C) of NEPA and provisions of the agency that it has reviewed the CEQ Regulations. They are filed with I. Project Plans and Reports Without environmental impact of its proposed the EPA and officially circulated to Associated Environmental Review action (in an EA), that it determines that other Federal, State, and local agencies Documents the action will not significantly affect [see 40 CFR 1503.1(a)] for review based (1) The Department receives draft and the quality of the human environment, upon their jurisdiction by law or special final project plans and reports under and that an EIS is not required. Public expertise with respect to the agency various authorities which do not have notice of the availability of such mission, related program experience, or environmental review documents findings shall be announced; however, environmental impact of the proposed circulated with them. This may be FONSIs are not normally circulated. action or alternatives to the action [see because NEPA compliance has been (2) Findings of No Significant Impact 7.5A(1)]. completed, will be completed on a are not required to be processed through (2) All requests from other Federal slightly different schedule, NEPA does the OEPC. Review comments may be agencies for review of draft EISs shall be not apply, or other reasons. handled independently by bureaus and made through the Director, OEPC. (2) Environmental review of these offices, with the Regional Review comments shall be handled in documents is handled in the same Environmental Officer or Director, accordance with the provisions of this manner as for draft and final EISs. OEPC, being advised of significant or chapter and guidance memoranda may Additional review guidance may be highly controversial issues. be issued and updated by the OEPC. made available as necessary to

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efficiently manage this activity. Bureau minimize harm to the park, recreation Federal agency’s review request, reviewers should review information on area, wildlife and waterfowl refuge, or including the date, the type of review the OEPC Web site and consult with the historic site resulting from the use. requested, the subject of the review; OEPC for the most current review (2) Environmental review of Section and, where appropriate, the geographic guidance. 4(f) documents is handled in the same location of the subject and the other manner as for draft and final EISs. agency’s control number. J. Federal Regulations Additional review guidance may be (c) General Comments, if any. This (1) The Department circulates and made available as necessary to section will include those comments of controls the review of advance notices efficiently manage this activity. Bureau a general nature and those which occur of proposed rulemaking, proposed reviewers should review information on throughout the review which ought to rulemaking, and final rulemaking which the OEPC Web site and consult with the be consolidated in order to avoid are environmental in nature, may OEPC for the most current review needless repetition. impact the quality of the human guidance. (d) Detailed Comments. The format of environment, and may impact the this section shall follow the Department’s natural resources and 7.5 Content of Comments on organization of the other agency’s programs. Environmental Review Documents environmental review document. These (2) Environmental review of these A. Departmental Comments comments shall not comment on the documents is handled in the same proposed actions of other Federal manner as for draft and final EISs. (1) Departmental comments on agencies, but shall constructively and Additional review guidance may be environmental review documents objectively comment on the statement’s made available as necessary to prepared by other Federal agencies shall adequacy in describing the efficiently manage this activity. Bureau be based upon the Department’s environmental impacts of the action, the reviewers should review information on jurisdiction by law or special expertise alternatives, and the impacts of the the OEPC Web site and consult with the with respect to the agency mission, alternatives. Comments shall specify OEPC for the most current review related program experience, or any corrections, additions, or other guidance. environmental impact of the proposed changes required to make the statement action or alternatives to the action. The adequate. K. Documents Prepared Pursuant to adequacy of the document in regard to (e) Summary Comments, if any. In Other Environmental Statutes applicable statutes is the responsibility general, the Department will not take a (1) The Department receives draft and of the agency that prepared the position on the proposed action of final project plans prepared pursuant to document and any comments on its another Federal agency, but will limit other environmental statutes [e.g., adequacy shall be limited to the its comments to those above. However, National Historic Preservation Act Department’s jurisdiction or in those cases where the Department has (NHPA), Comprehensive Environmental environmental expertise. jurisdiction by statute, executive order, Response, Compensation, and Liability (2) Reviews shall be conducted in memorandum of agreement, or other Act (CERCLA); Resource Conservation sufficient detail to ensure that both authority, the Department may comment and Recovery Act (RCRA), and the Oil potentially beneficial and adverse on the proposed action. These Pollution Act (OPA)], which may not environmental effects of the proposed comments shall be provided in this have environmental review documents action and alternatives, including section and may take the form of circulated with them. cumulative and secondary effects, are support for, concurrence with, concern (2) Environmental review of these adequately identified. Wherever over, or objection to the proposed action documents is handled consistently with possible, and within the Department’s and/or the alternatives. the policies and provisions of this part, competence and resources, other and in accordance with further guidance agencies will be advised on ways to B. Bureau and Office Comments from the Director, OEPC. Additional avoid or minimize adverse impacts of Bureau and office reviews of EISs review guidance may be made available the proposed action and alternatives, prepared by other Federal agencies are as necessary to efficiently manage this and on alternatives to the proposed considered informal inputs to the activity. Bureau reviewers should action that may have been overlooked or Department’s comments and their review information on the OEPC Web inadequately treated. content will generally conform to site and consult with the OEPC for the (3) Review comments should not paragraph 7.5A of this chapter with the most current review guidance. capsulate or restate the environmental substitution of the bureau’s or office’s review document, but should provide delegated jurisdiction or special L. Section 4(f) Documents clear, concise, substantive, fully environmental expertise for that of the (1) Under Section 4(f) of the justified, and complete comments on Department. Department of Transportation Act, the the stated or unstated environmental Secretary of Transportation may impacts of the proposed action and, if C. Relationship to Other Concurrent approve a transportation program or appropriate, on alternatives to the Reviews project requiring the use of publicly action. Comments, either positive or (1) Where the Department, because of owned land of a public park, recreation negative, shall be objective and other authority or agreement, is area, or wildlife and waterfowl refuge of constructive. concurrently requested to review a national, State or local significance, or (4) Departmental review comments proposal as well as its EIS, the land of an historic site of national, State, shall be organized as follows: Department’s comments on the proposal or local significance (as determined by (a) Control Number. The shall be separately identified and placed the Federal, State, or local officials Departmental review control number in front of the comments on the EIS. A having jurisdiction over the park, area, shall be typed in the upper left hand summary of the Department’s position, refuge, or site) only if there is no corner below the Departmental seal on if any, on the proposal and its prudent and feasible alternative to using the letterhead page of the comments. environmental impact shall be that land and the program or project (b) Introduction. The introductory separately identified and follow the includes all possible planning to paragraph shall reference the other review comments on the EIS.

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(2) Where another Federal agency this procedure shall be made by the other Federal agency review requests. elects to combine other related reviews OEPC and the Office of the Solicitor. Whenever possible the Director, OEPC, into the review of the EIS by including B. The availability of various internal shall seek a forty-five (45) day review additional or more specific information Departmental memoranda, such as the period. Further extensions shall be into the statement, the introduction to review comments of bureaus, offices, handled in accordance with paragraph the Department’s review comments will task forces, and individuals, which are 7.7B (3) of this chapter. acknowledge the additional review used as inputs to the Department’s (4) The Department’s review request and the review comments will review comments is governed by the comments on other Federal agencies’ be incorporated into appropriate parts of Freedom of Information Act (5 U.S.C. environmental review documents shall the combined statement review. A 552) and the Departmental procedures reflect the full and balanced interests of summary of the Department’s position, established by 43 CFR 2. Upon receipt the Department in the protection and if any, on the environmental impacts of of such requests and in addition to enhancement of the environment. Lead the proposal and any alternatives shall following the procedures above in A., bureaus shall be responsible for be separately identified and follow the the responsible bureau or office shall resolving any intra-Departmental detailed review comments on the notify and consult their bureau Freedom differences in bureau or office review combined statement. of Information Act Officer and the OEPC comments submitted to them. The OEPC (3) In some cases, the concurrent to coordinate any responses. is available for guidance and assistance review is not an integral part of the in this regard. In cases where agreement 7.7 Procedures for Processing cannot be reached, the matter shall be environmental compliance review but is Environmental Reviews being processed within the same general referred through channels to the AS/ time period as the environmental A. General Procedures PMB with attempts to resolve the disagreement at each intervening review. If there is also an environmental (1) All requests for reviews of review being processed by the OEPC, management level. The OEPC will assist environmental review documents in facilitating this process. there is potential for two sets of prepared by or for other Federal conflicting comments to reach the agencies shall be received and B. Processing Environmental Reviews requesting agency. Bureaus must controlled by the Director, OEPC. (1) The OEPC shall secure and recognize that this possibility exists and (2) If a bureau or office, whether at distribute sufficient copies of must check with the Regional headquarters or field level, receives an environmental review documents for Environmental Officer to determine the environmental review document for Departmental review. Bureaus and status of any environmental review review directly from outside of the offices should keep the OEPC informed prior to forwarding the concurrent Department, it should ascertain whether as to their needs for review copies, review comments to the requesting the document is a preliminary, which shall be kept to a minimum, and agency. Any conflicts must be resolved proposed, or working draft circulated shall develop internal procedures to before the separate comments may be for technical assistance or input in order efficiently and expeditiously distribute filed. One review may be held up to prepare a draft document or whether environmental review documents to pending completion of the concurrent the document is in fact a draft reviewing offices. review and consideration of filing a environmental review document being (2) Reviewing bureaus and offices single comment letter. A time extension circulated for official review. which cannot meet the review schedule may be necessary and must be obtained (a) If the document is a preliminary, shall so inform the lead bureau and if a review is to be held up pending proposed, or working draft, the bureau shall provide the date that the review completion of a concurrent review. or office should handle independently will be delivered. The lead bureau shall (4) The Department’s intervention in and provide whatever technical inform the OEPC in cases of another agency’s adjudicatory process is assistance possible, within the limits of headquarters-level response, or the also a concurrent review. Such reviews their resources, to the requesting Regional Environmental Officer in cases are governed by 452 DM 2 which must agency. The response should clearly of field-level response, if it cannot meet be consulted in applicable cases. The indicate the type of assistance being the schedule, why it cannot, and when most common cases involve the provided and state that it does not it will. The OEPC or the Regional Department’s review of hydroelectric represent the Department’s review of the Environmental Officer shall be and natural gas applications of the document. Each bureau or office should responsible for informing the other Federal Energy Regulatory Commission. provide the Regional Environmental Federal agency of any changes in the In these cases, it is recommended that Officer and the Director, OEPC, copies review schedule. bureaus consult frequently with the of any comments involving significant (3) Reviewing offices shall route their appropriate attorney of record in the or controversial issues. review comments through channels to Office of the Solicitor. (b) If the document is a draft or final the lead bureau, with a copy to the environmental review document 7.6 Availability of Review Comments OEPC. When, in cases, of headquarters- circulated for official review, the bureau level response, review comments cannot A. Prior to the public availability of or office should inform the requesting reach the lead bureau within the another Federal agency’s final EIS, the agency of the Department’s procedures established review schedule, reviewing Department shall not independently in subparagraph (1) above and promptly bureaus and offices shall send a copy release to the public its comments on refer the request and the document to marked ‘‘Advance Copy’’ directly to the that agency’s draft EIS. In accordance the Director, OEPC, for processing. lead bureau. Review comments shall with section 1506.6(f) of the CEQ (3) All bureaus and offices processing also be sent to the lead bureau by Regulations, the agency that prepared and reviewing environmental review electronic means to facilitate meeting the statement is responsible for making documents of other Federal agencies the requesting agency’s deadline. the comments available to the public, will do so within the time limits (4) In cases of headquarters-level and requests for copies of the specified by the Director, OEPC. From response: Department’s comments shall be thirty (30) to forty-five (45) days are (a) The lead bureau shall route the referred to that agency. Exceptions to normally available for responding to completed comments through channels

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to the OEPC in both paper copy and (b) The Regional Environmental generally involve resource concerns of electronic word processor format. Officer shall review, sign, and transmit national importance to the Department. Copies shall be prepared and attached the Department’s comments to the (2) A bureau or office intending to for all bureaus and offices from whom agency requesting the review. In recommend referral of a proposal to review comments were requested, for addition they shall reproduce and send CEQ must, at the earliest possible time, the OEPC, and for the Regional the Department’s comments to the advise the proponent Federal agency Environmental Officer when the review regional bureau reviewers. The entire that it considers the proposal to be a pertains to a project within a regional completed package including the bureau possible candidate for referral. If not jurisdiction. In addition, original copies review comments shall be sent to the expressed at an earlier time, this advice of all review comments received or OEPC for recording and filing. must be outlined in the Department’s documentation that none were provided (c) If the Regional Environmental comments on the draft EIS. shall accompany the Department’s Officer determines that the review (3) CEQ referral is a high level activity comments through the clearance process involves policy matters of Secretarial that must be conducted in an extremely and shall be retained by the OEPC. significance, they shall not sign and short time frame. A referring bureau or (b) The OEPC shall review, secure any transmit the comments as provided in office has 25 days after EPA has necessary additional surnames, subparagraph (b) above, but shall published a notice of availability of the surname, and either sign the forward the review to the OEPC in final EIS in the Federal Register in Department’s comments or transmit the headquarters for final disposition. which to file the referral unless an Department’s comments to another extension is granted per 40 CFR appropriate Secretarial Officer for C. Referrals of Environmentally 1504.3(b). The referral documents must signature. Upon signature, the OEPC Unsatisfactory Proposals to the Council be signed by the Secretary of the shall transmit the comments to the on Environmental Quality Interior. requesting agency. (5) In cases of field-level response: (1) Referral to CEQ is a formal process (4) Additional review guidance may (a) The lead bureau shall provide the provided for in the CEQ Regulations (40 be made available as necessary to completed comments to the appropriate CFR 1504). It is used sparingly and only efficiently manage this activity. Bureau Regional Environmental Officer in both when all other administrative processes reviewers should review information on paper-copy and electronic word have been exhausted in attempting to the OEPC Web site at http:// processor format. In addition, original resolve issues between the project www.doi.gov/oepc and consult with the copies of all review comments received proponent and one or more other OEPC for the most current review or documentation that none were Federal agencies. These issues must guidance. provided shall be attached to the paper meet certain criteria (40 CFR 1504.2), [FR Doc. 04–4945 Filed 3–5–04; 8:45 am] copy. and practice has shown that these issues BILLING CODE 4310–RG–P

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Part IV

The President Executive Order 13332—Further Adjustment of Certain Rates of Pay

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Federal Register Presidential Documents Vol. 69, No. 45

Monday, March 8, 2004

Title 3— Executive Order 13332 of March 3, 2004

The President Further Adjustment of Certain Rates of Pay

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the laws cited herein, it is hereby ordered as follows: Section 1. Statutory Pay Systems. The rates of basic pay or salaries of the statutory pay systems (as defined in 5 U.S.C. 5302(1)), as adjusted under 5 U.S.C. 5303(a), are set forth on the schedules attached hereto and made a part hereof: (a) The General Schedule (5 U.S.C. 5332(a)) at Schedule 1; (b) The Foreign Service Schedule (22 U.S.C. 3963) at Schedule 2; and (c) The schedules for the Veterans Health Administration of the Department of Veterans Affairs (38 U.S.C. 7306, 7404; section 301(a) of Public Law 102–40) at Schedule 3. Sec. 2. Senior Executive Service. The ranges of rates of basic pay for senior executives in the Senior Executive Service, as established pursuant to 5 U.S.C. 5382, as amended by section 1125 of Public Law 108–136, are set forth on Schedule 4 attached hereto and made a part hereof. Sec. 3. Executive and Certain Other Salaries. The rates of basic pay or salaries for the following offices and positions are set forth on the schedules attached hereto and made a part hereof: (a) The Executive Schedule (5 U.S.C. 5311–5318) at Schedule 5; (b) The Vice President (3 U.S.C. 104) and the Congress (2 U.S.C. 31) at Schedule 6; and (c) Justices and judges (28 U.S.C. 5, 44(d), 135, 252, and 461(a), section 140 of Public Law 97–92, and Public Law 108–167) at Schedule 7. Sec. 4. Uniformed Services. Pursuant to section 601(a)–(b) of Public Law 108–136, the rates of monthly basic pay (37 U.S.C. 203) for members of the uniformed services, as adjusted under 37 U.S.C. 1009, and the rate of monthly cadet or midshipman pay are set forth on Schedule 8 attached hereto and made a part hereof. Sec. 5. Locality-Based Comparability Payments. (a) Pursuant to section 5304 of title 5, United States Code, and in accord- ance with section 640(a) of Division F of Public Law 108–199, locality- based comparability payments shall be paid in accordance with Schedule 9 attached hereto and made a part hereof. (b) The Director of the Office of Personnel Management shall take such actions as may be necessary to implement these payments and to publish appropriate notice of such payments in the Federal Register. Sec. 6. Administrative Law Judges. The rates of pay for administrative law judges, as adjusted under 5 U.S.C. 5372(b)(4), are set forth on Schedule 10 attached hereto and made a part hereof. Sec. 7. Effective Dates. Schedule 8 is effective on January 1, 2004. The other schedules contained herein are effective on the first day of the first pay period beginning on or after January 1, 2004.

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Sec. 8. Prior Order Superseded. Executive Order 13322 of December 30, 2003, is superseded. W

THE WHITE HOUSE, March 3, 2004.

Billing code 3195–01–P

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[FR Doc. 04–5322

Filed 3–5–04; 8:55 am] Billing code 3195–01–C

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Reader Aids Federal Register Vol. 69, No. 45 Monday, March 8, 2004

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MARCH

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 212...... 10620 Presidential Documents 3 CFR 1003...... 10627 Proclamations: Executive orders and proclamations 741–6000 1208...... 10627 6867 (Amended by The United States Government Manual 741–6000 1212...... 10627 Proc. 7757) ...... 9515 Other Services 7757...... 9515 1240...... 10627 Electronic and on-line services (voice) 741–6020 7758...... 10131 9 CFR Privacy Act Compilation 741–6064 7759...... 10593 Executive Orders: 71...... 10137 Public Laws Update Service (numbers, dates, etc.) 741–6043 78...... 9747 TTY for the deaf-and-hard-of-hearing 741–6086 13288 (Continued by Notice of March 2, 93...... 9749 2004 ...... 10313 Proposed Rules: ELECTRONIC RESEARCH 13322 (Superseded by 93...... 10633 EO 13332)...... 10891 94...... 10633 World Wide Web 13331...... 9911 95...... 10633 Full text of the daily Federal Register, CFR and other publications 13332...... 10891 12 CFR is located at: http://www.access.gpo.gov/nara Administrative Orders: 220...... 10601 Federal Register information and research tools, including Public Presidential 229...... 10602 Inspection List, indexes, and links to GPO Access are located at: Determinations: 741...... 9926 http://www.archives.gov/federallregister/ No. 2004–23 of February 25, 2004 ...... 9915 E-mail No. 2004–24 of 14 CFR FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is February 25, 2004 ...... 9917 21...... 10315 an open e-mail service that provides subscribers with a digital No. 2004–25 of 29...... 10315 form of the Federal Register Table of Contents. The digital form February 26, 2004 ...... 10595 39 ...... 9520, 9521, 9523, 9526, of the Federal Register Table of Contents includes HTML and Memorandums: 9750, 9927, 9930, 9932, PDF links to the full text of each document. Memorandum of March 9934, 9936, 9941, 10317, 1, 2004 ...... 10133 10319, 10321 To join or leave, go to http://listserv.access.gpo.gov and select Memorandum of March 71 ...... 10103, 10324, 10325, Online mailing list archives, FEDREGTOC-L, Join or leave the list 3, 2004 ...... 10597 10326, 10327, 10328, 10329, (orchange settings); then follow the instructions. Notices: 10330, 10331, 10603, 10604, PENS (Public Law Electronic Notification Service) is an e-mail March 2, 2004 ...... 10313 10605, 10606, 10608, 10609, 10610, 10611, 10612 service that notifies subscribers of recently enacted laws. 5 CFR 95...... 10612 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 300...... 10152 97...... 10614 and select Join or leave the list (or change settings); then follow 890...... 9919 the instructions. Proposed Rules: 7 CFR 39 ...... 10179, 10357, 10360, FEDREGTOC-L and PENS are mailing lists only. We cannot 10362, 10364, 10364, 10366, respond to specific inquiries. 301...... 10599 10369, 10370, 10372, 10374, 319...... 9743 Reference questions. Send questions and comments about the 10375, 10378, 10379, 10381, 400...... 9519 Federal Register system to: [email protected] 10383, 10385, 10387, 10636, 457...... 9519 The Federal Register staff cannot interpret specific documents or 10638, 10641 701...... 10300 71...... 10389 regulations. 783...... 9744 906...... 10135 16 CFR 1230...... 9924 FEDERAL REGISTER PAGES AND DATE, MARCH 304...... 9943 Proposed Rules: 9515–9742...... 1 16...... 10354 17 CFR 9743–9910...... 2 319...... 9976 210...... 9722 1000...... 9763 9911–10130...... 3 228...... 9722 1001...... 9763 10131–10312...... 4 229...... 9722 10313–10594...... 5 1005...... 9763 1006...... 9763 240...... 9722 10595–10900...... 8 1007...... 9763 249...... 9722 1030...... 9763 270...... 9722 1032...... 9763 274...... 9722 1033...... 9763 Proposed Rules: 1124...... 9763 270...... 9726 1126...... 9763 19 CFR 1131...... 9763 122...... 10151 8 CFR Proposed Rules: 21 CFR 208...... 10620 520...... 9753, 9946

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558...... 9947 29 CFR 40 CFR 47 CFR 870...... 10615 1607...... 10152 52...... 10161 Proposed Rules: 882...... 10331 Proposed Rules: 62 ...... 9554, 9949, 10165 73...... 9790, 9791 Proposed Rules: 2550...... 9900 63...... 10512 101...... 9559 69...... 10332 48 CFR 314...... 9982 30 CFR 70...... 9557, 10167 1817...... 9963 888...... 10390 82...... 9754 Proposed Rules: Proposed Rules: 180...... 9954, 9958 23...... 10118 24 CFR 943...... 9983 271...... 10171 52...... 10118 200...... 10106 Proposed Rules: 33 CFR Proposed Rules: 52...... 9776 49 CFR 5...... 10126 117 .....9547, 9549, 9550, 9551, 62 ...... 9564, 9987, 10186 375...... 10570 570...... 10126 10158, 10159, 10160, 10615 141...... 9781 541...... 9964 3284...... 9740 165 ...... 9552, 9948, 10616 142...... 9781 Proposed Rules: 271...... 10187 Proposed Rules: 25 CFR 100...... 9984 300...... 9988, 10646 172...... 9565 173...... 9565 Proposed Rules: 117 ...... 9562, 10182, 10183 402...... 9774 41 CFR 174...... 9565 30...... 10181 175...... 9565 60-3...... 10152 37...... 10181 176...... 9565 37 CFR 39...... 10181 177...... 9565 44 CFR 42...... 10181 Proposed Rules: 178...... 9565 44...... 10181 1...... 9986 64...... 9755 47...... 10181 2...... 9986 50 CFR 10...... 9986 45 CFR 17...... 10335 26 CFR 11...... 9986 Proposed Rules: 216...... 9759 1...... 9529 Ch. XII...... 10188 229...... 9760 Proposed Rules: 38 CFR Ch. XXV...... 10188 622...... 9969 1...... 9560, 9771 36...... 10618 648 ...... 9970, 10174, 10177 Proposed Rules: 46 CFR Proposed Rules: 28 CFR 19...... 10185 67...... 10174 622...... 10189 50...... 10152 20...... 10185 310...... 9758 679...... 10190

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REMINDERS LIBRARY OF CONGRESS 04; published 2-13-04 Air quality implementation The items in this list were Copyright Arbitration Royalty [FR 04-03281] plans; approval and editorially compiled as an aid Panel rules and procedures: Northeastern United States promulgation; various to Federal Register users. Sound recordings and fisheries— States: Inclusion or exclusion from ephemeral recordings; Atlantic sea scallop; California; comments due by this list has no legal digital performance right; comments due by 3-15- 3-15-04; published 2-12- significance. rates and terms 04; published 1-16-04 04 [FR 04-03077] Correction; published 2- [FR 04-01012] Florida; comments due by 26-04 CONSUMER PRODUCT 3-15-04; published 2-13- RULES GOING INTO 04 [FR 04-03074] TRANSPORTATION SAFETY COMMISSION EFFECT MARCH 8, 2004 DEPARTMENT Federal Hazardous Environmental statements; Federal Aviation Substances Act: availability, etc.: FEDERAL Administration Baby bath seats; Coastal nonpoint pollution COMMUNICATIONS Standard instrument approach requirements; comments control program— COMMISSION procedures; published 3-8- due by 3-15-04; published Minnesota and Texas; Common carrier services: 04 12-29-03 [FR 03-31135] Open for comments until further notice; Federal-State Joint Board VETERANS AFFAIRS COURT SERVICES AND published 10-16-03 [FR on Universal Service— DEPARTMENT OFFENDER SUPERVISION 03-26087] Universal Service Fund Organization, functions, and AGENCY FOR THE Hazardous waste: and authority delegations: DISTRICT OF COLUMBIA Telecommunications Low-level radioactive waste; Property management Semi-annual agenda; Open for Relay Services Fund; management and contractor; published 3-8- comments until further accounting and auditing disposal; comments due 04 notice; published 12-22-03 standards; published 2- [FR 03-25121] by 3-17-04; published 11- 6-04 DEFENSE DEPARTMENT 18-03 [FR 03-28651] COMMENTS DUE NEXT Satellite communications— Acquisition regulations: Solid Waste: WEEK Portable earth-station U.S.-Chile and U.S.- Products containing tranceivers and out-of- Singapore Free Trade recovered materials; band emmission limits AGRICULTURE Agreements; comprehensive for mobile earth DEPARTMENT implementation; comments procurement guideline; stations; equipment Agricultural Marketing due by 3-15-04; published comments due by 3-19- authorization; published Service 1-13-04 [FR 04-00568] 04; published 2-18-04 [FR 2-6-04 04-03449] Hazelnuts grown in— Federal Acquisition Regulation Radio stations; table of Oregon and Washington; (FAR): Solid wastes: assignments: comments due by 3-16- Commercially available off- Hazardous waste; Kansas; published 2-10-04 04; published 1-16-04 [FR the-shelf items; comments identification and listing— HEALTH AND HUMAN 04-01004] due by 3-15-04; published Solvent-contaminated SERVICES DEPARTMENT AGRICULTURE 1-15-04 [FR 04-00852] reusable shop towels, Food and Drug DEPARTMENT ENERGY DEPARTMENT rags, disposable wipes, and paper towels; Administration Rural Business-Cooperative Federal Energy Regulatory conditional exclusion; Medical devices: Service Commission comments due by 3-19- Program regulations: Class II devices— Electric rate and corporate 04; published 1-30-04 Arrhythmia detector and Business and industry loans; regulation filings: [FR 04-01972] tangible balance sheet alarm; reclassification Virginia Electric & Power Superfund program: and special controls; equity; comments due by Co. et al.; Open for National oil and hazardous correction; published 3- 3-16-04; published 1-16- comments until further substances contingency 8-04 04 [FR 04-00979] notice; published 10-1-03 plan— HOMELAND SECURITY COMMERCE DEPARTMENT [FR 03-24818] National priorities list DEPARTMENT National Oceanic and ENVIRONMENTAL update; comments due Atmospheric Administration Coast Guard PROTECTION AGENCY by 3-19-04; published Drawbridge operations: Fishery conservation and Air pollutants, hazardous; 2-18-04 [FR 04-03368] management: national emission standards: Mississippi; published 3-4-04 FEDERAL New York; published 3-1-04 Alaska; fisheries of Pulp and paper industry; COMMUNICATIONS Exclusive Economic comments due by 3-18- COMMISSION Washington; published 2-11- Zone— 04; published 2-17-04 [FR 04 04-03369] Digital television stations; table Skates; comments due by of assignments: Navigation aids: 3-19-04; published 3-4- Air pollution; standards of Alternatives to incandescent 04 [FR 04-04871] performance for new Kansas; comments due by 3-15-04; published 2-10- lights and standards for Atlantic highly migratory stationary sources: 04 [FR 04-02832] new lights in private aids; species— Commercial or industrial published 12-8-03 Television broadcasting: Pelagic longline fishery; solid waste incineration LIBRARY OF CONGRESS sea turtle bycatch and units; comments due by UHF television discount; Copyright Office, Library of bycatch mortality 3-18-04; published 2-17- comments due by 3-19- Congress reduction measures; 04 [FR 04-03366] 04; published 2-27-04 [FR 04-04391] Copyright Arbitration Royalty comments due by 3-15- Air programs: Panel rules and procedures: 04; published 2-11-04 Outer Continental Shelf GENERAL SERVICES Sound recordings and [FR 04-02982] regulations— ADMINISTRATION ephemeral recordings; Caribbean, Gulf, and South California; consistency Federal Acquisition Regulation digital performance right; Atlantic fisheries— update; comments due (FAR): rates and terms; Vermilion snapper; by 3-15-04; published Commercially available off- published 2-6-04 comments due by 3-15- 2-12-04 [FR 04-03079] the-shelf items; comments

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due by 3-15-04; published Florida; comments due by Pay and performance Variable annuity, 1-15-04 [FR 04-00852] 3-16-04; published 1-16- awards; new pay-for- endowment, and life GOVERNMENT ETHICS 04 [FR 04-01057] performance system; insurance contracts; OFFICE Virginia; comments due by comments due by 3-15- diversification 04; published 1-13-04 [FR requirements; hearing; Certificates of divestiture; 3-15-04; published 1-13- 04-00733] comments due by 3-18- comments due by 3-15-04; 04 [FR 04-00637] 04; published 2-17-04 [FR published 1-13-04 [FR 04- Ports and waterways safety: SECURITIES AND 04-03401] 00685] Coronado Bay Bridge, San EXCHANGE COMMISSION HEALTH AND HUMAN Diego, CA; security zone; Investment advisers: SERVICES DEPARTMENT comments due by 3-16- Codes of ethics; comments due by 3-15-04; published LIST OF PUBLIC LAWS Children and Families 04; published 1-16-04 [FR 1-27-04 [FR 04-01669] Administration 04-01058] San Francisco Bay, San Securities: This is a continuing list of Head Start Program: public bills from the current Francisco and Oakland, Penny stock rules; Vehicles used to transport session of Congress which CA; security zones; comments due by 3-16- children; safety features have become Federal laws. It comments due by 3-15- 04; published 1-16-04 [FR and safe operation may be used in conjunction 04; published 1-15-04 [FR 04-00881] requirements; comments 04-00914] with ‘‘P L U S’’ (Public Laws due by 3-16-04; published SMALL BUSINESS Update Service) on 202–741– 1-16-04 [FR 04-01096] Station Port Huron, MI, ADMINISTRATION 6043. This list is also Lake Huron; regulated HEALTH AND HUMAN Disaster loan areas: available online at http:// navigation area; Maine; Open for comments www.archives.gov/ SERVICES DEPARTMENT comments due by 3-15- until further notice; federal—register/public—laws/ Food and Drug 04; published 1-15-04 [FR published 2-17-04 [FR 04- public—laws.html. Administration 04-00913] 03374] Biological products: The text of laws is not INTERIOR DEPARTMENT TRANSPORTATION published in the Federal Spore-forming Surface Mining Reclamation DEPARTMENT microorganisms; Register but may be ordered and Enforcement Office Federal Aviation performance requirements; in ‘‘slip law’’ (individual Permanent program and Administration comments due by 3-15- pamphlet) form from the abandoned mine land Air carrier certification and Superintendent of Documents, 04; published 12-30-03 reclamation plan [FR 03-31918] operations: U.S. Government Printing submissions: Multi-engine airplanes; Office, Washington, DC 20402 Reports and guidance Texas; comments due by 3- documents; availability, etc.: extended operations; (phone, 202–512–1808). The 19-04; published 3-3-04 comments due by 3-15- text will also be made Evaluating safety of [FR 04-04636] 04; published 1-6-04 [FR available on the Internet from antimicrobial new animal JUSTICE DEPARTMENT 03-32335] GPO Access at http:// drugs with regard to their Justice Programs Office Airworthiness directives: www.gpoaccess.gov/plaws/ microbiological effects on index.html. Some laws may bacteria of human health Grants: Airbus; comments due by 3- 15-04; published 2-13-04 not yet be available. concern; Open for Correctional Facilities on [FR 04-03207] comments until further Tribal Lands Program; H.R. 743/P.L. 108–203 notice; published 10-27-03 comments due by 3-15- Bombardier; comments due Social Security Protection Act [FR 03-27113] 04; published 1-15-04 [FR by 3-15-04; published 2- of 2004 (Mar. 2, 2004; 118 HOMELAND SECURITY 04-00281] 13-04 [FR 04-03133] Empresa Brasileira de Stat. 493) DEPARTMENT NATIONAL AERONAUTICS Aeronautica, S.A. Customs and Border AND SPACE S. 523/P.L. 108–204 (EMBRAER); comments Protection Bureau ADMINISTRATION Native American Technical due by 3-19-04; published Corrections Act of 2004 (Mar. Inspection, search, and Federal Acquisition Regulation 2-18-04 [FR 04-03350] seizure: (FAR): 2, 2004; 118 Stat. 542) McDonnell Douglas; Administrative forfeiture Commercially available off- comments due by 3-15- Last List March 2, 2004 notices; publication; the-shelf items; comments 04; published 1-29-04 [FR comments due by 3-15- due by 3-15-04; published 04-01912] 04; published 1-14-04 [FR 1-15-04 [FR 04-00852] Class E airspace; comments 04-00724] Public Laws Electronic NUCLEAR REGULATORY due by 3-15-04; published Notification Service Organization and functions; COMMISSION 1-14-04 [FR 04-00850] (PENS) field organization, ports of Low-level radioactive waste, Restricted areas; comments entry, etc.: management and disposal; due by 3-19-04; published Memphis, TN; port limits framework; comments due 2-3-04 [FR 04-02178] PENS is a free electronic mail extension; comments due by 3-17-04; published 11- VOR Federal airways; notification service of newly by 3-15-04; published 1- 18-03 [FR 03-28496] comments due by 3-19-04; enacted public laws. To 14-04 [FR 04-00813] PERSONNEL MANAGEMENT published 2-3-04 [FR 04- subscribe, go to http:// HOMELAND SECURITY OFFICE 02179] listserv.gsa.gov/archives/ DEPARTMENT E-Government Act of 2002; TREASURY DEPARTMENT publaws-l.html Coast Guard implementation: Internal Revenue Service Note: This service is strictly Anchorage regulations: Information Technology Income taxes: for E-mail notification of new Maryland; Open for Exchange Program; Business electronic filing; laws. The text of laws is not comments until further comments due by 3-15- guidance; cross reference; available through this service. notice; published 1-14-04 04; published 1-15-04 [FR comments due by 3-18- PENS cannot respond to [FR 04-00749] 04-00862] 04; published 12-19-03 specific inquiries sent to this Drawbridge operations: Senior Executive Service: [FR 03-31239] address.

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CFR CHECKLIST Title Stock Number Price Revision Date 13 ...... (869–050–00037–7) ...... 47.00 Jan. 1, 2003 This checklist, prepared by the Office of the Federal Register, is 14 Parts: published weekly. It is arranged in the order of CFR titles, stock *1–59 ...... (869–052–00039–6) ...... 63.00 Jan. 1, 2004 numbers, prices, and revision dates. 60–139 ...... (869–050–00039–3) ...... 58.00 Jan. 1, 2003 An asterisk (*) precedes each entry that has been issued since last 140–199 ...... (869–050–00040–7) ...... 28.00 Jan. 1, 2003 week and which is now available for sale at the Government Printing *200–1199 ...... (869–052–00042–6) ...... 50.00 Jan. 1, 2004 Office. 1200–End ...... (869–050–00042–3) ...... 43.00 Jan. 1, 2003 A checklist of current CFR volumes comprising a complete CFR set, 15 Parts: also appears in the latest issue of the LSA (List of CFR Sections 0–299 ...... (869–050–00043–1) ...... 37.00 Jan. 1, 2003 Affected), which is revised monthly. 300–799 ...... (869–050–00044–0) ...... 57.00 Jan. 1, 2003 800–End ...... (869–050–00045–8) ...... 40.00 Jan. 1, 2003 The CFR is available free on-line through the Government Printing Office’s GPO Access Service at http://www.access.gpo.gov/nara/cfr/ 16 Parts: index.html. For information about GPO Access call the GPO User 0–999 ...... (869–050–00046–6) ...... 47.00 Jan. 1, 2003 Support Team at 1-888-293-6498 (toll free) or 202-512-1530. 1000–End ...... (869–050–00047–4) ...... 57.00 Jan. 1, 2003 The annual rate for subscription to all revised paper volumes is 17 Parts: $1195.00 domestic, $298.75 additional for foreign mailing. 1–199 ...... (869–050–00049–1) ...... 50.00 Apr. 1, 2003 Mail orders to the Superintendent of Documents, Attn: New Orders, 200–239 ...... (869–050–00050–4) ...... 58.00 Apr. 1, 2003 P.O. Box 371954, Pittsburgh, PA 15250–7954. All orders must be 240–End ...... (869–050–00051–2) ...... 62.00 Apr. 1, 2003 accompanied by remittance (check, money order, GPO Deposit 18 Parts: Account, VISA, Master Card, or Discover). Charge orders may be 1–399 ...... (869–050–00052–1) ...... 62.00 Apr. 1, 2003 telephoned to the GPO Order Desk, Monday through Friday, at (202) 400–End ...... (869–050–00053–9) ...... 25.00 Apr. 1, 2003 512–1800 from 8:00 a.m. to 4:00 p.m. eastern time, or FAX your charge orders to (202) 512-2250. 19 Parts: 1–140 ...... (869–050–00054–7) ...... 60.00 Apr. 1, 2003 Title Stock Number Price Revision Date 141–199 ...... (869–050–00055–5) ...... 58.00 Apr. 1, 2003 1, 2 (2 Reserved) ...... (869–052–00001–9) ...... 9.00 4Jan. 1, 2004 200–End ...... (869–050–00056–3) ...... 30.00 Apr. 1, 2003 3 (2002 Compilation 20 Parts: and Parts 100 and 1–399 ...... (869–050–00057–1) ...... 50.00 Apr. 1, 2003 101) ...... (869–050–00002–4) ...... 32.00 1 Jan. 1, 2003 400–499 ...... (869–050–00058–0) ...... 63.00 Apr. 1, 2003 4 ...... (869–052–00003–5) ...... 10.00 Jan. 1, 2004 500–End ...... (869–050–00059–8) ...... 63.00 Apr. 1, 2003 5 Parts: 21 Parts: 1–699 ...... (869–050–00004–1) ...... 57.00 Jan. 1, 2003 1–99 ...... (869–050–00060–1) ...... 40.00 Apr. 1, 2003 700–1199 ...... (869–050–00005–9) ...... 46.00 Jan. 1, 2003 100–169 ...... (869–050–00061–0) ...... 47.00 Apr. 1, 2003 1200–End ...... (869–050–00006–7) ...... 58.00 Jan. 1, 2003 170–199 ...... (869–050–00062–8) ...... 50.00 Apr. 1, 2003 200–299 ...... (869–050–00063–6) ...... 17.00 Apr. 1, 2003 6 ...... (869–052–00007–8) ...... 10.50 Jan. 1, 2004 300–499 ...... (869–050–00064–4) ...... 29.00 Apr. 1, 2003 7 Parts: 500–599 ...... (869–050–00065–2) ...... 47.00 Apr. 1, 2003 1–26 ...... (869–050–00007–5) ...... 40.00 Jan. 1, 2003 600–799 ...... (869–050–00066–1) ...... 15.00 Apr. 1, 2003 27–52 ...... (869–050–00008–3) ...... 47.00 Jan. 1, 2003 800–1299 ...... (869–050–00067–9) ...... 58.00 Apr. 1, 2003 53–209 ...... (869–052–00010–8) ...... 37.00 Jan. 1, 2004 1300–End ...... (869–050–00068–7) ...... 22.00 Apr. 1, 2003 210–299 ...... (869–050–00010–5) ...... 59.00 Jan. 1, 2003 22 Parts: 300–399 ...... (869–050–00011–3) ...... 43.00 Jan. 1, 2003 1–299 ...... (869–050–00069–5) ...... 62.00 Apr. 1, 2003 400–699 ...... (869–050–00012–1) ...... 39.00 Jan. 1, 2003 300–End ...... (869–050–00070–9) ...... 44.00 Apr. 1, 2003 700–899 ...... (869–050–00013–0) ...... 42.00 Jan. 1, 2003 900–999 ...... (869–050–00014–8) ...... 57.00 Jan. 1, 2003 23 ...... (869–050–00071–7) ...... 44.00 Apr. 1, 2003 1000–1199 ...... (869–052–00016–7) ...... 22.00 Jan. 1, 2004 24 Parts: 1200–1599 ...... (869–050–00016–4) ...... 58.00 Jan. 1, 2003 0–199 ...... (869–050–00072–5) ...... 58.00 Apr. 1, 2003 1600–1899 ...... (869–050–00017–2) ...... 61.00 Jan. 1, 2003 200–499 ...... (869–050–00073–3) ...... 50.00 Apr. 1, 2003 1900–1939 ...... (869–050–00018–1) ...... 29.00 4 Jan. 1, 2003 500–699 ...... (869–050–00074–1) ...... 30.00 Apr. 1, 2003 1940–1949 ...... (869–050–00019–9) ...... 47.00 Jan. 1, 2003 700–1699 ...... (869–050–00075–0) ...... 61.00 Apr. 1, 2003 1950–1999 ...... (869–052–00021–3) ...... 46.00 Jan. 1, 2004 1700–End ...... (869–050–00076–8) ...... 30.00 Apr. 1, 2003 *2000–End ...... (869–052–00022–1) ...... 50.00 Jan. 1, 2004 25 ...... (869–050–00077–6) ...... 63.00 Apr. 1, 2003 8 ...... (869–050–00022–9) ...... 58.00 Jan. 1, 2003 26 Parts: 9 Parts: §§ 1.0–1–1.60 ...... (869–050–00078–4) ...... 49.00 Apr. 1, 2003 1–199 ...... (869–050–00023–7) ...... 58.00 Jan. 1, 2003 §§ 1.61–1.169 ...... (869–050–00079–2) ...... 63.00 Apr. 1, 2003 200–End ...... (869–052–00025–6) ...... 58.00 Jan. 1, 2004 §§ 1.170–1.300 ...... (869–050–00080–6) ...... 57.00 Apr. 1, 2003 10 Parts: §§ 1.301–1.400 ...... (869–050–00081–4) ...... 46.00 Apr. 1, 2003 1–50 ...... (869–050–00025–3) ...... 58.00 Jan. 1, 2003 §§ 1.401–1.440 ...... (869–050–00082–2) ...... 61.00 Apr. 1, 2003 51–199 ...... (869–050–00026–1) ...... 56.00 Jan. 1, 2003 §§ 1.441–1.500 ...... (869–050–00083–1) ...... 50.00 Apr. 1, 2003 *200–499 ...... (869–052–00028–1) ...... 46.00 Jan. 1, 2004 §§ 1.501–1.640 ...... (869–050–00084–9) ...... 49.00 Apr. 1, 2003 500–End ...... (869–050–00028–8) ...... 58.00 Jan. 1, 2003 §§ 1.641–1.850 ...... (869–050–00085–7) ...... 60.00 Apr. 1, 2003 §§ 1.851–1.907 ...... (869–050–00086–5) ...... 60.00 Apr. 1, 2003 11 ...... (869–050–00029–6) 38.00 Feb. 3, 2003 §§ 1.908–1.1000 ...... (869–050–00087–3) ...... 60.00 Apr. 1, 2003 12 Parts: §§ 1.1001–1.1400 ...... (869–050–00088–1) ...... 61.00 Apr. 1, 2003 1–199 ...... (869–050–00030–0) ...... 30.00 Jan. 1, 2003 §§ 1.1401–1.1503–2A .... (869–050–00089–0) ...... 50.00 Apr. 1, 2003 200–219 ...... (869–050–00031–8) ...... 38.00 Jan. 1, 2003 §§ 1.1551–End ...... (869–050–00090–3) ...... 50.00 Apr. 1, 2003 220–299 ...... (869–052–00033–7) ...... 61.00 Jan. 1, 2004 2–29 ...... (869–050–00091–1) ...... 60.00 Apr. 1, 2003 300–499 ...... (869–050–00033–4) ...... 43.00 Jan. 1, 2003 30–39 ...... (869–050–00092–0) ...... 41.00 Apr. 1, 2003 500–599 ...... (869–050–00034–2) ...... 38.00 Jan. 1, 2003 40–49 ...... (869–050–00093–8) ...... 26.00 Apr. 1, 2003 600–899 ...... (869–050–00035–1) ...... 54.00 Jan. 1, 2003 50–299 ...... (869–050–00094–6) ...... 41.00 Apr. 1, 2003 900–End ...... (869–050–00036–9) ...... 47.00 Jan. 1, 2003 300–499 ...... (869–050–00095–4) ...... 61.00 Apr. 1, 2003

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Title Stock Number Price Revision Date Title Stock Number Price Revision Date 500–599 ...... (869–050–00096–2) ...... 12.00 5Apr. 1, 2003 72–80 ...... (869–050–00149–7) ...... 61.00 July 1, 2003 600–End ...... (869–050–00097–1) ...... 17.00 Apr. 1, 2003 81–85 ...... (869–050–00150–1) ...... 50.00 July 1, 2003 27 Parts: 86 (86.1–86.599–99) ...... (869–050–00151–9) ...... 57.00 July 1, 2003 86 (86.600–1–End) ...... (869–050–00152–7) ...... 50.00 July 1, 2003 1–199 ...... (869–050–00098–9) ...... 63.00 Apr. 1, 2003 87–99 ...... (869–050–00153–5) ...... 60.00 July 1, 2003 200–End ...... (869–050–00099–7) ...... 25.00 Apr. 1, 2003 100–135 ...... (869–050–00154–3) ...... 43.00 July 1, 2003 28 Parts: ...... 136–149 ...... (869–150–00155–1) ...... 61.00 July 1, 2003 0–42 ...... (869–050–00100–4) ...... 61.00 July 1, 2003 150–189 ...... (869–050–00156–0) ...... 49.00 July 1, 2003 43–End ...... (869–050–00101–2) ...... 58.00 July 1, 2003 190–259 ...... (869–050–00157–8) ...... 39.00 July 1, 2003 29 Parts: 260–265 ...... (869–050–00158–6) ...... 50.00 July 1, 2003 0–99 ...... (869–050–00102–1) ...... 50.00 July 1, 2003 266–299 ...... (869–050–00159–4) ...... 50.00 July 1, 2003 100–499 ...... (869–050–00103–9) ...... 22.00 July 1, 2003 300–399 ...... (869–050–00160–8) ...... 42.00 July 1, 2003 500–899 ...... (869–050–00104–7) ...... 61.00 July 1, 2003 400–424 ...... (869–050–00161–6) ...... 56.00 July 1, 2003 900–1899 ...... (869–050–00105–5) ...... 35.00 July 1, 2003 425–699 ...... (869–050–00162–4) ...... 61.00 July 1, 2003 1900–1910 (§§ 1900 to 700–789 ...... (869–050–00163–2) ...... 61.00 July 1, 2003 1910.999) ...... (869–050–00106–3) ...... 61.00 July 1, 2003 790–End ...... (869–050–00164–1) ...... 58.00 July 1, 2003 1910 (§§ 1910.1000 to 41 Chapters: end) ...... (869–050–00107–1) ...... 46.00 July 1, 2003 1, 1–1 to 1–10 ...... 13.00 3 July 1, 1984 1911–1925 ...... (869–050–00108–0) ...... 30.00 July 1, 2003 1, 1–11 to Appendix, 2 (2 Reserved) ...... 13.00 3 July 1, 1984 1926 ...... (869–050–00109–8) ...... 50.00 July 1, 2003 3–6 ...... 14.00 3 July 1, 1984 1927–End ...... (869–050–00110–1) ...... 62.00 July 1, 2003 7 ...... 6.00 3 July 1, 1984 8 ...... 4.50 3 July 1, 1984 30 Parts: 9 ...... 13.00 3 July 1, 1984 1–199 ...... (869–050–00111–0) ...... 57.00 July 1, 2003 10–17 ...... 9.50 3 July 1, 1984 200–699 ...... (869–050–00112–8) ...... 50.00 July 1, 2003 18, Vol. I, Parts 1–5 ...... 13.00 3 July 1, 1984 700–End ...... (869–050–00113–6) ...... 57.00 July 1, 2003 18, Vol. II, Parts 6–19 ...... 13.00 3 July 1, 1984 31 Parts: 18, Vol. III, Parts 20–52 ...... 13.00 3 July 1, 1984 0–199 ...... (869–050–00114–4) ...... 40.00 July 1, 2003 19–100 ...... 13.00 3 July 1, 1984 200–End ...... (869–050–00115–2) ...... 64.00 July 1, 2003 1–100 ...... (869–050–00165–9) ...... 23.00 7July 1, 2003 32 Parts: 101 ...... (869–050–00166–7) ...... 24.00 July 1, 2003 1–39, Vol. I ...... 15.00 2 July 1, 1984 102–200 ...... (869–050–00167–5) ...... 50.00 July 1, 2003 1–39, Vol. II ...... 19.00 2 July 1, 1984 201–End ...... (869–050–00168–3) ...... 22.00 July 1, 2003 1–39, Vol. III ...... 18.00 2 July 1, 1984 42 Parts: 1–190 ...... (869–050–00116–1) ...... 60.00 July 1, 2003 1–399 ...... (869–050–00169–1) ...... 60.00 Oct. 1, 2003 191–399 ...... (869–050–00117–9) ...... 63.00 July 1, 2003 400–429 ...... (869–050–00170–5) ...... 62.00 Oct. 1, 2003 400–629 ...... (869–050–00118–7) ...... 50.00 July 1, 2003 430–End ...... (869–050–00171–3) ...... 64.00 Oct. 1, 2003 630–699 ...... (869–050–00119–5) ...... 37.00 7July 1, 2003 700–799 ...... (869–050–00120–9) ...... 46.00 July 1, 2003 43 Parts: 800–End ...... (869–050–00121–7) ...... 47.00 July 1, 2003 1–999 ...... (869–050–00172–1) ...... 55.00 Oct. 1, 2003 1000–end ...... (869–050–00173–0) ...... 62.00 Oct. 1, 2003 33 Parts: 1–124 ...... (869–050–00122–5) ...... 55.00 July 1, 2003 44 ...... (869–050–00174–8) ...... 50.00 Oct. 1, 2003 125–199 ...... (869–050–00123–3) ...... 61.00 July 1, 2003 45 Parts: 200–End ...... (869–050–00124–1) ...... 50.00 July 1, 2003 1–199 ...... (869–050–00175–6) ...... 60.00 Oct. 1, 2003 9 34 Parts: 200–499 ...... (869–050–00176–4) ...... 33.00 Oct. 1, 2003 1–299 ...... (869–050–00125–0) ...... 49.00 July 1, 2003 500–1199 ...... (869–050–00177–2) ...... 50.00 Oct. 1, 2003 300–399 ...... (869–050–00126–8) ...... 43.00 7July 1, 2003 1200–End ...... (869–050–00178–1) ...... 60.00 Oct. 1, 2003 400–End ...... (869–050–00127–6) ...... 61.00 July 1, 2003 46 Parts: 35 ...... (869–050–00128–4) ...... 10.00 6July 1, 2003 1–40 ...... (869–050–00179–9) ...... 46.00 Oct. 1, 2003 41–69 ...... (869–050–00180–2) ...... 39.00 Oct. 1, 2003 36 Parts 70–89 ...... (869–050–00181–1) ...... 14.00 Oct. 1, 2003 1–199 ...... (869–050–00129–2) ...... 37.00 July 1, 2003 90–139 ...... (869–050–00182–9) ...... 44.00 Oct. 1, 2003 200–299 ...... (869–050–00130–6) ...... 37.00 July 1, 2003 140–155 ...... (869–050–00183–7) ...... 25.00 9Oct. 1, 2003 300–End ...... (869–050–00131–4) ...... 61.00 July 1, 2003 156–165 ...... (869–050–00184–5) ...... 34.00 9Oct. 1, 2003 37 ...... (869–050–00132–2) ...... 50.00 July 1, 2003 166–199 ...... (869–050–00185–3) ...... 46.00 Oct. 1, 2003 200–499 ...... (869–050–00186–1) ...... 39.00 Oct. 1, 2003 38 Parts: 500–End ...... (869–050–00187–0) ...... 25.00 Oct. 1, 2003 0–17 ...... (869–050–00133–1) ...... 58.00 July 1, 2003 18–End ...... (869–050–00134–9) ...... 62.00 July 1, 2003 47 Parts: 0–19 ...... (869–050–00188–8) ...... 61.00 Oct. 1, 2003 39 ...... (869–050–00135–7) ...... 41.00 July 1, 2003 *20–39 ...... (869–050–00189–6) ...... 45.00 Oct. 1, 2003 40 Parts: 40–69 ...... (869–050–00190–0) ...... 39.00 Oct. 1, 2003 1–49 ...... (869–050–00136–5) ...... 60.00 July 1, 2003 70–79 ...... (869–050–00191–8) ...... 61.00 Oct. 1, 2003 50–51 ...... (869–050–00137–3) ...... 44.00 July 1, 2003 80–End ...... (869–050–00192–6) ...... 61.00 Oct. 1, 2003 52 (52.01–52.1018) ...... (869–050–00138–1) ...... 58.00 July 1, 2003 48 Chapters: 52 (52.1019–End) ...... (869–050–00139–0) ...... 61.00 July 1, 2003 1 (Parts 1–51) ...... (869–050–00193–4) ...... 63.00 Oct. 1, 2003 53–59 ...... (869–050–00140–3) ...... 31.00 July 1, 2003 1 (Parts 52–99) ...... (869–050–00194–2) ...... 50.00 Oct. 1, 2003 60 (60.1–End) ...... (869–050–00141–1) ...... 58.00 July 1, 2003 2 (Parts 201–299) ...... (869–050–00195–1) ...... 55.00 Oct. 1, 2003 60 (Apps) ...... (869–050–00142–0) ...... 51.00 8July 1, 2003 3–6 ...... (869–050–00196–9) ...... 33.00 Oct. 1, 2003 61–62 ...... (869–050–00143–8) ...... 43.00 July 1, 2003 7–14 ...... (869–050–00197–7) ...... 61.00 Oct. 1, 2003 63 (63.1–63.599) ...... (869–050–00144–6) ...... 58.00 July 1, 2003 15–28 ...... (869–050–00198–5) ...... 57.00 Oct. 1, 2003 63 (63.600–63.1199) ...... (869–050–00145–4) ...... 50.00 July 1, 2003 29–End ...... (869–050–00199–3) ...... 38.00 9Oct. 1, 2003 63 (63.1200–63.1439) .... (869–050–00146–2) ...... 50.00 July 1, 2003 63 (63.1440–End) ...... (869–050–00147–1) ...... 64.00 July 1, 2003 49 Parts: 64–71 ...... (869–050–00148–9) ...... 29.00 July 1, 2003 1–99 ...... (869–050–00200–1) ...... 60.00 Oct. 1, 2003

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Title Stock Number Price Revision Date 100–185 ...... (869–050–00201–9) ...... 63.00 Oct. 1, 2003 186–199 ...... (869–050–00202–7) ...... 20.00 Oct. 1, 2003 200–399 ...... (869–050–00203–5) ...... 64.00 Oct. 1, 2003 400–599 ...... (869–050–00204–3) ...... 63.00 Oct. 1, 2003 600–999 ...... (869–050–00205–1) ...... 22.00 Oct. 1, 2003 1000–1199 ...... (869–050–00206–0) ...... 26.00 Oct. 1, 2003 1200–End ...... (869–048–00207–8) ...... 33.00 Oct. 1, 2003 50 Parts: 1–16 ...... (869–050–00208–6) ...... 11.00 Oct. 1, 2003 17.1–17.95 ...... (869–050–00209–4) ...... 62.00 Oct. 1, 2003 17.96–17.99(h) ...... (869–050–00210–8) ...... 61.00 Oct. 1, 2003 17.99(i)–end ...... (869–050–00211–6) ...... 50.00 Oct. 1, 2003 18–199 ...... (869–050–00212–4) ...... 42.00 Oct. 1, 2003 200–599 ...... (869–050–00213–2) ...... 44.00 Oct. 1, 2003 600–End ...... (869–050–00214–1) ...... 61.00 Oct. 1, 2003 CFR Index and Findings Aids ...... (869–050–00048–2) ...... 59.00 Jan. 1, 2003 Complete 2004 CFR set ...... 1,342.00 2004 Microfiche CFR Edition: Subscription (mailed as issued) ...... 325.00 2004 Individual copies ...... 2.00 2004 Complete set (one-time mailing) ...... 298.00 2003 Complete set (one-time mailing) ...... 298.00 2002 1 Because Title 3 is an annual compilation, this volume and all previous volumes should be retained as a permanent reference source. 2 The July 1, 1985 edition of 32 CFR Parts 1–189 contains a note only for Parts 1–39 inclusive. For the full text of the Defense Acquisition Regulations in Parts 1–39, consult the three CFR volumes issued as of July 1, 1984, containing those parts. 3 The July 1, 1985 edition of 41 CFR Chapters 1–100 contains a note only for Chapters 1 to 49 inclusive. For the full text of procurement regulations in Chapters 1 to 49, consult the eleven CFR volumes issued as of July 1, 1984 containing those chapters. 4 No amendments to this volume were promulgated during the period January 1, 2003, through January 1, 2004. The CFR volume issued as of January 1, 2002 should be retained. 5 No amendments to this volume were promulgated during the period April 1, 2000, through April 1, 2003. The CFR volume issued as of April 1, 2000 should be retained. 6 No amendments to this volume were promulgated during the period July 1, 2000, through July 1, 2003. The CFR volume issued as of July 1, 2000 should be retained. 7 No amendments to this volume were promulgated during the period July 1, 2002, through July 1, 2003. The CFR volume issued as of July 1, 2002 should be retained. 8 No amendments to this volume were promulgated during the period July 1, 2001, through July 1, 2003. The CFR volume issued as of July 1, 2001 should be retained. 9 No amendments to this volume were promulgated during the period October 1, 2001, through October 1, 2003. The CFR volume issued as of October 1, 2001 should be retained.

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