o.6 No.236 Pages 68931±69164 Vol. 64 12±9±99 eDt 9OT9 74 e 8 99Jt100 O000Fm001Ft41 ft41 :F\M0DW.X fm7PsN:09DEWS pfrm07 E:\FR\FM\09DEWS.XXX Sfmt4710 Fmt4710 Frm00001 PO00000 Jkt190000 17:42Dec08, 1999 VerDate 29-OCT-99 federal register December 9,1999 Thursday 1 II Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999

The FEDERAL REGISTER is published daily, Monday through SUBSCRIPTIONS AND COPIES Friday, except official holidays, by the Office of the Federal Register, National Archives and Records Administration, PUBLIC Washington, DC 20408, under the Federal Register Act (44 U.S.C. Subscriptions: Ch. 15) and the regulations of the Administrative Committee of Paper or fiche 202–512–1800 the Federal Register (1 CFR Ch. I). The Superintendent of Assistance with public subscriptions 512–1806 Documents, U.S. Government Printing Office, Washington, DC 20402 is the exclusive distributor of the official edition. General online information 202–512–1530; 1–888–293–6498 Single copies/back copies: The Federal Register provides a uniform system for making available to the public regulations and legal notices issued by Paper or fiche 512–1800 Federal agencies. These include Presidential proclamations and Assistance with public single copies 512–1803 Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Paper or fiche 523–5243 Assistance with Federal agency subscriptions 523–5243 Documents are on file for public inspection in the Office of the Federal Register the day before they are published, unless the issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see http://www.nara.gov/ fedreg. The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication established under the Federal Register Act. Under 44 U.S.C. 1507, the contents of the Federal Register shall be judicially noticed. The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge as one of the databases on GPO Access, a service of the U.S. Government Printing Office. The online edition of the Federal Register is issued under the authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6 a.m. each day the Federal Register is published and it includes both text and graphics from Volume 59, Number 1 (January 2, 1994) forward. GPO Access users can choose to retrieve online Federal Register documents as TEXT (ASCII text, graphics omitted), PDF (Adobe Portable Document Format, including full text and all graphics), or SUMMARY (abbreviated text) files. Users should carefully check retrieved material to ensure that documents were properly downloaded. On the World Wide Web, connect to the Federal Register at http:/ /www.access.gpo.gov/nara. Those without World Wide Web access can also connect with a local WAIS client, by Telnet to swais.access.gpo.gov, or by dialing (202) 512-1661 with a computer and modem. When using Telnet or modem, type swais, then log in as guest with no password. For more information about GPO Access, contact the GPO Access User Support Team by E-mail at [email protected]; by fax at (202) 512–1262; or call (202) 512–1530 or 1–888–293–6498 (toll free) between 7 a.m. and 5 p.m. Eastern time, Monday–Friday, except Federal holidays. The annual subscription price for the Federal Register paper edition is $555, or $607 for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $220. Six month subscriptions are available for one-half the annual rate. The charge for individual copies in paper form is $8.00 for each issue, or $8.00 for each group of pages as actually bound; or $1.50 for each issue in microfiche form. All prices include regular domestic postage and handling. International customers please add 25% for foreign handling. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard or Discover. Mail to: New Orders, Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250–7954. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 64 FR 12345.

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2 III

Contents Federal Register Vol. 64, No. 236

Thursday, December 9, 1999

Agriculture Department Vocational and adult education— See Animal and Plant Health Inspection Service English Literacy and Civics Education demonstration See Farm Service Agency grants program; technical assistance workshops, See Forest Service 69149–69150 See Natural Resources Conservation Service English Literacy and Civics Education field readers, 69150–69151 Air Force Department NOTICES Employment and Training Administration Meetings: NOTICES Scientific Advisory Board, 69004–69005 Adjustment assistance: ABB Vetco Gray, Inc., 69037–69038 Animal and Plant Health Inspection Service Acordis Callulosic Fibers Co., et al., 69038–69039 NOTICES Acorn Products Co., Inc., 69039 Exportation and importation of animals and animal Arrow Ace Die Cutting Co., Inc., 69039 products: Brunswick Bicycles et al., 69039–69040 Honeybees and honeybee germ plasm from New Zealand, D & E Wood Products, Inc., 69040–69041 68984 Grand Rapids Die Cast, 69041 Keepshapes, Inc., 69041 Army Department Kimberly-Clark Corp., 69041 NOTICES Lear Corp., 69041 Environmental statements; availability, etc.: Majestic Shapes, Inc., 69041–69042 Fort Buchanan, PR, 69005 Metric Products Inc. et al., 69042–69043 Privacy Act: Ponder Industries, Inc., et al., 69043 Systems of records, 69005 Portland General Electric Co., 69043 Ref-Chem Corp., 69043 Commerce Department Sterling Diagnostic Imaging, 69043 See Export Administration Bureau Adjustment assistance and NAFTA transitional adjustment See International Trade Administration assistance See National Institute of Standards and Technology Carhartt, Inc., 69036 See National Oceanic and Atmospheric Administration D & E Wood Products, Inc., 69036–69037 Kimberly-Clark Corp., 69037 Committee for the Implementation of Textile Agreements Russell Corp., 69037 NOTICES Walls Industries, Inc., 69037 Cotton, wool, and man-made textiles: Cambodia, 69004 Energy Department See Federal Energy Regulatory Commission Comptroller of the Currency See Western Area Power Administration NOTICES Applications, hearings, determinations, etc.: Environmental Protection Agency First Tennessee Bank, N.A., 69072–69073 PROPOSED RULES Hazardous waste: Defense Department Identification and listing— See Air Force Department Exclusions, 68968–68973 See Army Department NOTICES Water pollution control: Education Department State water quality standards; approval and disapproval RULES lists and individual control strategies; availability Special education and rehabilitative services: Illinois, 69019–69020 Children with disabilities— Personnel Preparation Program To Improve Services Executive Office of the President and Results for Children with Disabilities, 69137– See Presidential Documents 69147 NOTICES Export Administration Bureau Agency information collection activities: NOTICES Proposed collection; comment request, 69005–69006 Export privileges; actions affecting: Submission for OMB review; comment request, 69006– Macosia International, 68994–68995 69007 Grants and cooperative agreements; availability, etc.: Farm Service Agency National Institute on Disability and Rehabilitation NOTICES Research— Agency information collection activities: Model Spinal Cord Injury Centers, 69153–69158 Proposed collection; comment request, 68984–68985

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Federal Aviation Administration Federal Maritime Commission RULES NOTICES Class E airspace, 68931–68932 Freight forwarder licenses: PROPOSED RULES Arrow Worldwide Logistics, Inc., 69020 Airworthiness directives: British Aerospace, 68956–68958 Federal Reserve System Dassault, 68963–68965 NOTICES Israel Aircraft Industries, Ltd., 68959–68960 Banks and bank holding companies: Lockheed, 68960–68963 Change in bank control, 69020–69021 NOTICES Formations, acquisitions, and mergers, 69021 Advisory circulars; availability, etc.: Damage tolerances for high energy turbine engine rotors, Fish and Wildlife Service 69064 PROPOSED RULES Marine mammals: Incidental taking— Federal Communications Commission Beaufort Sea et al., AK; oil and gas industry operations; RULES polar bears and Pacific walruses, 68973–68983 Practice and procedure: NOTICES Ex parte rules, 68946–68949 Environmental statements; availability, etc.: Incidental take permits— San Luis Obispo County, CA; Morro shoulderband Federal Deposit Insurance Corporation snail, 69022–69023 NOTICES Agency information collection activities: Forest Service Submission for OMB review; comment request NOTICES Correction, 69074 Committees; establishment, renewal, termination, etc.: Lake Tahoe Basin Federal Advisory Committee, 68985 Federal Election Commission Environmental statements; availability, etc.: PROPOSED RULES Malheur National Forest, OR, 68985–68987 Contirbution and expenditure limitations and prohibitions: Health and Human Services Department Independent expenditures and party committee See Health Care Financing Administration expenditure limitations, 68951–68956 NOTICES Health Care Financing Administration Meetings; Sunshine Act, 69020 NOTICES Agency information collection activities: Federal Energy Regulatory Commission Proposed collection; comment request, 69021–69022 NOTICES Environmental statements; availability, etc.: Immigration and Naturalization Service Duke Energy Corp., 69016 NOTICES Hydroelectric applications, 69016–69018 Immigration: Practice and procedure: Direct mail program— Off-the-record communications, 69018 Armed services personnel; naturalization based on Applications, hearings, determinations, etc.: qualifying military service;application processing; ANR Pipeline Co., 69007 correction, 69074 Colorado Interstate Gas Co., 69007 Interior Department Columbia Gas Transmission Corp., 69007–69008 See Fish and Wildlife Service Columbia Gulf Transmission Co., 69008 See Land Management Bureau Coral Mexico Pipeline, LLC, 69008–69009 See Minerals Management Service East Tennessee Natural Gas Co., 69009 See National Park Service Florida Gas Transmission Co., 69009 See Reclamation Bureau Great Lakes Gas Transmission Limited Partnership, 69009–69010 International Development Cooperation Agency Iroquois Gas Transmission System, L.P., 69010 See Overseas Private Investment Corporation KN Interstate Gas Transmission Co., 69010 KN Wattenberg Transmission LLC, 69010–69011 International Trade Administration Midwestern Gas Transmission Co., 69011 NOTICES North American Electric Reliability Council, 69011 Antidumping: Northern Border Pipeline Co., 69011 Carbon steel wire rope from— PG & E Gas Transmission Teco, Inc., 69012 Mexico, 68995 PJM Interconnection L.L.C., 69012 Circular welded non-alloy steel pipe and tube from— Questar Pipeline Co., 69012 Mexico, 68995–68999 Southern Natural Gas Co., 69012–69014 Manganese metal from— Southwest Power Pool, Inc., 69014 China, 68999–69003 TCP Gathering Co., 69014–69015 Tennessee Gas Pipeline Co., 69015 International Trade Commission Williams Gas Pipelines Central, Inc., 69015 NOTICES Williston Basin Interstate Pipeline Co., 69016 Meetings; Sunshine Act, 69035

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Justice Department National Oceanic and Atmospheric Administration See Immigration and Naturalization Service RULES Fishery conservation and management: Labor Department Alaska; fisheries of Exclusive Economic Zone— See Employment and Training Administration Pacific cod, 68949–68950 NOTICES Caribbean, Gulf, and South Atlantic fisheries— Agency information collection activities: Gulf of Mexico reef fish, 68932–68936 Submission for OMB review; comment request, 69035– NOTICES 69036 Permits: Endangered and threatened species, 69003–69004 Land Management Bureau NOTICES National Park Service Coal leases, exploration licenses, etc.: NOTICES New Mexico, 69023 Meetings: Environmental statements; availability, etc.: National Park of American Samoa Federal Advisory Continental Divide/Wamsutter II Natural Gas Project, Commission, 69032 WY, 69023–69024 Meetings: Natural Resources Conservation Service Resource Advisory Councils— NOTICES Southwest, 69024 Reports and guidance documents; availability, etc.: Public land orders: Developing Comprehensive Nutrient Management Plans; Nevada, 69025 technical guidance, 68987–68994 Realty actions; sales, leases, etc.: Nevada, 69025–69026 Nuclear Regulatory Commission Oregon, 69026–69029 NOTICES Recreation management restrictions, etc.: Environmental statements; availability, etc.: Great Divide Ski Area, MT, 69029 GPU Nuclear, Inc., et al., 69046–69047 Regulatory guides; issuance, availability, and withdrawal, Minerals Management Service 69047–69048 Applications, hearings, determinations, etc.: NOTICES Consumers Energy Co., 69045 Outer Continental Shelf operations: McClellan Nuclear Radiation Center, 69045–69046 Notices to lessees and operators; annual list, 69029– 69031 Overseas Private Investment Corporation NOTICES National Aeronautics and Space Administration Privacy Act: NOTICES Systems of records, 69034 Inventions; Government-owned; availability for licensing, 69044 Personnel Management Office Inventions, Government-owned; availability for licensing, RULES 69043–69044 Civil Service Reform Act: Patent licenses; non-exclusive, exclusive, or partially Authority delegations to agencies to take certain actions exclusive: without prior OPM approval; final regulations Advisors International, 69044 Correction, 68931 Associated Technical Management Corporation of Texarkana, TX, 69044–69045 Postal Service PROPOSED RULES National Archives and Records Administration Domestic Mail Manual: RULES SAVE verification procedures and revisions— Records management: Combined postage payment standards; automation Agency records centers; storage standards updates letter mail, 68965–68967 Correction, 68945–68946 Presidential Documents National Highway Traffic Safety Administration PROCLAMATIONS NOTICES Special observances: Motor vehicle safety standards: Human Rights Day, Bill of Rights Day, and Human Rights Nonconforming vehicles— Week (Proc. 7258), 69159–69162 Defect and noncompliance decisions; annual list, Pearl Harbor Remembrance Day, National (Proc. 7259), 69064–69070 69163–69164 Importation eligibility; determinations, 69070–69071 Motor vehicle safety standards; exemption petitions, etc.: Reclamation Bureau W.F. Mickey Body Co., Inc., 69071–69072 NOTICES Central Valley Project Improvement Act: National Institute of Standards and Technology Water transfer provision implementation; guidelines, NOTICES 69032 Agency information collection activities: Privacy Act: Proposed collection; comment request, 69003 Systems of records, 69032–69033

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Securities and Exchange Commission State Department RULES NOTICES Practice and procedure: Grants and cooperative agreements; availability, etc.: Staff accounting bulletins, 68936–68945 Partners in Education Program, 69061–69064 PROPOSED RULES Semi-annual agenda; correction, 69074 Textile Agreements Implementation Committee NOTICES See Committee for the Implementation of Textile Investment Company Act of 1940: Agreements Exemption applications— Jackson National Life Insurance Co., et al., 69048– Transportation Department 69051 See Federal Aviation Administration Privacy Act: See National Highway Traffic Safety Administration Systems of records, 69051–69054 PROPOSED RULES Self-regulatory organizations; proposed rule changes: Workplace drug and alcohol testing programs: Depository Trust Co., 69054–69056 Procedures; revision, 69075–69136

Small Business Administration Treasury Department NOTICES See Comptroller of the Currency Agency information collection activities: Submission for OMB review; comment request, 69056 Western Area Power Administration Disaster loan areas: NOTICES Virgin Islands, 69061 Power marketing plans: Applications, hearings, determinations, etc.: Sierra Nevada Region (2005), 69018–69019 Access Technology Investors, L.P., 69056 ACI Capital America Fund, L.P., 69056 Aspen Ventures, III, L.P., 69056 BancAmerica Capital Investors SBIC II, L.P., 69056–69057 Separate Parts In This Issue Bay Partners L.S. Fund, L.P., 69057 BNY Capital Partners, L.P., 69057 Part II CIVC SBIC Fund, L.L.C., 69057 Department of Transportation, 69075–69136 Convergent Capital Partners I, L.P., 69057 Dotcom Ventures L.P., 69057 Part III Facilitator Capital Fund, L.P., 69057–69058 Department of Education, 69137–69147 Inglewood Ventures, L.P., 69058 LibertyView Equity Partners SBIC, L.P., 69058 Part IV Madison Investment Partners II, L.P., 69058 Department of Education, 69149–69151 Megunticook Fund, L.P., 69058–69059 Needham Capital SBIC II, L.P., 69059 Part V NHBDC Venture Partners, L.P., 69059 Department of Education, 69153–69158 Norwest Equity Partners VII, L.P., 69059 Piper Jaffray Healthcare Fund III, L.P., 69059 Part VI Red Rock Ventures II, L.P., 69059 The President, 69159–69164 RFE VI SBIC, L.P., 69059–69060 Saugatuck Capital Co. Limited Partnership IV, SBIC, 69060 Reader Aids U.S. Bancorp Capital Corp., 69060 Consult the Reader Aids section at the end of this issue for Wolf Venture Fund III, L.P., 69060 phone numbers, online resources, finding aids, reminders, Zero Stage Capital VI, L.P., 69060–69061 and notice of recently enacted public laws.

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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 Proclamations: 7258...... 69161 7259...... 69163 5 CFR 534...... 68931 11 CFR Proposed Rules: 100...... 68951 14 CFR 71 (5 documents) ...... 68931, 68932 Proposed Rules: 39 (4 documents) ...... 68956, 68959, 68960, 68963 15 CFR 902...... 68932 17 CFR 211...... 68936 Proposed Rules: Ch. II ...... 69074 34 CFR 304...... 69138 36 CFR 1228...... 68945 39 CFR Proposed Rules: 111...... 68965 40 CFR Proposed Rules: 260...... 68968 47 CFR 1...... 68946 49 CFR Proposed Rules: 40...... 69076 50 CFR 622...... 68932 679 (2 documents) ...... 68949 Proposed Rules: 18...... 68973

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Rules and Regulations Federal Register Vol. 64, No. 236

Thursday, December 9, 1999

This section of the FEDERAL REGISTER Office of Personnel Management. DEPARTMENT OF TRANSPORTATION contains regulatory documents having general Jacquline D. Carter, applicability and legal effect, most of which Federal Register Liaison Officer. Federal Aviation Administration are keyed to and codified in the Code of [FR Doc. 99–31868 Filed 12–8–99; 8:45 am] Federal Regulations, which is published under 14 CFR part 71 50 titles pursuant to 44 U.S.C. 1510. BILLING CODE 6325±01±U

The Code of Federal Regulations is sold by [Airspace Docket No. 99±ASW±21] the Superintendent of Documents. Prices of DEPARTMENT OF TRANSPORTATION new books are listed in the first FEDERAL Revision of Class E Airspace; REGISTER issue of each week. Federal Aviation Administration Falfurrias, TX.

14 CFR Part 71 AGENCY: Federal Aviation OFFICE OF PERSONNEL [Airspace Docket No. 99±ASW±22] Administration (FAA), DOT. MANAGEMENT ACTION: Direct final rule; confirmation of Revision of Class E Airspace; Corpus 5 CFR Part 534 effective date. Christi, TX Pay Under Other Systems AGENCY: Federal Aviation SUMMARY: this notice confirms the AGENCY: Office of Personnel Administration (FAA), DOT. effective date of a direct final rule which Management. ACTION: Direct final rule; confirmation of revises Class E airspace at Falfurrias, ACTION: Technical amendment. effective date. TX. SUMMARY EFFECTIVE DATE: SUMMARY: This document contains a : This notice confirms the The direct final rule correction to the final regulations, effective date of a direct final rule which published at 64 FR 53898 is effective which were published in the Federal revises Class E airspace at Corpus 0901 UTC, December 30, 1999. Christi, TX. Register of Friday September 21, 1979 FOR FURTHER INFORMATION CONTACT: (44 FR 54689). The regulations provided EFFECTIVE DATES: The direct final rule Donald J. Day, Airspace Branch, Air a general basis for delegation to permit published at 64 FR 53899 is effective agencies to take specific personnel 0901 UTC, December 30, 1999. Traffic Division, Southwest Region, actions without prior approval by the FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration, Fort Office of Personnel Management. Donald J. Day, Airspace Branch, Air Worth, TX 76193–0520, telephone: 817– 222–5593. EFFECTIVE DATE: December 9, 1999. Traffic Division, Southwest Region, Federal Aviation Administration, Fort FOR FURTHER INFORMATION CONTACT: Ron SUPPLEMENTARY INFORMATION: The FAA Worth, TX 76193–0520, telephone: 817– Genua, (202) 606–2858, or FAX (202) published this direct final rule with a 222–5593. 606–0824, or email to request for comments in the Federal SUPPLEMENTARY INFORMATION: [email protected]. The FAA Register on October 5, 1999 (64 FR published this direct final rule with a SUPPLEMENTARY INFORMATION: As 53898). The FAA uses the direct final request for comments in the Federal published, the final regulations rulemaking procedure for a Register on October 5, 1999, (64 FR contained errors in the designation 53899). The FAA uses the direct final noncontroversial rule where the FAA scheme. The correction amends rulemaking procedure for a believes that there will be no adverse § 534.202 by redesignating paragraphs noncontroversial rule where the FAA public comment. This direct final rule (1), (2), and (3) as (a), (b), and (c). believes that there will be no adverse advised the public that no adverse List of Subjects in 5 CFR Part 534 public comment. This direct final rule comments were anticipated, and that unless a written adverse comment, or a Government employees, Hospitals, advised the public that no adverse written notice of intent to submit such Students. comments were anticipated, and that Accordingly, 5 CFR part 534 is unless a written adverse comment, or a an adverse comment, were received corrected by making the following written notice of intent to submit such within the comment period, the correcting amendments. an adverse comment, were received regulation would become effective on within the comment period, the December 30, 1999. No adverse PART 534ÐPAY UNDER OTHER regulation would become effective on comments were received, and, thus, this SYSTEMS December 30, 1999. No adverse action confirms that this direct final rule comments were received, and, thus, this will be effective on that date. 1. The authority citation for part 534 action confirms that this direct final rule Issued in Fort Worth, TX, on December 2, continues to read as follows: will be effective on that date. 1999. Authority: 5 U.S.C. 1104, 5307, 5351, 5352, Issued in Forth Worth, TX, on December 2, Robert N. Stevens, 5353, 5376, 5383, 5384, 5385, 5541, and 1999. 5550a. Acting Manager, Air Traffic Division, Robert N. Stevens, Southwest Region. § 534.202 [Corrected] Acting Manager, Air Traffic Division, [FR Doc. 99–31979 Filed 12–8–99; 8:45 am] 2. In § 534.202 paragraphs (1), (2), and Southwest Region. (3) are redesignated as paragraphs (a), [FR Doc. 99–31980 Filed 12–8–99; 8:45 am] BILLING CODE 4910±13±M (b), and (c), respectively. BILLING CODE 4910±13±M

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DEPARTMENT OF TRANSPORTATION ACTION: Direct final rule; confirmation of Traffic Division, Southwest Region, effective date. Federal Aviation Administration, Fort Federal Aviation Administration Worth, TX 76193–0520, telephone: 817– SUMMARY: This notice confirms the 222–5593. 14 CFR Part 71 effective date of a direct final rule which SUPPLEMENTARY INFORMATION: The FAA revises Class E airspace at Alice, TX. [Airspace Docket No. 99±ASW±18] published this direct final rule with a EFFECTIVE DATE: The direct final rule request for comments in the Federal Revision of Class E Airspace; published at 64 FR 53896 is effective Register on October 5, 1999 (64 FR Georgetown, TX 0901 UTC, December 30, 1999. 53895). The FAA uses the direct final FOR FURTHER INFORMATION CONTACT: rulemaking procedure for a AGENCY: Federal Aviation Donald J. Day, Airspace Branch, Air noncontroversial rule where the FAA Administration (FAA), DOT. Traffic Division, Southwest Region, believes that there will be no adverse ACTION: Direct final rule; confirmation of Federal Aviation Administration, Fort public comment. This direct final rule effective date. Worth, TX 76193–0520, telephone: 817– advised the public that no adverse 232–5593. comments were anticipated, and that SUMMARY: This notice confirms the SUPPLEMENTARY INFORMATION: unless a written adverse comment, or a effective date of a direct final rule which The FAA written notice of intent to submit such revises Class E airspace at Georgetown, published this direct final rule with a an adverse comment, were received TX. request for comments in the Federal Register on October 5, 1999 (64 FR within the comment period, the EFFECTIVE DATE: The direct final rule 53896). The FAA uses the direct final regulation would become effective on published at 64 FR 53894 is effective rulemaking procedure for a December 30, 1999. No adverse 0901 UTC, December 30, 1999. noncontroversial rule where the FAA comments were received, and, thus, this FOR FURTHER INFORMATION CONTACT: believes that there will be no adverse action confirms that this direct final rule Donald J. Day, Airspace Branch, Air public comment. This direct final rule will be effective on that date. Traffic Division, Southwest Region, advised the public that no adverse Issued in Fort Worth, TX on December 2, Federal Aviation Administration, Fort comments were anticipated, and that 1999. Worth, TX 76193–0520, telephone: 817– unless a written adverse comment, or a Robert N. Stevens, 222–5593. written notice of intent to submit such Acting Manager, Air Traffic Division, SUPPLEMENTARY INFORMATION: The FAA an adverse comment, were received Southwest Region. published this direct final rule with a within the comment period, the [FR Doc. 99–31976 Filed 12–8–99; 8:45 am] regulation would become effective on request for comments in the Federal BILLING CODE 4910±13±M Register on October 5, 1999 (64 [FR December 30, 1999. No adverse 53894). The FAA uses the direct final comments were received, and, thus, this action confirms that this direct final rule rulemaking procedure for a DEPARTMENT OF COMMERCE noncontroversial rule where the FAA will be effective on that date. believes that there will be no adverse Issued in Forth, Worth, TX, on December National Oceanic and Atmospheric public comment. This direct final rule 2, 1999. Administration advised the public that no adverse Robert N. Stevens, comments were anticipated, and that Acting Manager, Air Traffic Division, 15 CFR Part 902 unless a written adverse comment, or a Southwest Region. written notice of intent to submit such [FR Doc. 99–31977 Filed 12–8–99; 8:45 am] 50 CFR Part 622 an adverse comment, were received BILLING CODE 4910±13±M [Docket No. 981229328±9249±02; I.D. within the comment period, the 120998C] regulation would become effective on December 30, 1999. No adverse DEPARTMENT OF TRANSPORTATION RIN 0648±AK31 comments were received, and, thus, this action confirms that this direct final rule Federal Aviation Administration Fisheries of the Caribbean, Gulf of will be effective on that date. Mexico, and South Atlantic; Reef Fish 14 CFR Part 71 Fishery of the Gulf of Mexico; Issued in Fort Worth, TX, on December 2, Amendment 16A; OMB Control 1999. [Airspace Docket No. 99±ASW±20] Numbers Robert N. Stevens, Acting Manager, Air Traffic Division, Revision of Class E Airspace; Mineral AGENCY: National Marine Fisheries Southwest Region. Wells, TX Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), [FR Doc. 99–31978 Filed 12–8–99; 8:45 am] AGENCY: Federal Aviation Commerce. BILLING CODE 4910±13±M Administration (FAA), DOT. ACTION: Final rule. ACTION: Direct final rule; confirmation of DEPARTMENT OF TRANSPORTATION effective date. SUMMARY: NMFS issues this final rule to implement the approved measures in SUMMARY: This notice confirms the Federal Aviation Administration Amendment 16A to the Fishery effective date of a direct final rule which Management Plan for the Reef Fish 14 CFR Part 71 revises Class E airspace at Mineral Resources of the Gulf of Mexico (FMP). Wells, TX. This final rule prohibits possession of [Airspace Docket No. 99±ASW±23] EFFECTIVE DATE: The direct final rule reef fish exhibiting trap rash on board a published at 64 FR 53895 is effective Revision of Class E Airspace; Alice, TX vessel that is in the exclusive economic 0901 UTC, December 30, 1999. zone (EEZ) of the Gulf of Mexico and AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: that does not have a valid fish trap Administration (FAA), DOT. Donald J. Day, Airspace Branch, Air endorsement and requires fish trap

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Legal 25°03’ N. lat. after February 7, 2001, has phaseout of the fish trap fishery ending fish traps are required to be tended on been disapproved. Finally, NMFS February 7, 2007, under Amendment 14 each fishing trip, and such practice does informs the public of the approval by (62 FR 13983, March 25, 1997). not allow sufficient time for trap rash to the Office of Management and Budget Amendment 16A proposed a shorter develop. Fish retained briefly in a stone (OMB) of the collection-of-information phaseout period (ending February 7, crab trap or cooler may exhibit minor requirements contained in this rule, 2001) for an area in Federal waters physical irritation resulting from having publishes the OMB control number for south of Cape Sable, FL (25°03’ N. lat.) rubbed against the trap or cooler but do these collections, and corrects the list of at the southernmost point of the Florida not have the serious physical damage control numbers applicable to title 50 of peninsula. NMFS disapproved this referred to as trap rash. the Code of Federal Regulations. The measure based on national standard 7 of Comment 2: Four commenters intended effects of this rule are to the Magnuson-Stevens Act because no supported the accelerated phaseout of enhance enforceability of fish trap conservation benefits were shown, the fish traps south of Cape Sable and measures and to conserve and manage measure would impose an unnecessary objected to the NMFS disapproval of the reef fish resources of the Gulf of burden on fishermen, and the costs do this measure in Amendment 16A. One Mexico. not appear to be justified. Amendment commenter argued that the accelerated DATES: This rule is effective January 10, 16A and subsequent public comment on phaseout measure is consistent with 2000. the proposed rule demonstrate no national standard 7 of the Magnuson- ADDRESSES: Copies of the final overriding conservation benefits from Stevens Act and would result in regulatory flexibility analysis (FRFA) the accelerated phaseout to justify significant conservation benefits and may be obtained from the Southeast overturning the Council’s previous improved enforcement. commitment to a 10-year phaseout. Regional Office, NMFS, 9721 Executive Response: NMFS believes the NMFS previously approved the Center Drive N., St. Petersburg, FL proposed accelerated phaseout of fish elimination of fish traps in the Gulf of 33702. Comments regarding the traps is inconsistent with national Mexico after February 7, 2007, as collection-of-information requirements standard 7 of the Magnuson-Stevens Act contained in this rule should be sent to proposed in Reef Fish Amendment 14. In the proposed rule, NMFS proposed because no conservation benefits were Edward E. Burgess, Southeast Regional a change from the one-time inspection shown, the measure would impose an Office, NMFS, 9721 Executive Center proposed by the Council in Amendment unnecessary burden on fishermen, and Drive N., St. Petersburg, FL 33702, and 16A to an annual inspection. NMFS the costs do not appear to be justified. to the Office of Management and Budget stated in the proposed rule that the need The Council’s Regulatory Impact (OMB), Washington, DC 20503 to monitor compliance in the fishery Review suggests that if the accelerated (Attention: NOAA Desk Officer). justified inspections on an annual basis. area phaseout had been approved, FOR FURTHER INFORMATION CONTACT: Roy After further review, NMFS has substantial increases in fish trapping Crabtree, 727–570–5305. concluded that annual inspections costs due to relocation would have SUPPLEMENTARY INFORMATION: The reef would be overly burdensome on forced some vessels to cease their fish fishery of the Gulf of Mexico is participants in the fishery. fishing operations. The Council did not managed under the FMP. The FMP was Consequently, NMFS revised this final show that other benefits would have prepared by the Gulf of Mexico Fishery rule to require only a one-time accrued to the fishery that would have Management Council (Council) and is inspection that is intended to outweighed the negative costs. implemented under the authority of the accomplish the Council’s objective of Furthermore, Amendment 16A does not Magnuson-Stevens Fishery ensuring that all fish trap gear used in substantiate the Council’s assumption Conservation and Management Act the Gulf of Mexico is in compliance that continued fish trapping in the (Magnuson-Stevens Act) by regulations with fish trap regulations. proposed area would contribute to at 50 CFR part 622. bycatch problems, user group conflicts, On December 18, 1998, NMFS Comments and Responses or illegal trap use in adjacent state announced the availability of NMFS received 6 comments on waters. The document demonstrates no Amendment 16A and requested Amendment 16A and on the proposed overriding conservation benefits from comments on the amendment (63 FR rule, including a minority report from the accelerated phaseout to justify 70093). On March 5, 1999, NMFS two members of the Council. overturning the Council’s previous published a proposed rule to implement Comment 1: A commenter objected to commitment to a 10-year phaseout. the measures in Amendment 16A and the use of trap rash as a diagnostic tool NMFS continues to support the additional measures proposed by NMFS that indicates that a fish was caught in elimination of fish traps in the Gulf of and requested comments on the rule (64 a wire fish trap. This commenter stated Mexico after February 7, 2007, as FR 10613). The background and that fish legally caught with stone crab approved in Reef Fish Amendment 14. rationale for the measures in the pots always have trap rash. Comment 3: Two Council members, amendment and proposed rule, Response: Trap rash is extreme in a minority report, opposed the including a detailed explanation of physical damage to fish involving loss accelerated phaseout of fish traps south inspection and reporting requirements, of body parts (e.g., fins, spines, teeth) of Cape Sable. The report states that this are contained in the preamble to the and cuts, especially to the head, snout measure is a violation of national proposed rule and are not repeated here. or mouth, resulting from prolonged standards 2, 4, 5, 6, 7, and 8 of the On March 18, 1999, after considering retention in wire traps. Physical Magnuson-Stevens Act. The report the comments received on the conditions resulting from brief retention concludes that the measure is arbitrary

VerDate 29-OCT-99 08:32 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\A09DE0.054 pfrm02 PsN: 09DER1 68934 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations and capricious, and recommends trap vessel owners or operators provide regulations, all fish traps are to be disapproval. trip initiation and trip termination phased out over a 10-year period. Three Response: NMFS concurs that this reports and to comply with a vessel/gear alternatives for a different phaseout measure was not adequately justified by inspection requirement. NMFS received period were considered in Amendment the Council for the reasons stated above. several comments during the public 16A: status quo, a 2-year phaseout of all NMFS disapproved this measure based comment period that addressed the fish trapping, and a 2-year phaseout for on national standard 7 of the Magnuson- economic impacts of the proposed the area south of 25°03’ N. lat. NMFS Stevens Act. accelerated phaseout of fish trapping in rejected the Council’s alternative for the the area south of 25°03’ N. lat. These Changes From the Proposed Rule early phaseout of the use of fish traps comments indicated that there would be south of 25°03’ N. lat. because the In § 622.31(c)(2), the proposed increased costs associated with longer associated negative economic impacts language regarding the accelerated transits to alternate fishing grounds and were not adequately justified or offset phaseout of fish traps south of Cape that the proposal would have increased by benefits. Five alternatives were ° Sable, FL (25.05 N. lat.) was removed safety risks. There were also comments considered for a provision regarding the due to the disapproval of that provision. in favor of the Council’s proposal for an possession of reef fish exhibiting trap In § 622.5(a)(1)(ii)(A)(1), the language accelerated phase out, but these rash. The preferred alternative prohibits proposed by NMFS that would have comments did not address issues about possession of reef fish that exhibit trap required an annual vessel/gear economic impacts. In general, NMFS rash on board any vessel not possessing inspection was revised to require only a agrees with the fishermen’s economic a valid fish trap endorsement. If this one-time inspection. This revision was concerns but disagrees with general situation is observed by a law based on NMFS’ subsequent comments supporting the accelerated enforcement officer, it is considered to determination that annual inspections phaseout. NMFS found that the be prima facie evidence that the fish would be unduly burdensome. accelerated phaseout was not supported were taken illegally. Three rejected Classification by information in Amendment 16A, alternatives would have limited the other available information, or by the possession of reef fish to a trip limit to Under NOAA Administrative Order public comments. Hence, the be determined. These three rejected 205–11, 7.01, dated December 17, 1990, accelerated phaseout was disapproved, alternatives had an unknown level of the Under Secretary for Oceans and and that provision was removed from economic impacts because there was no Atmosphere, Department of Commerce, the final rule. There were no substantive final determination of the actual trip has delegated authority to sign material public comments regarding the limits. Another alternative would have for publication in the Federal Register economic impacts of other provisions of provided that a spiny lobster or stone to the Assistant Administrator for the rule. crab vessel that also had a reef fish Fisheries, NOAA (AA). Approximately 86 vessels currently permit could keep the same quantity of The Regional Administrator, have fish trap endorsements. All of Southeast Region, NMFS, with the reef fish as any other permitted reef fish these are small entities, and all will be vessel. That alternative was rejected concurrence of the AA, determined that affected to about the same degree by the the approved measures of Amendment because it would not provide law approved provisions of the rule. enforcement with an adequate means to 16A are necessary for the conservation Existing data indicate that one class of and management of the reef fish fishery address the problem of illegal traps, fish trap vessels reported average annual even if the condition of trap rash was of the Gulf of Mexico and that, with the gross sales of $93,426, average annual evident. Finally, the status quo was exception of the measure that was not income net of variable costs and crew considered and rejected on the basis approved, Amendment 16A is shares of $19,409, and average boat that a solution was needed to the use of consistent with the Magnuson-Stevens resale value of $55,846. Another class of trap rash as an indicator of the use of Act and other applicable law. vessels reported figures of $86,039 illegal traps. Two alternatives to the This final rule has been determined to average gross sales, average annual net proposed provisions for inspection of be not significant for purposes of E.O. income of $21,025, and $48,118 boat the vessels/traps and to the requirement 12866. resale value. NMFS prepared a FRFA for the final This rule contains two provisions that for trip initiation and termination rule implementing Amendment 16A to will require additional reporting and reports were considered and rejected. the FMP. The FRFA was based on the compliance efforts but no additional One alternative was to close the fishery IRFA, public comments, and subsequent recordkeeping. All permitted trap to all fish trapping for one month to analysis by NMFS. A summary of the fishermen will be required to schedule allow time for the inspections of vessels FRFA follows. an appointment with NMFS law and gear. This was rejected because a This rule is needed because reports enforcement and have their vessels and fixed one-month closure was considered that fish trap fishing violations are trap gear inspected by a law unnecessarily burdensome compared to continuing. The objective is to provide enforcement officer. This will take an the preferred alternative that provides for improved monitoring and reporting estimated 2 to 4 hours to comply. In flexibility for scheduling inspections at of trap fishing operations as a means to addition, fishermen will be required to times most convenient and least increase the effectiveness of law provide trip initiation and termination burdensome to the fishermen. The enforcement activities. Amendment 16A reports via a toll free call. Each call will status quo was considered and rejected proposed to prohibit the use of fish take 5 minutes, or a total of 10 minutes because it did not address the trap issue. traps in the EEZ of the Gulf of Mexico per trip. Because the average vessel Copies of the FRFA are available (see south of 25°03’ N. lat. after February 7, takes 29 trips per year, the average ADDRESSES). 2001; to prohibit possession of reef fish annual time burden per vessel is Notwithstanding any other provision exhibiting trap rash (i.e., physical estimated to be 290 minutes or about 5 of law, no person is required to respond injuries characteristic of confinement in hours. to nor shall a person be subject to a wire fish traps) on board a vessel that The Magnuson-Stevens Act provides penalty for failure to comply with a does not have a valid fish trap the legal basis for all the approved collection of information subject to the endorsement; and to require that fish provisions of the rule. Under existing requirements of the PRA unless that

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However, an owner or operator subject to the Paperwork Reduction Act who fails to comply with the inspection (PRA)—namely, a requirement for fish *****requirements during the 1-month trap vessel operators to provide, via toll- 50 CFR inspection period or during any other free telephone calls, trip initiation and random inspection may not use or trip termination reports and a *****possess a fish trap in the Gulf EEZ until requirement for fish trap owners/ 622.5 ±0392 the required inspection or reinspection, operators to schedule, via telephone as directed by the SAC, has been call, an appointment with NMFS *****completed and all fish trap gear, enforcement to allow inspection of fish permits, and vessels are determined to trap gear, fish trap permits and tags, and 50 CFR CHAPTER VI be in compliance with all applicable vessels. These requirements have been regulations. PART 622ÐFISHERIES OF THE approved by OMB under OMB control (2) Trip reports. For each fishing trip CARIBBEAN, GULF, AND SOUTH number 0648–0392. The public on which a fish trap will be used or ATLANTIC reporting burdens for the telephone possessed, an owner or operator of a calls for the trip initiation and 3. The authority citation for part 622 vessel for which a fish trap endorsement termination reports, and for scheduling continues to read as follows: has been issued, as required under § 622.4(a)(2)(i), must submit a trip the fish trap inspection are estimated at Authority: 16 U.S.C. 1801 et seq. 5 minutes each per response, including initiation report and a trip termination the time for reviewing instructions, 4. In § 622.5, paragraph (a)(1)(ii)(B) is report to the SAC or his designee, by searching existing data sources, added and reserved, and paragraph telephone, using the following 24–hour gathering and maintaining the data (a)(1)(ii)(A) is added to read as follows: toll-free number—800–305–0697. needed, and completing and reviewing § 622.5 Recordkeeping and reporting. (i) Trip initiation report. The trip the collections of information. Send initiation report must be submitted * * * * * comments regarding these burden before beginning the trip and must (a) * * * include: vessel name; official number; estimates or any other aspects of the (1) * * * number of traps to be deployed; collections of information, including (ii) * * * suggestions for reducing the burden, to (A) Fish traps. In addition to the other sequence of trap tag numbers; date, NMFS and OMB (see ADDRESSES). reporting requirements in paragraph time, and point of departure; and intended time and date of trip List of Subjects (a)(1)(ii) of this section, the owner or operator of a vessel for which a fish trap termination. (ii) Trip termination report. The trip 15 CFR Part 902 endorsement has been issued, as termination report must be submitted Reporting and recordkeeping required under § 622.4(a)(2)(i), must immediately upon returning to port and requirements. comply with the following prior to any offloading of catch or fish requirements. 50 CFR Part 622 (1) Inspection. The RA will establish traps. The trip termination report must Fisheries, Fishing, Puerto Rico, a 1-month period for mandatory include: vessel name; official number; Reporting and recordkeeping inspection of all fish trap gear, permits, name and address of dealer where catch requirements, Virgin Islands. and vessels. The RA will provide will be offloaded and sold; the time Dated: December 2, 1999. written notification of the inspection offloading will begin; notification of any Andrew A. Rosenberg, period to each owner of a vessel for lost traps; and notification of any traps left deployed for any reason. Deputy Assistant Administrator for Fisheries, which a fish trap endorsement has been (B) [Reserved] National Marine Fisheries Service. issued as required under § 622.4(a)(2)(i). For the reasons set out in the Each such owner or operator must * * * * * preamble, 15 CFR part 902 and 50 CFR contact the Special Agent-in-Charge, 4. In § 622.7, paragraph (d) is revised part 622 are amended as follows: NMFS, Office of Enforcement, Southeast to read as follows: Region, St. Petersburg, FL (SAC) or his 15 CFR CHAPTER IX § 622.7 Prohibitions. designee by telephone (727–570–5344) * * * * * PART 902ÐNOAA INFORMATION to schedule an inspection during the 1- (d) Falsify or fail to maintain, submit, COLLECTION REQUIREMENTS UNDER month period. Requests for inspection or provide information or fail to comply THE PAPERWORK REDUCTION ACT: must be made between 8:00 a.m. and with inspection requirements or OMB CONTROL NUMBERS 4:30 p.m. Monday through Friday and restrictions, as specified in § 622.5(a) must be made at least 72 hours in through (f). 1. The authority citation for part 902 advance of the desired inspection date. continues to read as follows: * * * * * Inspections will be conducted Monday 5. In § 622.41, paragraph (i) is added Authority: 44 U.S.C. 3501 et seq. through Friday between 8:00 a.m. and to read as follows: 2. In § 902.1, the table in paragraph 4:30 p.m. only. On the inspection date, § 622.41 Species specific limitations. (b), under 50 CFR, is amended by the owner or operator must make all fish adding the following entry in numerical trap gear with attached trap tags and * * * * * order to read as follows: buoys and all applicable permits (i) Gulf reef fish exhibiting trap rash. available for inspection on land. Vessels Gulf reef fish in or from the Gulf EEZ § 902.1 OMB control numbers assigned must also be made available for that exhibit trap rash may be possessed pursuant to the Paperwork Reduction Act. inspection as directed by the SAC or his on board a vessel only if that vessel has * * * * * designee. Upon completion of the a valid fish trap endorsement, as (b) * * * inspection and a determination that all required under § 622.4(a)(2)(i), on board.

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Possession of such fish on board a and the Office of the Chief Accountant No. 88–18, Sales of Future Revenues, vessel without a valid fish trap in administering the disclosure No. 91–9, Revenue and Expense endorsement is prima facie evidence of requirements of the Federal securities Recognition for Freight Services in illegal trap use and is prohibited. For laws. Process, No. 95–1, Revenue Recognition the purpose of this paragraph, trap rash Dated: December 3, 1999 on Sales with a Guaranteed Minimum is defined as physical damage to fish Jonathan G. Katz, Resale Value, and No. 95–4, Revenue Recognition on Equipment Sold and that characteristically results from Secretary. contact with wire fish traps. Such Subsequently Repurchased Subject to damage includes, but is not limited to, PART 211Ð[AMENDED] an Operating Lease; and FASB broken fin spines, fin rays, or teeth; Statement of Financial Accounting visually obvious loss of scales; and cuts Subpart B Concepts (SFAC) No. 5, Recognition and or abrasions on the body of the fish, Measurement in Financial Statements of particularly on the head, snout, or Accordingly, Part 211 of Title 17 of Business Enterprises.1 If a transaction is mouth. the Code of Federal Regulations is within the scope of specific amended by adding Staff Accounting [FR Doc. 99–31969 Filed 12–8–99; 8:45 am] authoritative literature that provides Bulletin No. 101 to the table found in BILLING CODE 3510±22±F revenue recognition guidance, that Subpart B. literature should be applied. However, Staff Accounting Bulletin No. 101 in the absence of authoritative literature addressing a specific arrangement or a SECURITIES AND EXCHANGE [The text of Staff Accounting Bulletin No. COMMISSION specific industry, the staff will consider 101 will not appear in the CFR.] the existing authoritative accounting The staff hereby adds new major 17 CFR Part 211 standards as well as the broad revenue Topic 13, ‘‘Revenue Recognition,’’ and recognition criteria specified in the [Release No. SAB 101] Topic 13–A, ‘‘Views on Selected FASB’s conceptual framework that Revenue Recognition Issues,’’ to the contain basic guidelines for revenue Staff Accounting Bulletin No. 101 Staff Accounting Bulletin Series. Topic recognition. AGENCY: Securities and Exchange 13–A provides the staff’s views in Based on these guidelines, revenue Commission. applying generally accepted accounting should not be recognized until it is principles to selected revenue 2 ACTION: realized or realizable and earned. SFAC Publication of Staff Accounting recognition issues. In addition, the staff Bulletin. No. 5, paragraph 83(b) states that ‘‘an hereby revises Topic 8–A to conform to entity’s revenue-earning activities SUMMARY: This staff accounting bulletin FASB Statement No. 13, Accounting for involve delivering or producing goods, summarizes certain of the staff’s views Leases. rendering services, or other activities in applying generally accepted Topic 13: Revenue Recognition that constitute its ongoing major or accounting principles to revenue central operations, and revenues are recognition in financial statements. The A. Selected Revenue Recognition Issues considered to have been earned when staff is providing this guidance due, in 1. Revenue Recognition—General the entity has substantially part, to the large number of revenue The accounting literature on revenue accomplished what it must do to be recognition issues that registrants recognition includes both broad entitled to the benefits represented by encounter. For example, a March 1999 conceptual discussions as well as the revenues’’ [footnote reference report entitled Fraudulent Financial certain industry-specific guidance. omitted]. Paragraph 84(a) continues ‘‘the Reporting: 1987–1997 An Analysis of U. Examples of existing literature on two conditions (being realized or S. Public Companies, sponsored by the revenue recognition include Financial realizable and being earned) are usually Committee of Sponsoring Organizations Accounting Standards Board (FASB) met by the time product or merchandise (COSO) of the Treadway Commission, Statements of Financial Accounting is delivered or services are rendered to indicated that over half of financial Standards (SFAS) No. 13, Accounting customers, and revenues from reporting frauds in the study involved for Leases, No. 45, Accounting for manufacturing and selling activities and overstating revenue. Franchise Fee Revenue, No. 48, Revenue gains and losses from sales of other EFFECTIVE DATES: December 3, 1999. Recognition When Right of Return assets are commonly recognized at time FOR FURTHER INFORMATION CONTACT: Exists, No. 49, Accounting for Product of sale (usually meaning delivery)’’ Richard Rodgers, Scott Taub, or Eric Financing Arrangements, No. 50, [footnote reference omitted]. In Jacobsen, Professional Accounting Financial Reporting in the Record and addition, paragraph 84(d) states that ‘‘If Fellows (202/942–4400) or Robert Music Industry, No. 51, Financial services are rendered or rights to use Bayless, Division of Corporation Reporting by Cable Television assets extend continuously over time Finance (202/942–2960), Securities and Companies, and No. 66, Accounting for (for example, interest or rent), reliable Exchange Commission, 450 Fifth Street, Sales of Real Estate; Accounting measures based on contractual prices NW, Washington, DC 20549; electronic Principles Board (APB) Opinion No. 10, addresses: [email protected]; 1 In February 1999, the AICPA published a Omnibus Opinion—1966; Accounting booklet entitled ‘‘Audit Issues in Revenue [email protected]; [email protected]; Research Bulletin (ARB) Nos. 43 Recognition.’’ This booklet provides an overview of [email protected]. (Chapter 1a) and 45, Long-Term the current authoritative accounting literature and SUPPLEMENTARY INFORMATION: The Construction-Type Contracts; American auditing procedures for revenue recognition and identifies indicators of improper revenue statements in the staff accounting Institute of Certified Public Accountants recognition. bulletins are not rules or interpretations (AICPA) Statements of Position (SOP) 2 SFAC No. 5, ¶ 83–84; ARB No. 43, Chapter 1A, of the Commission, nor are they No. 81–1, Accounting for Performance ¶ 1; APB Opinion No. 10, ¶ 12. The citations published as bearing the Commission’s of Construction-Type and Certain provided herein are not intended to present the complete population of citations where a particular official approval. They represent Production-Type Contracts, and No. 97– criterion is relevant. Rather, the citations are interpretations and practices followed 2, Software Revenue Recognition; intended to provide the reader with additional by the Division of Corporation Finance Emerging Issues Task Force (EITF) Issue reference material.

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Customer Beta’s appropriate policies, procedures, and recognized as earned as time passes.’’ purchasing department has orally internal controls exist and are properly The staff believes that revenue agreed to the sale and stated that it is documented so as to provide reasonable generally is realized or realizable and highly likely that the contract will be assurances that sales transactions, earned when all of the following criteria approved the first week of Company A’s including those affected by side are met: next fiscal quarter. agreements, are properly accounted for • Persuasive evidence of an Question: May Company A recognize in accordance with generally accepted 3 arrangement exists, the revenue in the current fiscal quarter accounting principles and to ensure • Delivery has occurred or services for the sale of the product to Customer 4 compliance with Section 13 of the have been rendered, Beta when (1) the product is delivered Securities Exchange Act of 1934 (i.e., • The seller’s price to the buyer is by the end of its current fiscal quarter the Foreign Corrupt Practices Act). Side fixed or determinable,5 and and (2) the final written sales agreement • agreements could include cancellation, Collectibility is reasonably is executed by Customer Beta’s assured.6 termination, or other provisions that authorized representative within a few affect revenue recognition. The 2. Persuasive Evidence of an days after the end of the current fiscal existence of a subsequently executed Arrangement quarter? side agreement may be an indicator that Interpretive Response: No. Generally the original agreement was not final and Question 1 the staff believes that, in view of revenue recognition was not Facts: Company A has product Company A’s business practice of appropriate. available to ship to customers prior to requiring a written sales agreement for the end of its current fiscal quarter. this class of customer, persuasive Question 2 Customer Beta places an order for the evidence of an arrangement would product, and Company A delivers the require a final agreement that has been Facts: Company Z enters into an product prior to the end of its current executed by the properly authorized arrangement with Customer A to deliver fiscal quarter. Company A’s normal and personnel of the customer. In the staff’s Company Z’s products to Customer A customary business practice for this view, Customer Beta’s execution of the on a consignment basis. Pursuant to the class of customer is to enter into a sales agreement after the end of the terms of the arrangement, Customer A is written sales agreement that requires the quarter causes the transaction to be a consignee, and title to the products signatures of the authorized considered a transaction of the does not pass from Company Z to representatives of the Company and its subsequent period.7 Further, if an Customer A until Customer A consumes customer to be binding. Company A arrangement is subject to subsequent the products in its operations. Company prepares a written sales agreement, and approval (e.g., by the management Z delivers product to Customer A under its authorized representative signs the committee or board of directors) or the terms of their arrangement. agreement before the end of the quarter. execution of another agreement, revenue Question: May Company Z recognize However, Customer Beta does not sign recognition would be inappropriate revenue upon delivery of its product to the agreement because Customer Beta is until that subsequent approval or Customer A? agreement is complete. 3 SFAC No. 2, Qualitative Characteristics of Customary business practices and Interpretive Response: No. Products Accounting Information, ¶ 63 states processes for documenting sales delivered to a consignee pursuant to a ‘‘Representational faithfulness is correspondence or consignment arrangement are not sales agreement between a measure or description and transactions vary among companies and the phenomenon it purports to represent.’’ The staff industries. Business practices and and do not qualify for revenue believes that evidence of an exchange arrangement processes may also vary within recognition until a sale occurs. The staff must exist to determine if the accounting treatment individual companies (e.g., based on the believes that revenue recognition is not represents faithfully the transaction. See also SOP appropriate because the seller retains 97–2, ¶ 8. The use of the term ‘‘arrangement’’ in this class of customer, nature of product or Staff Accounting Bulletin is meant to identify the service, or other distinguishable factors). the risks and rewards of ownership of final understanding between the parties as to the If a company does not have a standard the product and title usually does not specific nature and terms of the agreed-upon or customary business practice of pass to the consignee. transaction. 4 SFAC No. 5, ¶ 84(a), (b), and (d). Revenue relying on written contracts to Other situations may exist where title should not be recognized until the seller has document a sales arrangement, it to delivered products passes to a buyer, substantially accomplished what it must do usually would be expected to have other but the substance of the transaction is pursuant to the terms of the arrangement, which forms of written or electronic evidence that of a consignment or a financing. usually occurs upon delivery or performance of the services. to document the transaction. For Such arrangements require a careful 5 SFAC No. 5, ¶ 83(a); SFAS No. 48, ¶ 6(a); SOP example, a company may not use analysis of the facts and circumstances 97–2, ¶ 8. SOP 97–2 defines a ‘‘fixed fee’’ as a ‘‘fee written contracts but instead may rely of the transaction, as well as an required to be paid at a set amount that is not on binding purchase orders from third understanding of the rights and subject to refund or adjustment. A fixed fee includes amounts designated as minimum parties or on-line authorizations that obligations of the parties, and the royalties.’’ Paragraphs 26–33 of SOP 97–2 discuss include the terms of the sale and that seller’s customary business practices in how to apply the fixed or determinable fee criterion are binding on the customer. In that such arrangements. The staff believes in software transactions. The staff believes that the situation, that documentation could that the presence of one or more of the guidance in paragraphs 26 and 30–33 is appropriate for other sales transactions where authoritative represent persuasive evidence of an following characteristics in a transaction guidance does not otherwise exist. The staff notes arrangement. precludes revenue recognition even if that paragraphs 27 through 29 specifically consider The staff is aware that sometimes a title to the product has passed to the software transactions, however, the staff believes customer and seller enter into ‘‘side’’ buyer: that guidance should be considered in other sales agreements to a master contract that transactions in which the risk of technological 1. The buyer has the right to return obsolescence is high. effectively amend the master contract. the product and: 6 ARB No. 43, Chapter 1A, ¶ 1 and APB Opinion No. 10, ¶ 12. See also SFAC No. 5, ¶ 84(g) and SOP 7 AICPA, Codification of Statements on Auditing (a) the buyer does not pay the seller 97–2, ¶ 8. Standards (AU) § 560.05, Subsequent Events. at the time of sale, and the buyer is not

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The risks of ownership must have the buyer resells the product or Value, and does not qualify for sales- passed to the buyer; subsequently consumes or uses the type lease accounting. 2. The customer must have made a product,9 4. The product is delivered for fixed commitment to purchase the (c) the buyer’s obligation to the seller demonstration purposes.15 goods, preferably in written would be changed (e.g., the seller would This list is not meant to be a checklist documentation; forgive the obligation or grant a refund) of all characteristics of a consignment or 3. The buyer, not the seller, must in the event of theft or physical a financing arrangement, and other request that the transaction be on a bill destruction or damage of the product,10 characteristics may exist. Accordingly, and hold basis.17 The buyer must have (d) the buyer acquiring the product for the staff believes that judgment is a substantial business purpose for resale does not have economic necessary in assessing whether the ordering the goods on a bill and hold substance apart from that provided by substance of a transaction is a basis; 11 the seller, or consignment, a financing, or other 4. There must be a fixed schedule for (e) the seller has significant arrangement for which revenue delivery of the goods. The date for obligations for future performance to recognition is not appropriate. If title to delivery must be reasonable and must directly bring about resale of the the goods has passed but the substance be consistent with the buyer’s business product by the buyer.12 purpose (e.g., storage periods are 2. The seller is required to repurchase of the arrangement is not a sale, the consigned inventory should be reported customary in the industry); the product (or a substantially identical 5. The seller must not have retained product or processed goods of which the separately from other inventory in the consignor’s financial statements as any specific performance obligations product is a component) at specified such that the earning process is not prices that are not subject to change ‘‘inventory consigned to others’’ or another appropriate caption. complete; except for fluctuations due to finance 6. The ordered goods must have been and holding costs,13 and the amounts to 3. Delivery and Performance segregated from the seller’s inventory be paid by the seller will be adjusted, as Question 3 and not be subject to being used to fill necessary, to cover substantially all other orders; and fluctuations in costs incurred by the Facts: Company A receives purchase 7. The equipment [product] must be buyer in purchasing and holding the orders for products it manufactures. At complete and ready for shipment. product (including interest).14 The staff the end of its fiscal quarters, customers The above listed conditions are the believes that indicators of the latter may not yet be ready to take delivery of important conceptual criteria which condition include: the products for various reasons. These should be used in evaluating any (a) the seller provides interest-free or reasons may include, but are not limited purported bill and hold sale. This listing significantly below market financing to to, a lack of available space for is not intended as a checklist. In some the buyer beyond the seller’s customary inventory, having more than sufficient circumstances, a transaction may meet sales terms and until the products are inventory in their distribution channel, all factors listed above but not meet the resold, or delays in customers’ production requirements for revenue recognition. (b) the seller pays interest costs on schedules. The Commission also has noted that in behalf of the buyer under a third-party Questions: May Company A recognize applying the above criteria to a financing arrangement, or revenue for the sale of its products once purported bill and hold sale, the (c) the seller has a practice of it has completed manufacturing if it individuals responsible for the refunding (or intends to refund) a segregates the inventory of the products preparation and filing of financial portion of the original sales price in its own warehouse from its own statements also should consider the representative of interest expense for the products? following factors:18 May Company A recognize revenue 1. The date by which the seller 8 SFAS No. 48, ¶ 6(b) and 22. for the sale if it ships the products to a expects payment, and whether the seller 9 SFAS No. 48, ¶ 6(b) and 22. The arrangement may not specify that payment is contingent upon third-party warehouse but (1) Company has modified its normal billing and subsequent resale or consumption. However, if the A retains title to the product and (2) credit terms for this buyer;19 seller has an established business practice payment by the customer is dependent permitting customers to defer payment beyond the upon ultimate delivery to a customer- 16 See In the Matter of Stewart Parness, specified due date(s) until the products are resold specified site? Accounting and Auditing Enforcement (AAER) or consumed, then the staff believes that the seller’s Release No. 108 (August 5, 1986); SEC v. Bollinger right to receive cash representing the sales price is Interpretative Response: Generally, Industries, Inc., et al, Lit. Rel. No. 15093 (September contingent. no. The staff believes that delivery 30, 1996); In the Matter of Laser Photonics, Inc., 10 SFAS No. 48, ¶ 6(c). generally is not considered to have AAER No. 971 (September 30, 1997); In the Matter 11 SFAS No. 48, ¶ 6(d). occurred unless the customer has taken of Cypress Bioscience Inc., AAER No. 817 12 12 SFAS No. 48, ¶ 6(e). title and assumed the risks and rewards (September 19, 1996). Also see SFAC No. 5, ¶ 84(a). 13 SFAS No. 49, ¶ 5(a). Paragraph 5(a) provides and SOP 97–2, ¶ 22. examples of circumstances that meet this of ownership of the products specified 17 Such requests typically should be set forth in requirement. As discussed further therein, this in the customer’s purchase order or writing by the buyer. condition is present if (a) a resale price guarantee sales agreement. Typically this occurs 18 See Note 16, supra. exists, (b) the seller has an option to purchase the when a product is delivered to the 19 Such individuals should consider whether APB product, the economic effect of which compels the customer’s delivery site (if the terms of Opinion No. 21, Interest on Receivables and seller to purchase the product, or (c) the buyer has Payables, pertaining to the need for discounting the an option whereby it can require the seller to the sale are ‘‘FOB destination’’) or when related receivable, is applicable. APB Opinion No. purchase the product. 21, ¶ 3(a), indicates that the requirements of that 14 SFAS No. 49, ¶ 5(b). 15 See SOP 97–2, ¶ 25. Opinion to record receivables at a discounted value

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2. The seller’s past experiences with A seller should substantially complete collects a cash deposit from the and pattern of bill and hold or fulfill the terms specified in the customer. Although Company R may set transactions; arrangement in order for delivery or a time period within which the 3. Whether the buyer has the expected performance to have occurred.22 When customer must finalize the purchase, risk of loss in the event of a decline in applying the substantially complete Company R does not require the the market value of goods; notion, the staff believes that only customer to enter into an installment 4. Whether the seller’s custodial risks inconsequential or perfunctory actions note or other fixed payment are insurable and insured; may remain incomplete such that the commitment or agreement when the 5. Whether extended procedures are failure to complete the actions would initial deposit is received. The necessary in order to assure that there not result in the customer receiving a merchandise generally is not released to are no exceptions to the buyer’s refund or rejecting the delivered the customer until the customer pays commitment to accept and pay for the products or services performed to date. the full purchase price. In the event that goods sold (i.e., that the business In addition, the seller should have a the customer fails to pay the remaining reasons for the bill and hold have not demonstrated history of completing the purchase price, the customer forfeits its introduced a contingency to the buyer’s remaining tasks in a timely manner and cash deposit. In the event the commitment). reliably estimating the remaining costs. merchandise is lost, damaged, or Delivery generally is not considered If revenue is recognized upon destroyed, Company R either must to have occurred unless the product has substantial completion of the refund the cash deposit to the customer been delivered to the customer’s place arrangement, all remaining costs of or provide replacement merchandise. Question: In the staff’s view, when of business or another site specified by performance or delivery should be may Company R recognize revenue for the customer. If the customer specifies accrued. If an arrangement (i.e., outside the merchandise sold under its layaway an intermediate site but a substantial scope of SOP 81–1) requires the delivery program? portion of the sales price is not payable or performance of multiple deliverables, Interpretive Response: Provided that until delivery is made to a final site, or ‘‘elements,’’ the delivery of an the other criteria for revenue recognition then revenue should not be recognized individual element is considered not to are met, the staff believes that Company until final delivery has occurred.20 have occurred if there are undelivered R should recognize revenue from sales After delivery of a product or elements that are essential to the made under its layaway program upon performance of a service, if uncertainty functionality of the delivered element delivery of the merchandise to the exists about customer acceptance, because the customer does not have the customer. Until then, the amount of revenue should not be recognized until 23 cash received should be recognized as a 21 full use of the delivered element. acceptance occurs. Customer In licensing and similar arrangements liability entitled such as ‘‘deposits acceptance provisions may be included (e.g., licenses of motion pictures, received from customers for layaway in a contract, among other reasons, to software, technology, and other sales’’ or a similarly descriptive caption. enforce a customer’s rights to (1) test the intangibles), the staff believes that Because Company R retains the risks of delivered product, (2) require the seller delivery does not occur for revenue ownership of the merchandise, receives to perform additional services recognition purposes until the license only a deposit from the customer, and subsequent to delivery of an initial term begins.24 Accordingly, if a licensed does not have an enforceable right to the product or performance of an initial product or technology is physically remainder of the purchase price, the service (e.g., a seller is required to delivered to the customer, but the staff would object to Company R install or activate delivered equipment), license term has not yet begun, revenue recognizing any revenue upon receipt of or (3) identify other work necessary to should not be recognized prior to the cash deposit. This is consistent with be done before accepting the product. inception of the license term. Upon item two (2) in the Commission’s The staff presumes that such contractual inception of the license term, revenue criteria for bill-and-hold transactions customer acceptance provisions are should be recognized in a manner which states that ‘‘the customer must substantive, bargained-for terms of an consistent with the nature of the have made a fixed commitment to arrangement. Accordingly, when such transaction and the earnings process. purchase the goods.’’ contractual customer acceptance provisions exist, the staff generally Question 4 Question 5 believes that the seller should not Facts: Company R is a retailer that Facts: Registrants may negotiate recognize revenue until customer offers ‘‘layaway’’ sales to its customers. arrangements pursuant to which they acceptance occurs or the acceptance Company R retains the merchandise, may receive nonrefundable fees upon provisions lapse. sets it aside in its inventory, and entering into arrangements or on certain specified dates. The fees may ostensibly are not intended to apply to ‘‘receivables and 22 22 SFAC No. 5, ¶ 83(b) states that ‘‘revenues are be received for conveyance of a license payables arising from transactions with customers considered to have been earned when the entity has or other intangible right or for delivery or suppliers in the normal course of business which substantially accomplished what it must do to be of particular products or services. are due in customary trade terms not exceeding entitled the benefits represented by the revenues.’’ Various business factors may influence approximately one year’’ (emphasis added). 23 SOP 97–2, ¶ 13, and 68–70. 20 SOP 97–2, ¶ 22. 24 SFAS No. 53, Financial Reporting by Producers how the registrant and customer 21 SOP 97–2, ¶ 20. Also, SFAC No. 5, ¶ 83(b) and Distributors of Motion Picture Films, ¶ 6. The structure the payment terms. For states ‘‘revenues are considered to have been earned FASB has issued an Exposure Draft to rescind SFAS example, in exchange for a greater up- when the entity has substantially accomplished No. 53. The AICPA’s Accounting Standards front fee for an intangible right, the what it must do to be entitled to the benefits Executive Committee intends to issue a new SOP represented by the revenues.’’ If an arrangement that would replace SFAS No. 53 and provide registrant may be willing to receive expressly requires customer acceptance, the staff authoritative guidance on accounting for motion lower unit prices for related products to generally believes that customer acceptance should pictures. The Exposure Draft of the proposed new be delivered in the future. In some occur before the entity has substantially SOP contains a similar criterion for revenue circumstances, the right, product, or accomplished what it must do to be entitled to the recognition of a licensed film (i.e., the license benefits represented by the revenues, especially period of the arrangement has begun and the service conveyed in conjunction with when the seller is obligated to perform additional customer can begin its exploitation, exhibition, or the nonrefundable fee has no utility to steps. sale). the purchaser separate and independent

VerDate 29-OCT-99 08:32 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\A09DE0.040 pfrm02 PsN: 09DER1 68940 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations of the registrant’s performance of the discrete earnings events.26 The terms, Question 6 other elements of the arrangement. conditions, and amounts of these fees Facts: Company A provides its Therefore, in the absence of the typically are negotiated in conjunction customers with activity tracking or registrant’s continuing involvement with the pricing of all the elements of similar services (e.g., tracking of under the arrangement, the customer the arrangement, and the customer property tax payment activity, sending would not have paid the fee. Examples would ascribe a significantly lower, and delinquency letters on overdue of this type of arrangement include the perhaps no, value to elements ostensibly accounts, etc.) for a ten-year period. following: associated with the up-front fee in the Company A requires customers to • A registrant sells a lifetime absence of the registrant’s performance prepay for all the services for the term membership in a health club. After of other contract elements. The fact that specified in the arrangement. The on- paying a nonrefundable ‘‘initiation fee,’’ the registrants do not sell the initial going services to be provided are the customer is permitted to use the rights, products, or services separately generally automated after the initial health club indefinitely, so long as the (i.e., without the registrants’ continuing customer set-up. At the outset of the customer also pays an additional usage involvement) supports the staff’s view. arrangement, Company A performs set- fee each month. The monthly usage fees The staff believes that the customers are up procedures to facilitate delivery of its collected from all customers are purchasing the on-going rights, on-going services to the customers.29 adequate to cover the operating costs of products, or services being provided Such procedures consist primarily of the health club. through the registrants’ continuing establishing the necessary records and • A registrant in the biotechnology involvement. Further, the staff believes files in Company A’s pre-existing industry agrees to provide research and that the earnings process is completed computer systems in order to provide development activities for a customer by performing under the terms of the the services. Once the initial customer for a specified term. The customer needs arrangements, not simply by originating set-up activities are complete, Company to use certain technology owned by the a revenue-generating arrangement. A provides its services in accordance registrant for use in the research and Supply or service transactions may with the arrangement. Company A is not development activities. The technology involve the charge of a nonrefundable required to refund any portion of the fee is not sold or licensed separately initial fee with subsequent periodic if the customer terminates the services without the research and development payments for future products or or does not utilize all of the services to activities. Under the terms of the services. The initial fees may, in which it is entitled. However, Company arrangement, the customer is required to substance, be wholly or partly an A is required to provide a refund if pay a nonrefundable ‘‘technology access advance payment for future products or Company A terminates the arrangement fee’’ in addition to periodic payments services. In the examples above, the on- early. Assume Company A’s activities for research and development activities going rights or services being provided are not within the scope of SFAS No. over the term of the contract. or products being delivered are essential 91. • A registrant requires a customer to to the customers receiving the expected Question: When should Company A pay a nonrefundable ‘‘activation fee’’ benefit of the up-front payment. recognize the service revenue? Interpretive Response: The staff when entering into an arrangement to Therefore, the up-front fee and the believes that, provided all other revenue provide telecommunications services. continuing performance obligation recognition criteria are met, service The terms of the arrangement require related to the services to be provided or revenue should be recognized on a the customer to pay a monthly usage fee products to be delivered are assessed as straight-line basis, unless evidence that is adequate to recover the an integrated package. In such suggests that the revenue is earned or registrant’s operating costs. The costs circumstances, the staff believes that up- obligations are fulfilled in a different incurred to activate the front fees, even if nonrefundable, are pattern, over the contractual term of the telecommunications service are earned as the products and/or services arrangement or the expected period nominal. are delivered and/or performed over the Question: When should the revenue term of the arrangement or the expected pattern, in which case that pattern should be 27 relating to nonrefundable, up-front fees period of performance and generally followed. in these types of arrangements be should be deferred and recognized 29 Footnote 1 of SOP 98–5, Reporting on the Costs recognized? systematically over the periods that the of Start-Up Activities, states that ‘‘this SOP does not Interpretive Response: The staff fees are earned.28 address the financial reporting of costs incurred related to ongoing customer acquisition, such as believes that registrants should consider policy acquisition costs in Financial Accounting the specific facts and circumstances to 26 In a similar situation, lenders may collect Standards Board (FASB) Statement No. 60, determine the appropriate accounting nonrefundable loan origination fees in connection Accounting and Reporting by Insurance Enterprises, for nonrefundable, up-front fees. Unless with lending activities. The FASB concluded in and loan origination costs in FASB Statement No. SFAS No. 91, Accounting for Nonrefundable Fees 91, Accounting for Nonrefundable Fees and Costs the up-front fee is in exchange for and Costs Associated with Originating or Acquiring Associated with Originating or Acquiring Loans and products delivered or services Loans and Initial Direct Costs of Leases, that loan Initial Direct Costs of Leases. The SOP addresses the performed that represent the origination is not a separate revenue-producing more substantive one-time efforts to establish activity of a lender, and therefore, those business with an entirely new class of customers culmination of a separate earnings nonrefundable fees collected at the outset of the 25 (for example, a manufacturer who does all of its process, the deferral of revenue is loan arrangement are not recognized as revenue business with retailers attempts to sell merchandise appropriate. upon receipt but are deferred and recognized over directly to the public).’’ As such, the set-up costs In the situations described above, the the life of the loan (paragraphs 5 and 37). incurred in this example are not within the scope 27 staff does not view the activities The revenue recognition period should extend of SOP 98–5. The staff believes that the incremental beyond the initial contractual period if the direct costs (SFAS No. 91 provides an analogous completed by the registrants (i.e., selling relationship with the customer is expected to definition) incurred related to the acquisition or the membership, signing the contract, or extend beyond the initial term and the customer origination of a customer contract, unless enrolling the customer or activating continues to benefit from the payment of the up- specifically provided for in the authoritative telecommunications services) as front fee (e.g., if subsequent renewals are priced at literature, should be accounted for in accordance a bargain to the initial up-front fee). with paragraph 4 of FASB Technical Bulletin (FTB) 28 A systematic method would be on a straight- 90–1, Accounting for Separately Priced Extended 25 See SFAC No. 5, footnote 51, for a description line basis, unless evidence suggests that revenue is Warranty and Product Maintenance Contracts or of the ‘‘earning process.’’ earned or obligations are fulfilled in a different paragraph 5 of SFAS No. 91.

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It generates revenue from becomes fixed or determinable. customer could not, and would not, annual membership fees it charges Moreover, revenue should not be separately purchase the set-up services customers to shop at its stores and from recognized in earnings by assessing the without the on-going services. The the sale of products at a discount price probability that significant, but services specified in the arrangement to those customers. The membership unfulfilled, terms of a contract will be are performed continuously over the arrangements with retail customers fulfilled at some point in the future. contractual term of the arrangement require the customer to pay the entire Accordingly, the revenue from such (and any subsequent renewals). membership fee (e.g., $35) at the outset transactions should not be recognized in Therefore, the staff believes that of the arrangement. However, the earnings prior to the refund privileges Company A should recognize revenue customer has the unilateral right to expiring. The amounts received from on a straight-line basis, unless evidence cancel the arrangement at any time customers or subscribers (i.e., the $35 suggests that the revenue is earned or during its term and receive a full refund fee mentioned above) should be credited obligations are fulfilled in a different of the initial fee. Based on historical to a monetary liability account such as pattern, over the contractual term of the data collected over time for a large ‘‘customers’ refundable fees.’’ arrangement or the expected period number of homogeneous transactions, The staff believes that if a customer during which those specified services Company M estimates that has the unilateral right to receive both will be performed, whichever is longer. approximately 40% of the customers (1) the seller’s substantial performance will request a refund before the end of under an arrangement (e.g., providing In this situation, the staff would the membership contract term. services or delivering product) and (2) a object to Company A recognizing Company M’s data for the past five years cash refund of prepaid fees, then the revenue in proportion to the costs indicates that significant variations prepaid fees should be accounted for as incurred because the set-up costs between actual and estimated a monetary liability in accordance with incurred bear no direct relationship to cancellations have not occurred, and SFAS No. 125, Accounting for Transfers the performance of services specified in Company M does not expect significant and Servicing of Financial Assets and the arrangement. The staff also believes variations to occur in the foreseeable Extinguishments of Liabilities, that it is inappropriate to recognize the future. paragraph 16. SFAS No. 125 provides entire amount of the prepayment as Question: May Company M recognize that liabilities may be derecognized only revenue at the outset of the arrangement in earnings the revenue for the if (1) the debtor pays the creditor and is by accruing the remaining costs because membership fees and accrue the costs to relieved of its obligation for the liability the services required by the contract provide membership services at the (paying the creditor includes delivery of have not been performed. outset of the arrangement? cash, other financial assets, goods, or 4. Fixed or Determinable Sales Price Interpretive Response: No. In the services or reacquisition by the debtor of staff’s view, it would be inappropriate its outstanding debt securities) or (2) the A company’s contracts may include for Company M to recognize the debtor is legally released from being the customer cancellation or termination membership fees as earned revenue primary obligor under the liability.34 If clauses. Cancellation or termination upon billing or receipt of the initial fee a customer has the unilateral right to provisions may be indicative of a with a corresponding accrual for receive both (1) the seller’s substantial demonstration period or an otherwise estimated costs to provide the performance under the arrangement and incomplete transaction. Examples of membership services. This conclusion is (2) a cash refund of prepaid fees, then transactions that financial management based on Company M’s remaining and the refund obligation is not relieved and auditors should be aware of and unfulfilled contractual obligation to upon performance of the service or where such provisions may exist perform services (i.e., make available delivery of the products. Rather, the include ‘‘side’’ agreements and and offer products for sale at a seller’s refund obligation is relieved significant transactions with unusual discounted price) throughout the only upon refunding the cash or terms and conditions. These contractual membership period. Therefore, the expiration of the refund privilege. provisions raise questions as to whether earnings process, irrespective of Some have argued that there may be the sales price is fixed or determinable. whether a cancellation clause exists, is a limited exception to the general rule The sales price in arrangements that are not complete. that revenue from membership or other cancelable by the customer are neither In addition, the ability of the member service transaction fees should not be fixed nor determinable until the to receive a full refund of the recognized in earnings prior to the cancellation privileges lapse.31 If the membership fee up to the last day of the refund privileges expiring. Despite the cancellation privileges expire ratably membership term raises an uncertainty fact that SFAS No. 48 expressly does not over a stated contractual term, the sales as to whether the fee is fixed or apply to the accounting for service price is considered to become determinable at any point before the end revenue if part or all of the service fee determinable ratably over the stated of the term. Generally, the staff believes is refundable under cancellation term.32 Short-term rights of return, such that a sales price is not fixed or privileges granted to the buyer,35 they as thirty-day money-back guarantees, determinable when a customer has the believe that in certain circumstances a and other customary rights to return unilateral right to terminate or cancel potential refund of a membership fee products are not considered to be the contract and receive a cash refund. may be seen as being similar to a right cancellation privileges, but should be A sales price or fee that is variable until of return of products under SFAS No. the occurrence of future events (other 48. They argue that revenue from 30 See Note 27, supra. than product returns that are within the 31 SOP 97–2, ¶31. 34 34 SFAS No. 125, ¶ 16. 32 Ibid. 33 Ibid. 35 SFAS No. 48, ¶ 4.

VerDate 29-OCT-99 08:32 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\A09DE0.043 pfrm02 PsN: 09DER1 68942 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations membership fees, net of estimated be considered indicative of an inability earnings any revenue for the refunds, may be recognized ratably over to make reliable estimates: (1) recurring, membership fee until the cancellation the period the services are performed significant differences between actual privileges and refund rights expire. whenever pertinent conditions of SFAS experience and estimated cancellation If revenue is recognized in earnings No. 48 are met, namely, there is a large or termination rates (e.g., an actual over the membership period pursuant to population of transactions that grant cancellation rate of 40% versus an the above criteria, the initial amounts customers the same unilateral estimated rate of 25%) even if the received from customer or subscribers termination or cancellation rights and impact of the difference on the amount (i.e., the $35 fee mentioned above) reasonable estimates can be made of of estimated refunds is not material to should be allocated to two liability how many customers likely will the consolidated financial statements 38 accounts. The amount of the fee exercise those rights. or (2) recurring variances between the representing estimated refunds should The staff believes that, because actual and estimated amount of refunds be credited to a monetary liability service arrangements are specifically that are material to either revenue or net account, such as ‘‘customers’ refundable excluded from the scope of SFAS No. income in quarterly or annual financial fees,’’ and the remaining amount of the 48, the most direct authoritative statements. In addition, the staff fee representing unearned revenue literature to be applied to the believes that an estimate, for purposes should be credited to a nonmonetary extinguishment of obligations under of meeting this criterion, would not be liability account, such as ‘‘unearned such contracts is SFAS No. 125. As reliable unless it is remote 39 that revenues.’’ For each income statement noted above, because the refund material adjustments (both individually presented, registrants should disclose in privilege extends to the end of the and in the aggregate) to previously the footnotes to the financial statements contract term irrespective of the amount recognized revenue would be required. the amounts of (1) the unearned revenue of the service performed, SFAS No. 125 The staff presumes that reliable and (2) refund obligations as of the indicates that the liability would not be estimates cannot be made if the beginning of each period, the amount of extinguished (and therefore no revenue customer’s termination or cancellation cash received from customers, the would be recognized in earnings) until and refund privileges exceed one year. amount of revenue recognized in the cancellation or termination and • There is a sufficient company- earnings, the amount of refunds paid, related refund privileges expire. specific historical basis upon which to other adjustments (with an explanation Nonetheless, the staff recognizes that estimate the refunds,40 and the company thereof), and the ending balance of (1) over the years the accounting for believes that such historical experience unearned revenue and (2) refund membership refunds evolved based on is predictive of future events. In obligations. analogy to SFAS No. 48 and that assessing these items, the staff believes If revenue is recognized in earnings practice did not change when SFAS No. that estimates of future refunds should over the membership period pursuant to 125 became effective. Reasonable people take into consideration, among other the above criteria, the staff believes that held, and continue to hold, different things, such factors as historical adjustments for changes in estimated views about the application of the experience by service type and class of refunds should be recorded using a accounting literature. For the staff to customer, changing trends in historical retrospective approach whereby the prohibit such accounting in this SAB experience and the basis thereof (e.g., unearned revenue and refund may result in significant change in economic conditions), the impact or obligations are remeasured and adjusted practice that, in these particular introduction of competing services or at each balance sheet date with the circumstances, may be more products, and changes in the customer’s offset being recorded as earned revenue. appropriately addressed in a formal ‘‘accessibility’’ to the refund (i.e., how Companies offering memberships rulemaking or standards-setting project. easy it is for customers to obtain the often distribute membership packets Pending further action in this area by refund). describing and discussing the terms, the FASB, the staff will not object to the • The amount of the membership fee conditions, and benefits of membership. recognition of refundable membership specified in the agreement at the outset Packets may include vouchers, for fees, net of estimated refunds, as earned of the arrangement is fixed, other than example, that provide new members revenue over the membership term in the customer’s right to request a refund. with discounts or other benefits. The the limited circumstances where all of If Company M does not meet all of the costs associated with the vouchers the following criteria have been met:36 foregoing criteria, the staff believes that should be expensed when distributed. • The estimates of terminations or Company M should not recognize in Advertising costs to solicit members cancellations and refunded revenues are should be accounted for in accordance being made for a large pool of 38 For example, if an estimate of the expected with SOP 93–7, Reporting on homogeneous items (e.g., membership cancellation rate varies from the actual cancellation Advertising Costs. Incremental direct rate by 100% but the dollar amount of the error is or other service transactions with the immaterial to the consolidated financial statements, costs incurred in connection with same characteristics such as terms, some would argue that the estimate could still be enrolling customers (e.g., commissions periods, class of customers, nature of viewed as reliable. The staff disagrees with that paid to agents) should be accounted for service, etc.). argument. as follows: (1) If revenue is deferred • Reliable estimates of the expected 39 The term ‘‘remote’’ is used here with the same until the cancellation or termination 37 definition as used in SFAS No. 5, Accounting for refunds can be made on a timely basis. Contingencies. privileges expire, incremental direct Either of the following two items would 40 Paragraph 8 of SFAS No. 48 notes various costs should be either (a) charged to factors that may impair the ability to make a expense when incurred if the costs are 36 The staff will question further analogies to the reasonable estimate of returns, including the lack of not refundable to the company in the guidance in SFAS No. 48 for transactions expressly sufficient historical experience. The staff typically event the customer obtains a refund of excluded from its scope. expects that the historical experience be based on 37 Reliability is defined in SFAC No. 2 as ‘‘the the particular registrant’s historical experience for the membership fee, or (b) if the costs quality of information that assures that information a service and/or class of customer. In general, the are refundable to the company in the is reasonably free from error and bias and faithfully staff typically expects a start-up company, a event the customer obtains a refund of represents what it purports to represent.’’ Paragraph company introducing new services, or a company the membership fee, recorded as an 63 of SFAC No. 5 reiterates the definition of introducing services to a new class of customer to reliability, requiring that ‘‘the information is have at least two years of experience to be able to asset until the earlier of termination or representationally faithful, verifiable, and neutral.’’ make reasonable and reliable estimates. cancellation or refund; or (2) if revenue,

VerDate 29-OCT-99 08:32 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\A09DE0.046 pfrm02 PsN: 09DER1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations 68943 net of estimated refunds, is recognized income over the lease term as it scheduled rent increases from in earnings over the membership period, becomes receivable according to the contingent rentals. Paragraph 13 states a like percentage of incremental direct provisions of the lease. However, if the ‘‘There is an important substantive costs should be deferred and recognized rentals vary from a straight-line basis, difference between lease rentals that are in earnings in the same pattern as the income shall be recognized on a contingent upon some specified future revenue is recognized, and the straight-line basis unless another event and scheduled rent increases that remaining portion should be either (a) systematic and rational basis is more are unaffected by future events; the charged to expense when incurred if the representative of the time pattern in accounting under Statement 13 reflects costs are not refundable to the company which use benefit from the leased that difference. If the lessor and lessee in the event the customer obtains a property is diminished, in which case eliminate the risk of variable payments refund of the membership fee, or (b) if that basis shall be used.’’ by agreeing to scheduled rent increases, the costs are refundable to the company SFAS No. 29, Determining Contingent the accounting should reflect those in the event the customer obtains a Rentals, amended SFAS No. 13 and different circumstances.’’ refund of the membership fee, recorded clarifies that ‘‘lease payments that The example provided in SFAS No. as an asset until the refund occurs.41 All depend on a factor that does not exist 29 implies that contingent rental income costs other than incremental direct costs or is not measurable at the inception of in leases classified as sales-type or (e.g., indirect costs) should be expensed the lease, such as future sales volume, direct-financing leases becomes as incurred. would be contingent rentals in their ‘‘accruable’’ when the changes in the entirety and, accordingly, would be factors on which the contingent lease Question 8 excluded from minimum lease payments are based actually occur. FTB Facts: Company A owns and leases payments and included in the 85–3 indicates that contingent rental retail space to retailers. Company A determination of income as they income in operating leases should not (lessor) renews a lease with a customer accrue.’’ [Summary] Paragraph 17 of be recognized in a manner consistent (lessee) that is classified as an operating SFAS No. 29 provides the following with scheduled rent increases (i.e., on a lease. The lease term is one year and example of determining contingent straight-line basis over the lease term or provides that the lease payments are rentals: another systematic and rational $1.2 million, payable in equal monthly A lease agreement for retail store space allocation basis if it is more installments on the first day of each could stipulate a monthly base rental of $200 representative of the time pattern in month, plus one percent of the lessee’s and a monthly supplemental rental of one- which the leased property is physically net sales in excess of $25 million if the fourth of one percent of monthly sales employed) because the risk of variable net sales exceed $25 million during the volume during the lease term. Even if the payments inherent in contingent rentals lease term (i.e., contingent rental). The lease agreement is a renewal for store space is substantively different than lessee has historically experienced that had averaged monthly sales of $25,000 scheduled rent increases. The staff for the past 2 years, minimum lease annual net sales in excess of $25 million payments would include only the $200 believes that the reasoning in FTB 85– in the particular space being leased, and monthly base rental; the supplemental rental 3 supports the conclusion that the risks it is probable that the lessee will is a contingent rental that is excluded from inherent in variable payments generate in excess of $25 million net minimum lease payments. The future sales associated with contingent rentals sales during the term of the lease. for the lease term do not exist at the should be reflected in financial Question: In the staff’s view, should inception of the lease, and future rentals statements on a basis different than the lessor recognize any rental income would be limited to $200 per month if the rental payments that adjust on a attributable to the one percent of the store were subsequently closed and no sales scheduled basis and, therefore, were made thereafter. lessee’s net sales exceeding $25 million operating lease income associated with before the lessee actually achieves the FASB Technical Bulletin (FTB) 85–3, contingent rents would not be $25 million net sales threshold? Accounting for Operating Leases with recognized as time passes or as the Interpretive Response: No. The staff Scheduled Rent Increases, addresses leased property is physically employed. believes that contingent rental income whether it is appropriate for lessors in Furthermore, prior to the lessee’s ‘‘accrues’’ (i.e., it should be recognized operating leases to recognize scheduled achievement of the target upon which as revenue) when the changes in the rent increases on a basis other than as contingent rentals are based, the lessor factor(s) on which the contingent lease required in SFAS No. 13, paragraph has no legal claims on the contingent payments is (are) based actually occur.42 19(b). Paragraph 2 of FTB 85–3 states amounts. Consequently, the staff SFAS No. 13, Accounting for Leases, ‘‘using factors such as the time value of believes that it is inappropriate to paragraph 19(b) states that lessors money, anticipated inflation, or anticipate changes in the factors on should account for operating leases as expected future revenues [emphasis which contingent rental income in follows: ‘‘Rent shall be reported in added] to allocate scheduled rent operating leases is based and recognize increases is inappropriate because these rental income prior to the resolution of 41 SFAS No. 91, paragraph 5 and FTB 90–1, factors do not relate to the time pattern the lease contingencies. paragraph 4 both provide for the deferral of of the physical usage of the leased Because Company A’s contingent incremental direct costs associated with acquiring property. However, such factors may a revenue-producing contract. Even though the rental income is based upon whether revenue discussed in this example is refundable, if affect the periodic reported rental the customer achieves net sales of $25 a registrant meets the aforementioned criteria for income or expense if the lease million, the contingent rentals, which revenue recognition over the membership period, agreement involves contingent rentals, may not materialize, should not be the staff would analogize to this guidance. which are excluded from minimum recognized until the customer’s net sales However, if neither a nonrefundable contract nor a reliable basis for estimating net cash inflows under lease payments and accounted for actually exceed $25 million. Once the refundable contracts exists to provide a basis for separately under Statement 13, as $25 million threshold is met, Company recovery of incremental direct costs, the staff amended by Statement 29.’’ In A would recognize the contingent rental believes that such costs should be expensed as developing the basis for why scheduled income as it becomes accruable, in this incurred. See Note 29, supra. 42 Lessees should follow the guidance established rent increases should be recognized on case, as the customer recognizes net in EITF Issue No. 98–9, Accounting for Contingent a straight-line basis, the FASB sales. The staff does not believe that it Rent. distinguishes the accounting for is appropriate to recognize revenue

VerDate 29-OCT-99 08:32 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\A09DE0.047 pfrm02 PsN: 09DER1 68944 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations based upon the probability of a factor subsequently met or the return privilege the recognition of revenue pursuant to being achieved. The contingent revenue has substantially expired, whichever APB Opinion No. 22, Disclosure of should be recorded in the period in occurs first.44 Simply deferring Accounting Policies. Paragraph 12 which the contingency is resolved. recognition of the gross margin on the thereof states that ‘‘the disclosure transaction is not appropriate. should encompass important judgments Question 9 as to appropriateness of principles 5. Income Statement Presentation Facts: Paragraph 8 of SFAS No. 48 relating to recognition of lists a number of factors that may impair Question 10 revenue. * * * ’’ Because revenue the ability to make a reasonable estimate Facts: Company A operates an recognition generally involves some of product returns in sales transactions level of judgment, the staff believes that 43 internet site from which it will sell when a right of return exists. The Company T’s products. Customers place a registrant should always disclose its paragraph concludes by stating ‘‘other their orders for the product by making revenue recognition policy. If a factors may preclude a reasonable a product selection directly from the company has different policies for estimate.’’ internet site and providing a credit card different types of revenue transactions, Question: What ‘‘other factors,’’ in number for the payment. Company A including barter sales, the policy for addition to those listed in paragraph 8 receives the order and authorization each material type of transaction should of SFAS No. 48, has the staff identified from the credit card company, and be disclosed. If sales transactions have that may preclude a registrant from passes the order on to Company T. multiple elements, such as a product making a reasonable and reliable Company T ships the product directly to and service, the accounting policy estimate of product returns? the customer. Company A does not take should clearly state the accounting Interpretive Response: The staff title to the product and has no risk of policy for each element as well as how believes that the following additional loss or other responsibility for the multiple elements are determined and factors, among others, may affect or product. Company T is responsible for valued. In addition, the staff believes preclude the ability to make reasonable all product returns, defects, and that changes in estimated returns and reliable estimates of product disputed credit card charges. The recognized in accordance with SFAS returns: (1) Significant increases in or product is typically sold for $175 of No. 48 should be disclosed, if material excess levels of inventory in a which Company A receives $25. In the (e.g., a change in estimate from two distribution channel (sometimes event a credit card transaction is percent of sales to one percent of sales). referred to as ‘‘channel stuffing’’), (2) rejected, Company A loses its margin on Regulation S–X requires that revenue lack of ‘‘visibility’’ into or the inability the sale (i.e., the $25). from the sales of products, services, and to determine or observe the levels of Question: In the staff’s view, should other products each be separately inventory in a distribution channel and Company A report revenue on a gross disclosed on the face of the income the current level of sales to end users, basis as $175 along with costs of sales statement.46 The staff believes that costs (3) expected introductions of new of $150 or on a net basis as $25, similar relating to each type of revenue products that may result in the to a commission? similarly should be reported separately technological obsolescence of and larger Interpretive Response: Company A on the face of the income statement. than expected returns of current should report the revenue from the Management’s Discussion and products, (4) the significance of a product on a net basis. In assessing Analysis (MD&A) requires a discussion particular distributor to the registrant’s whether revenue should be reported of liquidity, capital resources, results of (or a reporting segment’s) business, sales gross with separate display of cost of operations and other information and marketing, (5) the newness of a sales to arrive at gross profit or on a net necessary to an understanding of a product, (6) the introduction of basis, the staff considers whether the registrant’s financial condition, changes competitors’ products with superior registrant: in financial condition and results of technology or greater expected market 1. Acts as principal in the transaction, operations.47 This includes unusual or acceptance, and other factors that affect 2. Takes title to the products, infrequent transactions, known trends market demand and changing trends in 3. Has risks and rewards of or uncertainties that have had, or might that demand for the registrant’s ownership, such as the risk of loss for reasonably be expected to have, a products. Registrants and their auditors collection, delivery, or returns, and favorable or unfavorable material effect should carefully analyze all factors, 4. Acts as an agent or broker on revenue, operating income or net including trends in historical data, that (including performing services, in income and the relationship between may affect registrants’ ability to make substance, as an agent or broker) with revenue and the costs of the revenue. reasonable and reliable estimates of compensation on a commission or fee Changes in revenue should not be product returns. basis.45 evaluated solely in terms of volume and The staff reminds registrants that if a If the company performs as an agent or price changes, but should also include transaction fails to meet all of the broker without assuming the risks and an analysis of the reasons and factors conditions of paragraphs 6 and 8 in rewards of ownership of the goods, sales contributing to the increase or decrease. SFAS No. 48, no revenue may be should be reported on a net basis. The Commission stated in Financial recognized until those conditions are B. Disclosures Reporting Release (FRR) 36 that MD&A should ‘‘give investors an opportunity to 43 These factors include ‘‘(a) the susceptibility of Question 1 look at the registrant through the eyes of the product to significant external factors, such as Question: What disclosures are management by providing a historical technological obsolescence or changes in demand, (b) relatively long periods in which a particular required with respect to the recognition and prospective analysis of the product may be returned, (c) absence of historical of revenue? registrant’s financial condition and experience with similar types of sales of similar Interpretive Response: A registrant results of operations, with a particular products, or inability to apply such experience should disclose its accounting policy for emphasis on the registrant’s prospects because of changing circumstances, for example, changes in the selling enterprise’s marketing 44 policies and relationships with its customers, and SFAS No. 48, ¶6. 46 See Regulation S–X, Article 5–03 (b) (1) and (2). (d) absence of a large volume of relatively 45 See, for example, ARB 43, Chapter 11A, ¶20; 47 See Regulation S–K, Article 303 and Financial homogeneous transactions.’’ SOP 81–1, ¶58–60; and SFAS No. 45, ¶16. Reporting Release No. 36.

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If a Sales, based upon an interpretation of discussed in accordance with FRR 36 registrant files financial statements with SFAS No. 13 that leases of departments are: the Commission before applying the within a retail establishment are leases • Shipments of product at the end of guidance in this bulletin, disclosures of tangible assets within the scope of a reporting period that significantly similar to those described in Staff SFAS No. 13.52 Consistent with the reduce customer backlog and that Accounting Bulletin Topic 11–M, interpretation in TPA section 5100.16, reasonably might be expected to result Disclosure of the Impact that Recently the staff believes that SFAS No. 13 in lower shipments and revenue in the Issued Accounting Standards Will Have requires department stores and other next period. on the Financial Statements of a retailers that lease or license store space • Granting of extended payment Registrant When Adopted in a Future to account for rental income from leased terms that will result in a longer Period, should be provided. With regard departments in accordance with SFAS collection period for accounts receivable to question 10 of Topic 13–A and Topic No. 13. Accordingly, it would be (regardless of whether revenue has been 8–A regarding income statement inappropriate for a department store or recognized) and slower cash inflows presentation, the staff would normally other retailer to include in its revenue from operations, and the effect on expect retroactive application to all the sales of the leased or licensed liquidity and capital resources. (The fair periods presented unless the effect of departments. Rather, the department value of trade receivables should be applying the guidance herein is store or other retailer should include the disclosed in the footnotes to the immaterial. rental income as part of its gross financial statements when the fair value However, if registrants have not revenue. The staff would not object to does not approximate the carrying previously complied with generally disclosure in the footnotes to the amount.)49 accepted accounting principles, for financial statements of the amount of • Changing trends in shipments into, example, by recording revenue for the lessee’s sales from leased and sales from, a sales channel or products prior to delivery that did not departments. If the arrangement is not a separate class of customer that could be comply with the applicable bill-and- lease but rather a service arrangement expected to have a significant effect on hold guidance, those registrants should that provides for payment of a fee or future sales or sales returns. apply the guidance in APB Opinion No. commission, the retailer should • 51 An increasing trend toward sales to 20 for the correction of an error. In recognize the fee or commission as a different class of customer, such as a addition, registrants should be aware revenue when earned. If the retailer reseller distribution channel that has a that the Commission may take assumes the risk of bad debts associated lower gross profit margin than existing enforcement action where a registrant in with the lessee’s merchandise sales, the sales that are principally made to end prior financial statements has violated retailer generally should present bad users. Also, increasing service revenue the antifraud or disclosure provisions of debt expense in accordance with that has a higher profit margin than the securities laws with respect to Regulation S–X article 5–03 (b)(5). product sales. revenue recognition. • B. * * * Seasonal trends or variations in Topic 8: Retail Companies sales. This Staff Accounting Bulletin is not • A gain or loss from the sale of an A. Sales of Leased or Licensed intended to change current guidance in asset(s).50 Departments the accounting literature. For this Question 2 Facts: Department stores and other reason, adherence to the principles retailers customarily include the sales of described in this Staff Accounting Question: Will the staff expect leased or licensed departments in the Bulletin should not raise the costs retroactive changes by registrants to amount reported as ‘‘total revenues.’’ associated with record-keeping or with comply with the accounting described Question: Does the staff have any audits of financial statements. in this bulletin? objection to this practice? Interpretive Response: All registrants Interpretive Response: In November [FR Doc. 99–31832 Filed 12–8–99; 8:45 am] are expected to apply the accounting 1975 the staff issued staff accounting BILLING CODE 8010±01±P and disclosures described in this bulletin number 1 that addressed this bulletin. The staff, however, will not issue. In that bulletin the staff did not object if registrants that have not object to retailers presenting sales of NATIONAL ARCHIVES AND RECORDS applied this accounting do not restate leased or licensed departments in the ADMINISTRATION prior financial statements provided they amount reported as ‘‘total revenues’’ 36 CFR Part 1228 report a change in accounting principle because of industry practice. in accordance with APB Opinion No. Subsequently, in November 1976 the RIN 3095±AA81 20, Accounting Changes, no later than FASB issued SFAS No. 13. In June 1995, the first fiscal quarter of the fiscal year the AICPA staff amended its Technical Agency Records Centers; Correction beginning after December 15, 1999. In AGENCY: National Archives and Records periods subsequent to transition, 51 APB Opinion No. 20, ¶13 and ¶36–37 describe Administration (NARA). registrants should disclose the amount and provide the accounting and disclosure of revenue (if material to income before requirements applicable to the correction of an error ACTION: Final rule; correction. in previously issued financial statements. Because the term ‘‘error’’ as used in APB Opinion No. 20 SUMMARY: NARA published in the 48 FRR 36, also see In the Matter of Caterpillar includes ‘‘oversight or misuse of facts that existed Federal Register of December 2, 1999, a Inc., AAER No. 363 (March 31, 1992). at the time that the financial statements were 49 SFAS No. 107, Disclosures about Fair Values prepared,’’ that term includes both unintentional final rule revising the standards that of Financial Instruments. errors as well as intentional fraudulent financial 50 Gains or losses from the sale of assets should reporting and misappropriation of assets as 52 SFAS No. 13, ¶1 defines a lease as ‘‘the right be reported as ‘‘other general expenses’’ pursuant to described in Statement on Auditing Standards No. to use property, plant, or equipment (land or Regulation S–X, Article 5–03(b)(6). Any material 82, Consideration of Fraud in a Financial Statement depreciable assets or both) usually for a stated item should be stated separately. Audit. period of time.’’

VerDate 29-OCT-99 15:41 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\09DER1.XXX pfrm08 PsN: 09DER1 68946 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations records center storage facilities must regulations concerning ex parte therefore takes the opportunity to meet to store Federal records. This presentations in Commission modify the revised rules in certain document corrects several editorial and proceedings, which were minor respects. The modifications are: printing errors in that final rule. Two of comprehensively revised in 1997. The A. Parties the corrections substantively affect the current amendments modify the rules in final rule. The date in the definition of minor respects based on the 1. In proceedings designated for ‘‘Existing records storage facility’’ is Commission’s experience with the hearing, only persons formally given corrected to read January 2, 2000. The revised rules since 1997. The intended party status will be treated as parties for text following the first sentence of effect of the current amendments is to ex parte purposes. § 1228.228(n)(4) should have been part further make the rules simpler and 2. The ‘‘viewer/listener’’ exception, of paragraph (n)(4). easier to comply with, to enhance the under which viewers or listeners do not DATES: Effective January 3, 2000. fairness of the Commission’s processes, become parties because they comment FOR FURTHER INFORMATION CONTACT: and to facilitate the public’s ability to on a pending broadcast application and Nancy Allard at 301–713–7360, ext. 226. communicate with the Commission. do not have to serve the broadcaster, is clarified. SUPPLEMENTARY INFORMATION: In the DATES: Effective January 10, 2000. document FR 99–30973 published on FOR FURTHER INFORMATION CONTACT: 3. Members of Congress and other December 2 1999 (99 FR 67634), make David S. Senzel, Office of General governmental officials will not become the following corrections: Counsel (202) 418–1720. parties merely by serving a presentation; 1. On page 67635, in the second SUPPLEMENTARY INFORMATION: This is a they will be made parties only if that is column, correct the second heading to summary of the Commission’s warranted based on an affirmative read: ‘‘Definitions (§ 1228.226)’’. Memorandum Opinion and Order, GC request for party status. 2. On page 67637, in the first column, Docket No. 95–21, adopted on October 4. Petitions to revoke and petitions for correct the last line of that column to 28, 1999, and released November 9, orders to show cause will be treated the read ‘‘source of water leakage, but to 1999. The full text of the memorandum same as complaints. permit’’. opinion and order is available for B. Classification of Proceedings inspection and copying during normal § 1228.226 [Corrected] business hours in the FCC Reference 1. Requests for modification of 3. On page 67643, in the third Center, Room CY–A257, 445 12th Street, payment arrangements under 47 CFR column, in § 1228.226, in the definition SW, Washington DC 20554. The 64.1001 will be treated as permit-but- of ‘‘Existing records storage facility’’, complete text may also be purchased disclose instead of restricted. 4th line, correct the date ‘‘September 30, from the Commission’s copy contractor, 2. BOC applications to provide in- 1999,’’ to read ‘‘January 2, 2000,’’. International Transcription Service, region interLATA services pursuant to 47 U.S.C. 271(d), petitions for § 1228.228 [Corrected] Inc., Room CY–B400, 445 12th Street, SW, Washington DC 20554, telephone Commission preemption of authority to 4. On page 67644, in the third (202) 314–3070. review interconnection agreements column, in § 1228.228(k), 4th and 5th under 47 U.S.C. 252(e)(5), and petitions lines, add quotation marks at the Summary of Memorandum Opinion for preemption under 47 U.S.C. 253 will beginning and end of the title and Order be treated as permit-but-disclose instead ‘‘Vulnerability Assessment of Federal 1. In 1997, the Commission revised its of restricted. Facilities’’. rules governing ex parte presentations 3. Persons filing petitions for 5. On page 67645, in the first column, in Commission proceedings. Report and declaratory rulings or rulemakings that in § 1228.228(n)(4), the undesignated Order, 62 FR 15852 (April 3, 1997). The seek Commission preemption will be paragraph following paragraph (n)(4) is revision was intended to make the rules required to serve any state or local correctly designated as the second and simpler and clearer, and thus more government, the actions of which are third sentences of paragraph (n)(4). effective in ensuring fairness in cited as a basis for requesting Dated: December 6, 1999. Commission proceedings. The preemption. Such pleadings that are not Nancy Y. Allard, Commission stressed that the ex parte served will be dismissed without Federal Register Liaison. rules are important and that full consideration as a defective pleading [FR Doc. 99–31985 Filed 12–8–99; 8:45 am] compliance is expected. and treated as a violation of the ex parte BILLING CODE 7515±01±P 2. Two law firms, Hogan & Hartson rules unless the Commission determines and Lukas, McGowan, Nace & Gutierrez, that the matter should be entertained by seek reconsideration of the revised making it part of the record under 47 FEDERAL COMMUNICATIONS rules. Hogan & Hartson contends that CFR 1.1212(d) and the parties are so COMMISSION the Commission should treat all informed. proceedings as ‘‘permit-but-disclose’’ C. Exempt Presentations 47 CFR Part 1 except for certain quasi-judicial proceedings. Lukas, McGowan, Nace & 1. Presentations between Commission [GC Docket No. 95±21; FCC 99±322] Gutierrez proposes that informal staff and administrators, such as the complaints under 47 U.S.C. 208 should Universal Service Administrative Ex Parte Presentations in Commission be treated as ‘‘restricted.’’ The Company, will be exempt. Proceedings Commission finds both petitions for D. Status Inquiries AGENCY: Federal Communications reconsideration without merit and Commission. denies them. 1. The newly-adopted exemption for ACTION: Final rule. 3. The Commission, however, finds oral status inquiries requesting action by that, although its experience with the a particular date or giving reasons that SUMMARY: The Commission denies revised rules has generally been a proceeding should be expedited other petitions for reconsideration and positive, certain areas warrant further than to avoid administrative delay will amends on its own motion its consideration. The Commission apply only in non-hearing proceedings.

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E. Clarifications and Typographical Advancement Act of 1996 (CWAAA), Congress or their staffs or branches of Errors Public Law 104–121, 110 Stat. 847 the federal government or their staffs) 1. The rules are amended where (1996), that the rules will not have a filing a written submission referencing necessary to clarify them and eliminate significant economic impact on a and regarding such pending filing typographical errors. substantial number of small entities. 5 which is served on the filer, or, in the U.S.C. 605(b). case of an application, any person filing F. Public Notices a mutually exclusive application; List of Subjects in 47 CFR Part 1 1. The Bureaus and Offices are (2) Any person who files a complaint Administrative practice and encouraged to specify the ex parte status or request to revoke a license or other procedure, Radio, Telecommunications, of proceedings when they issue public authorization or for an order to show Television. notices. cause which shows that the Federal Communications Commission. complainant has served it on the subject Regulatory Flexibility Certification Magalie Roman Salas, of the complaint or which is a formal 4. The NPRM (60 FR 8995 (February Secretary. complaint under 47 U.S.C. 208 and 16, 1995)) incorporated an Initial § 1.721 or 47 U.S.C. 255 and § 5.21, and Regulatory Flexibility Analysis (IFRA) Rule Changes the person who is the subject of such a of the proposed rules pursuant to 5 Part 1 of Title 47 of the Code of complaint or request that shows service U.S.C. 605. No comments were received Federal Regulations are amended as or is a formal complaint under 47 U.S.C. in direct response to the IFRA. Section follows: 208 and § 1.721 or 47 U.S.C. 255 and 604 of the Regulatory Flexibility Act, as § 5.21; amended, requires a final regulatory PART 1ÐPRACTICE AND (3) The subject of an order to show flexibility analysis in a notice and PROCEDURE cause, hearing designation order, notice comment rulemaking proceeding unless 1. The authority citation for part 1 of apparent liability, or similar notice or the Commission certifies that ‘‘the rule continues to read as follows: order, or petition for such notice or will not, if promulgated, have a order; significant economic impact on a Authority: 47 U.S.C. 151, 154(i), 154(j), (4) In a proceeding designated for 155, 225, 303(r), and 309. substantial number of small entities.’’ 5 hearing, any person who has been given U.S.C. 605(b). The Commission believes 2. Section 1.1202 is amended by formal party status; and that the rules it adopted will not have revising the note to paragraph (a), (5) In an informal rulemaking a significant economic impact on a paragraph (d) introductory text, proceeding conducted under section substantial number of small entities. paragraphs (d)(1) through (d)(5) and by 553 of the Administrative Procedure Act 5. As noted, the Commission’s adding note 5 to paragraph (d) to read (other than a proceeding for the purpose in revising the ex parte rules is as follows: allotment of a broadcast channel) or a to simplify and clarify them. It finds § 1.1202 Definitions. proceeding before a Joint Board or that the modifications do not impose before the Commission to consider the (a) * * * any additional compliance burden on recommendation of a Joint Board, persons dealing with the Commission Note to paragraph (a): A communication members of the general public after the including small entities. It also finds expressing concern about administrative issuance of a notice of proposed that the revised rules clarify the delay or expressing concern that a rulemaking or other order as provided situations in which ex parte proceeding be resolved expeditiously will be treated as a permissible status inquiry so long under § 1.1206(a) (1) or (2). presentations are permissible, when as no reason is given as to why the * * * * * they must be reported on the record, proceeding should be expedited other than Note 5 to paragraph (d): A member of and when they are prohibited, without the need to resolve administrative delay, no Congress or his or her staff, or other agencies significantly changing the current rules view is expressed as to the merits or outcome or branches of the federal government or substantively. The Commission believes of the proceeding, and no view is expressed their staffs will not become a party by service that the revised rules do not otherwise as to a date by which the proceeding should of a written submission regarding a pending affect the rights of persons to participate be resolved. A presentation by a party in a proceeding that has not been designated for as parties in Commission proceedings. It restricted proceeding not designated for hearing unless the submission affirmatively seeks and warrants grant of party status. further finds that there is no reason to hearing requesting action by a particular date or giving reasons that a proceeding should be 3. Section 1.1203 is amended by believe that operation of the revised expedited other than the need to avoid rules will impose any costs on parties in administrative delay (and responsive revising paragraph (a) introductory text particular proceedings subject to those presentations by other parties) may be made to read as follows: rules, beyond those costs incurred on an ex parte basis subject to the provisions § 1.1203 Sunshine period prohibition. under our former rules. Rather, the of § 1.1204(a)(11). Commission anticipates that the * * * * * (a) With respect to any Commission revisions will serve to make the rules (d) Party. Unless otherwise ordered by proceeding, all presentations to easier to comply with and more the Commission, the following persons decisionmakers concerning matters effective for small entities as well as are parties: listed on a Sunshine Agenda, whether others. By increasing the frequency with (1) In a proceeding not designated for ex parte or not, are prohibited during which the Commission issues reports of hearing, any person who files an the period prescribed in paragraph (b) of ex parte presentations, the amended application, waiver request, petition, this section unless: rules will make it easier for small motion, request for a declaratory ruling, * * * * * entities and others to determine when or other filing seeking affirmative relief 4. Section 1.1204 is amended by ex parte presentations have occurred. (including a Freedom of Information Act revising paragraph (a) introductory text, 6. Accordingly, the Commission request), and any person (other than an paragraphs (a)(6), (a)(9), (a)(10)(iii), and certifies, pursuant to Section 605(b) of individual viewer or listener filing (a)(11), by adding paragraph (a)(12), and the Regulatory Flexibility Act, as comments regarding a pending by adding the note to paragraph (b) to amended by the Contract with America broadcast application or members of read as follows:

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§ 1.1204 Exempt ex parte presentations proceeding, who may respond in that are legally authorized to accept service and proceedings. support or opposition to the request for of legal documents in a civil context. Such (a) Exempt ex parte presentations. expedition, including by oral ex parte pleadings that are not served will be The following types of presentations are presentation, subject to the same service dismissed without consideration as a exempt from the prohibitions in defective pleading and treated as a violation requirement. of the ex parte rules unless the Commission restricted proceedings (§ 1.1208), the (12) The presentation is between determines that the matter should be disclosure requirements in permit-but- Commission staff and: entertained by making it part of the record disclose proceedings (§ 1.1206), and the (i) The administrator of the interstate under § 1.1212(d) of this section and the prohibitions during the Sunshine telecommunications relay services fund parties are so informed. Agenda period prohibition (§ 1.1203): relating to administration of the * * * * * telecommunications relay services fund * * * * * (7) * * * (6) The presentation is to or from the pursuant to 47 U.S.C. 225; United States Department of Justice or (ii) The North American Numbering Note 2 to paragraph (a): Where the Federal Trade Commission and involves Plan Administrator or the North requested information is the subject of a a telecommunications competition American Numbering Plan Billing and request for confidentiality, the person filing Collection Agent relating to the the request for confidentiality shall be matter in a proceeding which has not deemed a party. been designated for hearing and in administration of the North American which the relevant agency is not a party Numbering Plan pursuant to 47 U.S.C. * * * * * or commenter (in an informal 251(e); (12) A modification request filed rulemaking or Joint board proceeding) (iii) The Universal Service pursuant to § 64.1001 of this chapter; provided that, any new factual Administrative Company relating to the (13) Applications by Bell Operating information obtained through such a administration of universal service Companies to provide in-region, presentation that is relied on by the support mechanisms pursuant to 47 interLATA services pursuant to § 271(d) Commission in its decision-making U.S.C. 254; or of the Communications Act; and (iv) The Number Portability process will be disclosed by the (14) Petitions for Commission Commission no later than at the time of Administrator relating to the administration of local number preemption of authority to review the release of the Commission’s interconnection agreements under decision; portability pursuant to 47 U.S.C. 251(b)(2) and (e); provided that the § 252(e)(5) of the Communications Act * * * * * relevant administrator has not filed and petitions for preemption under (9) The presentation is made pursuant comments or otherwise participated as a § 253 of the Communications Act. to an express or implied promise of party in the proceeding. confidentiality to protect an individual Note 3 to paragraph (a): In a permit-but- (b) * * * disclose proceeding involving only one from the possibility of reprisal, or there Note 4 to paragraph (b): In the case of ‘‘party,’’ as defined in § 1.1202(d) of this is a reasonable expectation that section, the party and the Commission may disclosure would endanger the life or petitions for rulemaking that seek Commission preemption of state or local freely make presentations to each other and physical safety of an individual; regulatory authority, the petitioner must need not comply with the disclosure (10) * * * serve the original petition on any state or requirements of paragraph (b) of this section. (iii) If the presentation is made in a local government, the actions of which are 6. Section 1.1208 is amended by proceeding subject to permit-but- specifically cited as a basis for requesting disclose requirements, disclosure of any preemption. Service should be made on those revising the undesignated text to read as new written information elicited from bodies within the state or local governments follows: that are legally authorized to accept service such request or a summary of any new § 1.1208 Restricted proceedings. oral information elicited from such of legal documents in a civil context. Such request must be made in accordance pleadings that are not served will be Unless otherwise provided by the with the requirements of § 1.1206(b), dismissed without consideration as a Commission or its staff pursuant to defective pleading and treated as a violation § 1.1200(a) of this section, ex parte provided, however, that the of the ex parte rules unless the Commission Commission or its staff may determine determines that the matter should be presentations (other than ex parte that disclosure would interfere with the entertained by making it part of the record presentations exempt under § 1.1204(a) effective conduct of an investigation and under § 1.1212(d) and the parties are so of this section) to or from Commission dispense with the disclosure informed. decision-making personnel are requirement. As in paragraph (a)(10)(ii) * * * * * prohibited in all proceedings not listed of this section, information relating to 5. Section 1.1206 is amended by as exempt in § 1.1204(b) or permit-but- how a proceeding should or could be adding note 1 to paragraph (a) disclose in § 1.1206(a) of this section settled, as opposed to new information introductory text, revising and until the proceeding is no longer subject regarding the merits, shall not be redesignating note 1 as note 2, and by to administrative reconsideration or deemed to be new information for revising and redesignating note 2 as review or judicial review. Proceedings purposes of this section; note 3, and by adding paragraphs (a)(12) in which ex parte presentations are * * * * * through (a)(14) to read as follows: prohibited, referred to as ‘‘restricted’’ (11) The presentation is an oral proceedings, include, but are not § 1.1206 Permit-but-disclose proceedings. presentation in a restricted proceeding limited to, all proceedings that have not designated for hearing requesting (a) * * * been designated for hearing, action by a particular date or giving Note 1 to paragraph (a) introductory text: proceedings involving amendments to reasons that a proceeding should be In the case of petitions for declaratory ruling the broadcast table of allotments, expedited other than the need to avoid that seek Commission preemption of state or applications for authority under Title III administrative delay. A detailed local regulatory authority, the petitioner must of the Communications Act, and all serve the original petition on any state or summary of the presentation shall waiver proceedings (except for those local government, the actions of which are directly associated with tariff filings). promptly be filed in the record and specifically cited as a basis for requesting served by the person making the preemption. Service should be made on those 7. Section 1.1210 is revised to read as presentation on the other parties to the bodies within the state or local governments follows:

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§ 1.1210 Prohibition on solicitation of second document has just been DEPARTMENT OF COMMERCE presentations. submitted to the Office of the Federal No person shall solicit or encourage Register and will be published in National Oceanic and Atmospheric others to make any improper approximately the second week of Administration presentation under the provisions of December) to 95,300 mt. See 50 CFR Part 679 this section. § 679.20(c)(3)(iii) and § 679.20(a)(7). [FR Doc. 99–31620 Filed 12–8–99; 8:45 am] [Docket No. 990304063±9063±01; I.D. The fishery for Pacific cod by vessels 120299B] BILLING CODE 6712±01±P using hook-and-line or pot gear in the BSAI was closed to directed fishing Fisheries of the Exclusive Economic under § 679.20(d)(1)(iii) on October 19, Zone Off Alaska; Reallocation of DEPARTMENT OF COMMERCE 1999 (64 FR 56475, October 20, 1999), Pacific Cod in order to reserve amounts of Pacific National Oceanic and Atmospheric AGENCY: National Marine Fisheries cod anticipated to be needed for Administration Service (NMFS), National Oceanic and incidental catch in other fisheries. Atmospheric Administration (NOAA), 50 CFR Part 679 NMFS has determined that, with the Commerce. [Docket No. 990304063±9063±01; I.D. reallocation of Pacific cod from catcher/ ACTION: Reallocation. 120299A] processors and catcher vessels using trawl gear to vessels using hook-and- SUMMARY: NMFS is reallocating Fisheries of the Exclusive Economic line or pot gear, 2,000 mt remain in the projected unused amounts of Bering Sea Zone Off Alaska; Pacific Cod by portion of the TAC of Pacific cod and Aleutian Islands management area Vessels Using Hook-and-line or Pot allocated to vessels using hook-and-line (BSAI) Pacific cod from trawl catcher/ processors and trawl catcher vessels to Gear in the Bering Sea and Aleutian or pot gear in the BSAI. Because this vessels using hook-and-line or pot gear. Islands amount exceeds anticipated needs for This action is necessary to allow the AGENCY: National Marine Fisheries incidental catch of Pacific cod in other 1999 total allowable catch (TAC) of Service (NMFS), National Oceanic and fisheries, NMFS is terminating the Pacific cod to be harvested. previous closure and is opening Atmospheric Administration (NOAA), DATES: Effective December 6, 1999 Commerce. directed fishing for Pacific cod by through December 31, 1999. vessels using hook-and-line or pot gear ACTION: Modification of a closure. FOR FURTHER INFORMATION CONTACT: in the BSAI. Andrew Smoker, 907–586-7228. SUMMARY: NMFS is opening directed All other closures remain in full force SUPPLEMENTARY INFORMATION: fishing for Pacific cod by vessels using NMFS and effect. This action responds to the manages the groundfish fishery in the hook-and-line or pot gear in the Bering best available information recently Sea and Aleutian Islands management BSAI exclusive economic zone obtained from the fishery. It must be according to the Fishery Management area (BSAI). This action is necessary to implemented immediately in order to fully utilize the portion of the 1999 total Plan for the Groundfish Fishery of the allow full utilization of the Pacific cod allowable catch (TAC) of Pacific cod Bering Sea and Aleutian Islands Area TAC. Providing prior notice and allocated to these vessels in this area. (FMP) prepared by the North Pacific opportunity for public comment for this Fishery Management Council under DATES: Effective 1200 hours, Alaska action is impracticable and contrary to authority of the Magnuson-Stevens local time (A.l.t.), December 6, 1999 the public interest. Further delay would Fishery Conservation and Management until 2400 hrs, A.l.t., December 31, only disrupt the FMP objective of Act. Regulations governing fishing by 1999. providing the Pacific cod TAC for U.S. vessels in accordance with the FMP FOR FURTHER INFORMATION CONTACT: harvest. NMFS finds for good cause that appear at subpart H of 50 CFR part 600 Andrew Smoker, 907–586–7228. the implementation of this action and 50 CFR part 679. SUPPLEMENTARY INFORMATION: NMFS cannot be delayed for 30 days. In accordance with § 679.20(c)(5), the manages the groundfish fishery in the Accordingly, under 5 U.S.C. 553(d), a Final 1999 Harvest Specifications for BSAI according to the Fishery delay in the effective date is hereby Groundfish for the BSAI (64 FR 12103, Management Plan for the Groundfish March 11, 1999) established the Pacific waived. Fishery of the Bering Sea and Aleutian cod initial TAC for the BSAI as 163,725 Islands Area (FMP) prepared by the This action is required by § 679.20 metric tons (mt). Of this amount, 3,275 North Pacific Fishery Management and is exempt from review under E.O. mt was allocated to vessels using jig Council under authority of the 12866. gear, 38,475 mt to trawl catcher vessels, Magnuson-Stevens Fishery Authority: 16 U.S.C. 1801 et seq. 38,475 mt to trawl catcher/processors, Conservation and Management Act. and 83,500 mt to vessels using hook- Regulations governing fishing by U.S. Dated: December 3, 1999. and-line or pot gear. Subsequently, vessels in accordance with the FMP Richard W. Surdi, 5,000 mt were reallocated from the trawl appear at subpart H of 50 CFR part 600 Acting Director, Office of Sustainable catcher/processors to vessels using and 50 CFR part 679. Fisheries,National Marine Fisheries Service. hook-and-line or pot gear and 2,800 mt The Final 1999 Harvest Specifications [FR Doc. 99–31954 Filed 12–6–99; 3:58 pm] were reallocated from vessels using jig of Groundfish for the BSAI (64 FR BILLING CODE 3510±22±F gear to vessels using hook-and-line or 12103, March 11, 1999) established the pot gear (64 FR 52472, September 29, portion of the TAC of Pacific cod 1999). That reallocation resulted in allocated to vessels using hook-and-line allocations of 475 mt to vessels using jig or pot gear in the BSAI as 83,500 metric gear, 38,475 mt to trawl catcher vessels, tons (mt) which was then modified by 33,475 mt to trawl catcher/processors, two reallocations of Pacific cod TAC (64 and 91,300 mt to vessels using hook- FR 52472, September 29, 1999; the and-line or pot gear.

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As of November 20, 1999, the apportioning the projected unused disrupt the FMP’s objective of providing Administrator, Alaska Region, NMFS amount, 2,000 mt of Pacific cod from a portion of the Pacific cod TAC for (Regional Administrator), has trawl catcher/processors and 2,000 mt of hook-and-line or pot gear in the BSAI. determined that approximately 2,500 mt Pacific cod from trawl catcher vessels to NMFS finds for good cause that the of Pacific cod remain in the trawl vessels using hook-and-line or pot gear. implementation of this action can not be catcher/processor allocation and The resulting apportionments of Pacific delayed for 30 days. Accordingly, under approximately 2,500 mt remain in the cod are 475 mt to vessels using jig gear, 5 U.S.C. 553(d), a delay in the effective trawl catcher vessel allocation. Based on 36,475 mt to trawl catcher vessels, date is hereby waived. effort projections and recognizing that 31,475 mt to trawl catcher/processors, directed fishing for Pacific cod by trawl and 95,300 mt to vessels using hook- This action is taken under 50 CFR catcher/processors and trawl catcher and-line or pot gear. 679.20, and is exempt from OMB review vessels will be constrained by Pacific under E.O. 12866. Classification halibut bycatch restrictions, the Authority: 16 U.S.C. 1801 et seq. Regional Administrator has determined This action responds to the best that trawl catcher/processors will not be available information recently obtained Dated: December 3, 1999. able to harvest 2,000 mt of Pacific cod from the fishery. It must be Richard W. Surdi, and trawl catcher vessels will not be implemented immediately in order to Acting Director, Office of Sustainable able to harvest 2,000 mt allocated to allow full utilization of the Pacific cod Fisheries, National Marine Fisheries Service. these sectors under § 679.20(a)(7)(i)(B). TAC. A delay in the effective date is [FR Doc. 99–31953 Filed 12–6–99; 3:58 pm] Therefore, in accordance with impracticable and contrary to the public BILLING CODE 3510±22±F § 679.20(a)(7)(ii)(B), NMFS is interest. Further delay would only

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Proposed Rules Federal Register Vol. 64, No. 236

Thursday, December 9, 1999

This section of the FEDERAL REGISTER Commission’s ninth floor meeting room, for the purpose of influencing any contains notices to the public of the proposed 999 E Street, NW, Washington, DC. election for federal office. issuance of rules and regulations. The The proposed rules, which define the FOR FURTHER INFORMATION CONTACT: Ms. purpose of these notices is to give interested term coordinated general public Rosemary C. Smith, Assistant General persons an opportunity to participate in the political communication, would be Counsel, or Ms. Rita A. Reimer, rule making prior to the adoption of the final located in a new section of the rules. Attorney, 999 E Street, NW, Commission’s rules, 11 CFR 100.23. Washington, DC 20463, (202) 694–1650 They are intended to incorporate into or (800) 424–9530 (toll free). FEDERAL ELECTION COMMISSION the Commission’s rules the standard SUPPLEMENTARY INFORMATION: The articulated by the United States District 11 CFR Part 100 Commission is seeking public comment Court for the District of Columbia in the on proposed rules that would address Christian Coalition decision, supra. This [Notice 1999±27] coordinated communications made in is a supplemental Notice of Proposed support of or in opposition to clearly General Public Political Rulemaking (‘‘NPRM’’) to a 1997 NPRM identified candidates, that are paid for Communications Coordinated With that addressed coordinated activities by persons other than candidates, Candidates between candidates and political candidates’ authorized committees, and parties. 62 FR 24367 (May 5, 1997). AGENCY: party committees. The Commission is Federal Election Commission. A. History of the Rulemaking ACTION: Supplemental Notice of also seeking comment on whether these Proposed Rulemaking. same rules, or a different standard, In 1997, the Commission published a should apply to expenditures, including Notice of Proposed Rulemaking SUMMARY: The Commission is proposing communications, made by party (‘‘NPRM’’) seeking comments on new rules to address coordinated committees that are coordinated with proposed revisions to 11 CFR 110.7, communications made in support of or the parties’ candidates. which implements the provisions of 2 in opposition to clearly identified The Federal Election Campaign Act, 2 U.S.C. 441a(d) regarding party candidates, that are paid for by persons U.S.C. 431 et seq. (‘‘FECA’’ or the ‘‘Act’’) committee coordinated expenditures other than candidates, candidates’ prohibits corporations and labor and spending limits. 62 FR 24367 (May authorized committees, and party organizations from using general 5, 1997). Section 441a(d) of the FECA committees. Please note that the draft treasury funds to make contributions to permits national, state, and local rules that follow do not represent a final a candidate for federal office. 2 U.S.C. committees of political parties to make decision by the Commission on the 441b(a). It also imposes various limits limited general election campaign issues presented by this rulemaking. on the amount of money or in-kind expenditures on behalf of their Further information is provided in the contributions other persons may candidates, which are in addition to the supplementary information that follows. contribute to federal campaigns. 2 amounts they may contribute directly to those candidates. These section 441a(d) DATES: Comments must be received on U.S.C. 441a(a). While individuals and or before January 24, 2000. If the persons other than corporations and expenditures are commonly referred to as ‘‘coordinated party expenditures’’ Commission receives requests to testify, labor organizations can make because such expenditures can be made it will hold a hearing on these proposed independent expenditures in after extensive consultation with the rules on February 16, 2000, at 10:00 a.m. connection with federal campaigns, candidates and their campaign staffs. Persons wishing to testify at the hearing these expenditures must be made Former 11 CFR 110.7(b)(4) had should so indicate in their written or without cooperation or consultation presumed that party committees were electronic comments. with any candidate, or any authorized incapable of making independent ADDRESSES: All comments should be committee or agent of a candidate; and expenditures, because of the close addressed to Rosemary C. Smith, they shall not be made in concert with, relationship between candidates and Assistant General Counsel, and must be or at the request or suggestion of, any their party. This regulation was submitted in either written or electronic candidate, or any authorized committee implicated by the Supreme Court’s form. Written comments should be sent or agent of a candidate. 2 U.S.C. 431(17). plurality opinion in Colorado to the Federal Election Commission, 999 Expenditures that are coordinated Republican Federal Campaign E Street, NW, Washington, DC 20463. with a candidate or campaign are Committee v. Federal Election Faxed comments should be sent to (202) considered in-kind contributions. As Commission, 518 U.S. 604 (1996) 219–3923, with printed copy follow-up such, they are subject to the various (Colorado). In that decision, the Court to insure legibility. Electronic mail limits and prohibitions set out in the concluded that political parties are comments should be sent to Act. Buckley v. Valeo, 424 U.S. 1, 46– capable of making independent [email protected]. Commenters 47 (1976) (footnote omitted) expenditures on behalf of their sending comments by electronic mail (‘‘Buckley’’); Federal Election candidates for federal office, and that it should include their full name and Commission v. The Christian Coalition, would violate the First Amendment to postal service address within the text of 52 F.Supp.2d 45, 85 (D.D.C. 1999) subject such independent expenditures their comments. Comments that do not (‘‘Christian Coalition’’). The Act defines to the coordinated expenditure limits contain the full name, electronic mail ‘‘contribution’’ at 2 U.S.C. 431(8) to found in section 441a(d) of the FECA. address and postal service address of include any gift, subscription, loan, Id. at 613–14. the commenter will not be considered. advance, or deposit of money or Following the Colorado Supreme The hearing will be held in the anything of value made by any person Court decision, and in response to a

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It also sought Constitutional question involving the section 110.7 to the extent that this comment on coordination between the limits on coordinated party paragraph prohibited national and state national committees of political parties expenditures before issuing new rules committees of political parties from and their Presidential candidates with on such spending. making independent expenditures for respect to poll results, media congressional candidates. 61 FR 40961 production, consultants, and employees B. Post-Colorado Judicial Opinions (Aug. 7, 1996). On the same date, the whose services are intended to benefit 1. The Christian Coalition Decision Commission published a Notice of the parties’ eventual Presidential The Christian Coalition case arose out Availability seeking comment on other nominees. of an FEC enforcement action alleging The Commission received seven significant issues arising from the coordination between the Christian written comments on coordinated Colorado decision. 61 FR 41036 (Aug. 7, Coalition and various federal campaigns 1996). These included possible expenditures in response to the 1998 in connection with the 1990, 1992, and amendments to 11 CFR Part 109, the NPRM. The Commission subsequently 1994 elections, resulting in Commission’s rules addressing reopened the comment period and held disbursements from the general independent expenditures by any a public hearing on March 24, 1999, at corporate treasury for voter guides, ‘‘get person, and 11 CFR 110.7 to provide which four witnesses presented out the vote’’ activities, direct mailings standards for determining when party testimony on coordination issues. and payments to speakers. The Christian committee expenditures qualify as On November 3, 1999, the Coalition characterized these activities ‘‘independent’’ or are considered Commission promulgated new as independent corporate speech, and ‘‘coordinated’’ with federal candidates. paragraph (d) of section 110.7, the FEC alleged that because of the Another issue raised was whether to addressing pre-nomination coordinated modify or repeal the rule barring expenditures. 64 FR 59606 (Nov. 3, varying degrees of interaction between national party committees from making 1999). The new paragraph states that the Christian Coalition and those independent expenditures on behalf of party committees may make coordinated candidates and their campaigns, the Presidential candidates in the general expenditures in connection with the activities should be treated as in-kind election. See 11 CFR 110.7(a)(5). No general election campaign before their contributions that violated the Act’s statements supporting or opposing the candidates have been nominated. It contribution limits and/or prohibitions. In setting out a working definition of petition were received by the close of further states that all pre-nomination the comment period. coordinated expenditures shall be ‘‘coordination’’ to address this situation, On May 5, 1997 the Commission subject to the section 441a(d) the Christian Coalition court explained issued an NPRM in which it sought coordinated expenditure limitations, that ‘‘the standard for coordination must comments on proposed revisions to whether or not the candidate with be restrictive, limiting the universe of these regulations. 62 FR 24367 (May 5, whom they are coordinated receives the cases triggering potential enforcement 1997). Ten comments were received in party’s nomination. Please note that actions to those situations in which the response to this NPRM. On June 18, new paragraph 110.7(d) applies to all coordination is extensive enough to 1997, the Commission held a public federal elections. For additional make the potential for corruption hearing on this rulemaking, at which six information, see Explanation and through legislative quid pro quo witnesses testified. Justification to Section 110.7, Party palpable without chilling protected The Commission subsequently Committee Coordinated Expenditures contact between candidates and decided to hold the 1997 rulemaking in and Spending Limits (2 U.S.C. 441a(d)), corporations and unions.’’ 52 F.Supp.2d abeyance until it received further 64 FR 42579, 42580–81 (Aug. 5, 1999). at 88–89. The court continued that direction from the courts. The At this point, the Commission is ‘‘First Amendment clarity demands a coordinated spending limits were continuing to evaluate possible definition of ’coordination’’ that invalidated on Constitutional grounds amendments to 11 CFR 110.7 and 109.1 provides the clearest possible guidance by the district court in Colorado regarding the definitions of to candidates and constituents, while Republican Federal Campaign ‘‘coordinated’’ and ‘‘independent’’ balancing the Government’s compelling Committee v. Federal Election expenditures, the standards applicable interest in preventing corruption of the Commission, 41 F.Supp.2d 1197 (D. to party committee advertisements electoral process with fundamental First Colo. 1999), on remand from the directed to the general public, and the Amendment rights to engage in political Colorado Supreme Court decision. This possible repeal or modification of 11 speech and political association.’’ Id. at case is currently on appeal to the Court CFR 110.7(a)(5), which currently bars 91. In its opinion the district court of Appeals for the Tenth Circuit, with national party committees from making referred to ‘‘expressive expenditures,’’ oral argument scheduled for early next independent expenditures in as opposed to expenditures for other year. connection with Presidential general types of campaign support, and defined On December 16, 1998, the election campaigns. Consequently, a ‘‘coordinated expressive expenditure’’ Commission published a new NPRM revised proposals on these topics may as ‘‘one for a communication made for putting forth proposed amendments to be put out for additional public the purpose of influencing a federal its rules governing publicly financed comment in the future. In addition, the election in which the spender is Presidential primary and general Commission may consider amending 11 responsible for a substantial portion of election candidates. 63 FR 69524 (Dec. CFR 109.1(b)(4) to refer to the the speech and for which the spender’s 16, 1998). Issues concerning coordination standard in 11 CFR 100.23 choice of speech has been arrived at coordination between party committees applicable to general public political after coordination with the campaign.’’ and their Presidential candidates, which communications. However, in addition Id. at 85, n. 45. had been raised in the earlier NPRM, to the specific proposals discussed The court went on to explain that ‘‘an were addressed in the public funding below that address other types of expressive expenditure becomes rulemaking. For example, the 1998 coordinated communications, ‘coordinated,’ where the candidate or NPRM put forward narrative proposals comments are sought as to whether it her agents can exercise control over, or

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It would be audience (e.g., choice between collaboration beyond a mere inquiry as limited to those communications having newspaper or radio advertisement); or to the position taken by a candidate on an intended audience of over one (4) ‘volume’ (e.g., number of copies of an issue.’’ 114 F.3d at 1311, citing hundred people. See proposed 11 CFR printed materials or frequency of media Buckley, 424 U.S. at 46–47 and n. 53 100.23(e)(1). Including cable television spots). ‘Substantial discussion or (1976). Over a strong dissent, the panel broadcasts is consistent with the negotiation’ is such that the candidate invalidated those portions of the Commission’s candidate debate and spender emerge as partners or joint Commission’s voter guide regulations at regulations at 11 CFR 100.13(a)(2), venturers in the expressive expenditure, 11 CFR 114.4(c)(5)(i), (ii)(C) that limit while including communications made but the candidate and spender need not any contact with candidates to written over the Internet reflects the expanding be equal partners.’’ Id. at 92. The court inquiries and replies, and generally role of that medium in federal acknowledged that ‘‘a standard that require all candidates for the same office campaigns. The exclusion of requires ’substantial’ anything leaves to receive equal space and prominence communications with an intended room for factual dispute,’’ but reasoned in the guide. Id. at 1317. The court also audience of one hundred people or that the standard reflects a reasonable invalidated the Commission’s voting fewer mirrors the Commission’s balance between possibly chilling some record rules at 11 CFR 114.4(c)(4) to the disclaimer rules at 11 CFR 110.11(a)(3), protected speech and the need to protect extent they limit contact with which exempt from the disclaimer against the ‘‘real dangers to the integrity candidates to written inquiries on requirements direct mailings of one of the electoral process’’ expressive candidates’ positions. Id. In Federal hundred pieces or less. expenditures may present. Id. Election Commission v. Public Citizen, Please note that the term ‘‘general The district court proceeded to apply Inc., 1999 WL 731056 (N.D. Ga. 1999), public political communication’’ is this standard to the challenged a federal district court followed the similar to the term ‘‘general public campaign activities. In most instances Clifton ‘‘collaboration’’ language in political advertising,’’ which appears in the court did not find coordination. For holding that contacts between a public three places in the Act and in several example, the court found no interest group and a candidate made in sections of the regulations. The term has coordination between the Christian connection with an advertising similar and generally consistent Coalition and the Bush-Quayle campaign to defeat a candidate for the meanings in the Act and the campaign in the preparation of voter House of Representatives were not Commission’s rules. For example, the guides in connection with the 1992 coordinated for purposes of the FECA. definitions of ‘‘contribution’’ and Presidential campaign, explaining that, The Commission did not appeal that ‘‘expenditure’’ at 2 U.S.C. 431(8)(B)(v) while the campaign was generally aware portion of the Public Citizen decision and 431(9)(B)(iv) respectively refer to President Bush would compare that addresses the coordination ‘‘broadcasting stations, newspapers, favorably in the eyes of the target standard. magazines, or similar types of general audience with the other candidates public political advertising.’’ Section profiled in the guides, the campaign C. Proposed Rules 441d(a) of the Act, which addresses staff did not seek to discuss the issues The Commission is proposing to add communications that require a that would be profiled or how they a new section 11 CFR 100.23 to its rules, disclaimer, includes the same list and would be worded. Nor did they seek to to address coordinated communications adds outdoor advertising facilities and influence the Coalition’s decisions as to made in connection with federal direct mailings. The corresponding rules how many guides would be produced, campaigns that are paid for by persons are found at 11 CFR 100.7(b)(9) and when and where they would be other than candidates, candidates’ (definition of ‘‘contribution’’), distributed. Id. at 93–95. Similarly, the authorized committees, and party 100.8(b)(10) (definition of fact that a Coalition official served as a committees. The Commission believes it ‘‘expenditure’’), and 110.11(a)(1) volunteer in a 1994 House campaign is appropriate to place this language in (communications requiring disclaimers). and also made decisions as to where the a separate section of the rules to Consequently, the Commission believes Coalition’s voter guides would be properly alert the regulated community the term ‘‘general public political distributed in connection with the of this standard. communications’’ describes the types of House campaign did not amount to The proposed new section, which communications the court had in mind coordination where the official did not would be entitled Coordinated General in Christian Coalition in a manner make his decisions based on any Public Political Communications, would consistent with sections 431(8) and (9) discussions or negotiations with the largely follow the language of the and 441d(a) of the Act. campaign for which he volunteered. Id. Christian Coalition decision, discussed The proposed rules in 11 CFR 100.23 at 95–96. In contrast, the court found above. The Commission is, however, would also be limited to coordination where the Coalition proposing to use the phrase ‘‘general communications that include a ‘‘clearly provided a Senate campaign consultant public political communication’’ in identified candidate.’’ The term ‘‘clearly with a commercially valuable mailing place of ‘‘expressive expenditure,’’ the identified candidate’’ would have the list. Id. at 96. The Commission term used by the Christian Coalition same meaning as that in 11 CFR 100.17 subsequently decided not to appeal the court, because that term may not give and 2 U.S.C. 431(17). Thus, it would district court’s decision. the regulated community adequate include instances where the candidate’s notice of the types of communications name, nickname, photograph, or 2. The Clifton and Public Citizen that would be covered by these rules. drawing appears, or the identity of the Decisions The Commission is proposing to candidate is otherwise apparent through In Clifton v. Federal Election define the term ‘‘general public political an unambiguous reference such as ‘‘the Commission, 114 F.3d 1309 (1st Cir. communications’’ to include those made President,’’ ‘‘your Congressman,’’ or 1997), cert. denied, 118 S.Ct. 1036 through a broadcasting station, ‘‘the incumbent,’’ or through an

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68954 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules unambiguous reference to his or her communications in which a candidate substantial discussion or negotiation status as a candidate such as ‘‘the in one state solicits funds on behalf of between the creator, producer or Democratic Presidential nominee’’ or a candidate in another, as long as distributor of the communication, or ‘‘the Republican candidate for Senate in contributors were asked to send their person paying for the communication, the State of Georgia.’’ contributions directly to the candidate and a candidate, candidate’s authorized Proposed paragraph 11 CFR 100.23(c) on whose behalf they were made. committee or a party committee, contains the text of the coordination Similarly, Alternative 1–B would not regarding the content, timing, location, standard. The Commission is seeking cover an outside organization’s mode, intended audience, volume of comments on alternative language at solicitations on behalf of a candidate, if distribution or frequency of placement two places in this paragraph. The first these were made primarily outside the of that communication, the result of would appear in the introductory geographic area in which the candidate which is collaboration or agreement. It portion of the paragraph. Under was running, and if the outside would further provide that substantial Alternative 1–A, a communication organization does not collect and discussion or negotiation could be would be considered to be coordinated forward the contributions to the evidenced by one or more meetings, if the communication was paid for by candidate. conversations or conferences regarding persons other than the candidate, the The Commission welcomes comments the value or importance of that candidate’s authorized committee, or a on alternative ways to accomplish the communication for a particular election. party committee, and was created, desired result of Alternative 1–B The Commission recognizes, as did produced or distributed as discussed through means other than the proposed the Christian Coalition court, that use of below. geographic limitation language. the term ‘‘substantial’’ means that Alternative 1–B would add the The Commission is also seeking enforcement matters involving this additional qualification that the comment on two alternatives of a standard will likely be fact-specific. 52 communication be distributed primarily provision to be located in 11 CFR F.Supp.2d at 92. However, it may be in the geographic area in which the 100.23(c)(1) that addresses possible to clarify the application of this candidate was running in order to be communications made at the request or standard to specific facts and considered coordinated with a suggestion of the candidate or circumstances by use of the candidate or party committee. campaign. Alternative 2–A would state Commission’s advisory opinion process. Alternative 1–B is intended to address that coordination occurs when a See 2 U.S.C. 437f. the concern that the costs of national communication is created, produced or Consistent with the Buckley, Christian legislative campaigns that refer to distributed at the request or suggestion Coalition and Clifton decisions, the clearly-identified candidates, and may of, or when authorized by, a candidate, proposed rules would provide at 11 CFR be endorsed by or designed by one or candidate’s authorized committee, a 100.23(d) that a candidate’s or political more of the named candidates, not be party committee, or the agent of any of party’s response to an inquiry regarding considered expenditures on behalf of the foregoing. Alternative 2–B would the candidate’s or the party’s position those candidates’ campaigns. For limit such coordination to those on legislative or public policy issues example, expenditures made in instances where the parties also discuss does not alone make the communication connection with a national campaign to the content, timing, location, mode, coordinated. support the so-called ‘‘Shays-Meehan’’ intended audience, volume of As discussed above, although money campaign finance legislation would not distribution or frequency of placement spent on these communications is be considered contributions to Rep. of that communication, the result of referred to as a coordinated expenditure, Shays or Rep. Meehan, even if the group which is collaboration or agreement. the expenditure is treated under the distributing the advertisement had Alternative 2–A reflects the following FECA as an in-kind contribution. Thus, consulted with them to design the language in the Christian Coalition the proposed rules state at 11 CFR national advertising campaign in decision, in which the court stated, 100.23(b) that any general public support of their legislation and referred ‘‘The fact that the candidate has political communication that includes a to it as the ‘‘Shays-Meehan bill’’ in the requested or suggested that a spender clearly identified candidate and is advertising. engage in certain speech indicates that coordinated with that candidate, an One potential concern with the the speech is valuable to the candidate, opposing candidate, or a party geographic limitation language giving such expenditures sufficient committee supporting or opposing that proposed in Alternative 1–B is that in contribution-like qualities to fall within candidate is both an expenditure under many parts of the country the media the Act’s prohibition on contributions.’’ 11 CFR 100.8(a) and an in-kind market may cover several adjacent 52 F.Supp.2d at 91. Alternative 2–B contribution under 11 CFR states. Thus, political advertisements would further restrict coordinated 100.7(a)(1)(iii). As such, it is subject to broadcast from a station in these areas communications to those instances in the contribution limits of 2 U.S.C. 441a arguably may not be ‘‘distributed which discussion of these additional and must be reported as a contribution primarily in the geographic area in topics takes place. and an expenditure as required at 2 which [a] candidate [is] running.’’ For Proposed 11 CFR 100.23(c)(2) would U.S.C. 434. example, much television and radio treat communications as coordinated advertising made in connection with after the candidate or the candidate’s D. Hypotheticals New Hampshire elections is aired over agent, or a party committee or its agent, In order to properly evaluate the Boston broadcast media, because there has exercised control or decision- practical effect of the proposed is no other major city from which to air making authority over the content, coordination regulations, certain these broadcasts. Many broadcasts timing, location, mode, intended Commissioners seek comment on the aimed at New Jersey elections are aired audience, volume of distribution, or following hypotheticals. In particular, over New York City media because a frequency of placement of the the Commissioners would like large number of New Jersey voters communication. comments on whether (1) the activities receive these broadcasts. Under proposed 11 CFR 100.23(c)(3), described in the hypotheticals Alternative 1–B would also exclude a communication would be considered constitute coordination under the draft from the definition of coordination coordinated if it was made after language contained in the Notice of

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Proposed Rulemaking; and (2) whether such, should the advertisement be PART 100ÐSCOPE AND DEFINITIONS the communications described in the viewed as an in-kind contribution to the (2 U.S.C. 431) hypotheticals are subject to the Moore campaign? Or, does content and Commission’s jurisdiction. timing matter? What if the 1. The authority citation for Part 100 I. Candidate Smith is slightly behind advertisement ran the week before the would continue to read as follows: in the polls, low on money, and needs election and concluded with the words, Authority: 2 U.S.C. 431, 438(a)(8). help. It is the week before the election ‘‘Please support Senator William 2. Part 100 would be amended by and he knows that a wealthy contributor Moore!’’? Before deciding whether to adding new section 100.23 to read as is planning to run an independent apply the Commission’s coordination follows: expenditure advertisement to assist the regulations, should the Commission Smith campaign. Smith contacts the decide whether the content of the § 100.23 Coordinated General Public contributor and complains that nobody advertisement is ‘‘in connection with’’ Political Communications. has focused on an important matter in or ‘‘for the purpose of influencing’’ an (a) Scope. This section applies to the campaign: various problems in the election? If so, should the Commission general public political communications personal life of his opponent, provide guidance to the regulated paid for by persons other than Congressman Jones. Because of this community and define those terms in candidates, authorized committees, and oversight, candidate Smith believes that the coordination rulemaking? party committees. Congressman Jones is viewed in a better (b) Treatment as expenditures and light by the electorate. Candidate Smith, E. Coordinated Party Expenditures contributions. Any general public however, does not want to run such an As explained above, the Commission political communication that includes a advertisement himself for fear of being has an ongoing rulemaking addressing clearly identified candidate and is accused of negative advertising. coordinated with that candidate, an During his meeting with candidate coordinated party expenditures, i.e., political party expenditures that are opposing candidate or a party Smith, the wealthy supporter says, committee supporting or opposing that ‘‘That’s a great idea! Thanks for the coordinated with particular candidates. The details of those proposals, which candidate is both an expenditure under information.’’ After the meeting, the 11 CFR 100.8(a) and an in-kind wealthy supporter changes the included several alternatives, can be found in the NPRM published on May contribution under 11 CFR advertisement to say: ‘‘Congressman 100.7(a)(1)(iii). Jones is a liar, tax cheat, wife-beater, 5, 1997. 62 FR 24367 (May 5, 1997). and absentee legislator—keep that in That rulemaking had been held in Alternative 1–A for Paragraph (c) mind on Tuesday.’’ The advertisement abeyance because the issues are Introductory Text involved in ongoing litigation. However, runs on the weekend before the election. (c) Coordination with candidates and the Commission welcomes comments Is this a coordinated expenditure? party committees. A general public on whether the standard for Would it make a difference if the political communication is considered coordination proposed in this wealthy supporter said nothing during to be coordinated if the communication supplemental NPRM on coordination his meeting with the candidate? is paid for by any person other than the should be applied to political party II. The Texas Savings and Loan candidate, the candidate’s authorized expenditures for general public political League would like to reinforce the committee, or a party committee, and is communications that are coordinated public’s confidence in the safety of created, produced or distributed— deposits in federally insured Texas with particular candidates. If not, (1) Savings and Loan institutions. To this why should a different standard be Alternative 1–B for Paragraph (c) end, it runs a public service applied to coordination in that context? Introductory Text announcement featuring the State’s (2) What should that different standard (c) Coordination with candidates and senior United States Senator who is also be? party committees. A general public a candidate for re-election. The The Commission also welcomes political communication is considered advertisement, which runs in January of comments on any related issue. to be coordinated if the communication the election year, opens with a live is distributed primarily in the Certification of No Effect Pursuant to 5 picture of the Senator against a geographic area in which a candidate is U.S.C. 605(b) [Regulatory Flexibility background with the Texas Savings and running, is paid for by any person other Act] Loan Association and logo: than that candidate, the candidate’s ANNOUNCER: ‘‘Senator William These proposed rules will not, if authorized committee, or a party Moore.’’ promulgated, have a significant committee, and is created, produced or SENATOR MOORE: ‘‘For fifty-four economic impact on a substantial distributed— years now, savings and loan deposits number of small entities. The basis for Alternative 2–A for Paragraph (c)(1) have been guaranteed by the United this certification is that the rules would States government. Throughout all of conform to court decisions that expand (1) At the request or suggestion of, or that time, not one penny of insured the definition of certain coordinated authorized by, the candidate, the deposits has been lost in Texas, or communications made in support of or candidate’s authorized committee, a anywhere else in the country. Your in opposition to clearly identified party committee, or the agent of any of deposit of up to $100,000 is as good as candidates. Therefore, no significant the foregoing; gold in a federally insured Texas economic impact would result. Alternative 2–B for Paragraph (c)(1) savings and loan. As safe as Fort Knox.’’ BILLBOARD: ‘‘This message brought List of Subjects in 11 CFR Part 100 (1) At the request or suggestion of, or to you as a public service by your local authorized by, the candidate, the Savings and Loan Association.’’ Elections. candidate’s authorized committee, a Since the candidate appeared in the For the reasons set out in the party committee, or the agent of any of advertisement, it would appear to have preamble, it is proposed to amend the foregoing regarding the content, been ‘‘coordinated’’ or made in Subchapter A, Chapter I of title 11 of the timing, location, mode, intended cooperation with the candidate. As Code of Federal Regulations as follows: audience, volume of distribution or

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68956 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules frequency of placement of that DEPARTMENT OF TRANSPORTATION 1601 Lind Avenue, SW., Renton, communication, the result of which is Washington. collaboration or agreement; Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: Norman B. Martenson, Manager, (2) After the candidate or the 14 CFR Part 39 candidate’s agent, or a party committee International Branch, ANM–116, FAA, or its agent, has exercised control or [Docket No. 98±NM±174±AD] Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington decision-making authority over the RIN 2120±AA64 98055–4056; telephone (425) 227–2110; content, timing, location, mode, fax (425) 227–1149. intended audience, volume of Airworthiness Directives; British SUPPLEMENTARY INFORMATION: distribution, or frequency of placement Aerospace Model BAe 146±100A, of that communication; or ±200A, and ±300A Series Airplanes Comments Invited (3) After substantial discussion or AGENCY: Federal Aviation Interested persons are invited to negotiation between the creator, Administration, DOT. participate in the making of the producer or distributor of the ACTION: Notice of proposed rulemaking proposed rule by submitting such communication, or the person paying (NPRM). written data, views, or arguments as for the communication, and the they may desire. Communications shall candidate, the candidate’s authorized SUMMARY: This document proposes the identify the Rules Docket number and committee or a party committee, supersedure of an existing airworthiness be submitted in triplicate to the address regarding the content, timing, location, directive (AD), applicable to all British specified above. All communications Aerospace Model BAe 146–100A, mode, intended audience, volume of received on or before the closing date –200A, and –300A series airplanes, that for comments, specified above, will be distribution or frequency of placement currently requires installation of a considered before taking action on the of that communication, the result of placard prescribing special procedures proposed rule. The proposals contained which is collaboration or agreement. to be followed when operating at certain in this notice may be changed in light Substantial discussion or negotiation flight levels with the engine and of the comments received. may be evidenced by one or more airframe anti-ice switch ON; Comments are specifically invited on meetings, conversations or conferences modification of the air brake auto-retract the overall regulatory, economic, regarding the value or importance of function; a revision to the Airplane environmental, and energy aspects of that communication for a particular Flight Manual (AFM) relative to altitude the proposed rule. All comments election. and operating limitations associated submitted will be available, both before (d) Exception. A candidate’s or with flight in icing conditions above and after the closing date for comments, political party’s response to an inquiry 26,000 feet. That AD was prompted by in the Rules Docket for examination by regarding the candidate’s or party’s reports of uncommanded engine thrust interested persons. A report position on legislative or public policy reductions (rollback) when operating in summarizing each FAA-public contact concerned with the substance of this issues does not alone make the certain icing conditions that exist in the proposal will be filed in the Rules communication coordinated. vicinity of thunderstorms. This action would add a requirement for the Docket. (e) Definitions. For purposes of this installation/replacement of new Commenters wishing the FAA to section: placards. This proposal also would acknowledge receipt of their comments (1) General public political provide for an optional terminating submitted in response to this notice communications include those made modification for the AFM revision and must submit a self-addressed, stamped through a broadcasting station installation/replacement of placards. postcard on which the following (including a cable television operator), The actions specified by the proposed statement is made: ‘‘Comments to newspaper, magazine, outdoor AD are intended to prevent engine Docket Number 98–NM–174–AD.’’ The postcard will be date stamped and advertising facility, mailing or any power rollback during flight in icing returned to the commenter. electronic medium, including the conditions, a condition that could result Internet or on a web site, with an in insufficient power to sustain flight. Availability of NPRMs intended audience of over one hundred DATES: Comments must be received by Any person may obtain a copy of this people. January 10, 2000. NPRM by submitting a request to the (2) Clearly identified has the same ADDRESSES: Submit comments in FAA, Transport Airplane Directorate, meaning as set forth in 11 CFR 100.17. triplicate to the Federal Aviation ANM–114, Attention: Rules Docket No. Administration (FAA), Transport 98–NM–174–AD, 1601 Lind Avenue, Dated: December 3, 1999. Airplane Directorate, ANM–114, SW., Renton, Washington 98055–4056. Scott E. Thomas, Attention: Rules Docket No. 98–NM– Discussion Chairman, Federal Election Committee. 174–AD, 1601 Lind Avenue, SW., [FR Doc. 99–31825 Filed 12–8–99; 8:45 am] Renton, Washington 98055–4056. On July 10, 1996, the FAA issued AD Comments may be inspected at this 96–14–09, amendment 39–9694 (61 FR BILLING CODE 6715±01±P location between 9 a.m. and 3 p.m., 37199, July 17, 1996), applicable to all Monday through Friday, except Federal British Aerospace Model BAe 146– holidays. 100A, –200A, and –300A series The service information referenced in airplanes, to require installation of a the proposed rule may be obtained from placard prescribing special procedures British Aerospace Regional Aircraft to be followed when operating at certain American Support, 13850 Mclearen flight levels with the engine and Road, Herndon, Virginia 20171. This airframe anti-ice switch ON; information may be examined at the modification of the air brake auto-retract FAA, Transport Airplane Directorate, function; and a revision to the Airplane

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Flight Manual (AFM) relative to altitude inlet stator vane surfaces, which can The actions that are currently and operating limitations associated result in engine rollback and loss of required by AD 96–14–09, and retained with flight in icing conditions above thrust control in icing conditions. in this proposed AD, take approximately 26,000 feet. That action was prompted Operators should note that Service 4 work hours per airplane to by reports of uncommanded engine Bulletin SB.71–72–30473A only reflects accomplish, at an average labor rate of thrust reductions (rollback) when procedures for installation of engines $60 per work hour. Based on these operating in certain icing conditions that have been modified in accordance figures, the cost impact of the currently that exist in the vicinity of with the requirements of AD 99–15–06. required actions on U.S. operators is thunderstorms. The requirements of that Accomplishment of the actions estimated to be $9,600, or $240 per AD are intended to prevent engine specified in Service Bulletin SB.11– airplane. power rollback during flight in icing 137–30405A is intended to adequately The new actions that are proposed in conditions, a condition that could result address the identified unsafe condition. this AD action would take in insufficient power to sustain flight. The Civil Aviation Authority (CAA), approximately 1 work hour per airplane which is the airworthiness authority for Actions Since Issuance of Previous Rule to accomplish, at an average labor rate the United Kingdom, classified Service of $60 per work hour. Based on these Since the issuance of that AD, British Bulletin SB.11–137–30405A as figures, the cost impact of the new Aerospace has issued Service Bulletin mandatory, approved Service Bulletin proposed requirements of this AD on SB.11–137–30405A, dated March 26, SB.71–72–30473A, and issued British U.S. operators is estimated to be $2,400, 1998, which describes procedures for airworthiness directives 004–03–98 and or $60 per airplane. installation of a placard on the flight 003–06–96, Revision 1, in order to The cost impact figures discussed deck to indicate that a 26,000 feet assure the continued airworthiness of above are based on assumptions that no altitude limitation in icing is applicable, these airplanes in the United Kingdom. operator has yet accomplished any of and replacement of a certain ice FAA’s Conclusions the current or proposed requirements of protection panel placard with a new this AD action, and that no operator This airplane model is manufactured placard for N2 limitations. would accomplish those actions in the in the United Kingdom and is type British Aerospace also has issued future if this AD were not adopted. Service Bulletin SB.71–72–30473A, certificated for operation in the United States under the provisions of section Should an operator elect to dated July 8, 1998, and Revision 1, accomplish the actions associated with dated November 2, 1998, which 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and the the optional terminating modification, it describes procedures for modification of would take approximately 34 work all four engines. These modifications applicable bilateral airworthiness agreement. Pursuant to this bilateral hours per airplane to accomplish, at an include: average labor rate of $60 per work hour. • Reduction of the length core-flow/ airworthiness agreement, the CAA has Required parts would cost fan-flow splitter (cut-back splitter) to kept the FAA informed of the situation approximately $2,400 per airplane. reduce ice crystal/water ingestion to the described above. The FAA has Based on these figures, the cost impact core; examined the findings of the CAA, • Modification of the splitter lip reviewed all available information, and of the proposed optional terminating insulating baffle to reduce heat loss; determined that AD action is necessary modification is estimated to be $4,440 • Installation of a heated exit guide for products of this type design that are per airplane. vane (EGV) to prevent ice build up; certificated for operation in the United Regulatory Impact • Relocation of the engine anti-ice air States. source to the combustor bleed plenum The regulations proposed herein to reduce system heat loss; Explanation of Requirements of would not have substantial direct effects • Installation of a new anti-ice valve Proposed Rule on the States, on the relationship with improved couplings; and Since an unsafe condition has been between the national government and • Modification of plumbing to install identified that is likely to exist or the States, or on the distribution of improved insulated connections. develop on other airplanes of the same power and responsibilities among the The service bulletin also describes type design registered in the United various levels of government. Therefore, certain revisions to the AFM for States, the proposed AD would in accordance with Executive Order operation of the airplane following supersede AD 96–14–09 to continue to 12612, it is determined that this installation of modified engines. require modification of the air brake proposal would not have sufficient Accomplishment of the modification on auto-retract function; and a revision to federalism implications to warrant the all four engines and insertion of the the AFM relative to altitude and preparation of a Federalism Assessment. AFM revisions would eliminate the operating limitations associated with For the reasons discussed above, I need for the installation/replacement of flight in icing conditions above 26,000 certify that this proposed regulation (1) the placards described in Service feet. In addition, the proposed AD is not a ‘‘significant regulatory action’’ Bulletin SB.11–137–30405A. would require accomplishment of the under Executive Order 12866; (2) is not The FAA has issued AD 99–15–06, actions specified in British Aerospace a ‘‘significant rule’’ under the DOT amendment 39–11225 (64 FR 38557, Service Bulletin SB.11–137–30405A, Regulatory Policies and Procedures (44 July 19, 1999), applicable to described previously. The proposal also FR 11034, February 26, 1979); and (3) if AlliedSignal Inc. Model ALF502R–5 would provide for an optional promulgated, will not have a significant and ALF502R–3A turbofan engines, to terminating modification for the AFM economic impact, positive or negative, require incorporation of an improved revision and installation/replacement of on a substantial number of small entities fan core inlet anti-ice system (i.e., placards. under the criteria of the Regulatory modification of those engines in Flexibility Act. A copy of the draft accordance with Service Bulletin Cost Impact regulatory evaluation prepared for this SB.71–72–30473A). The actions There are approximately 40 airplanes action is contained in the Rules Docket. specified in that AD are intended to of U.S. registry that would be affected A copy of it may be obtained by prevent ice accretion on the fan core by this proposed AD. contacting the Rules Docket at the

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68958 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules location provided under the caption switches on the flight deck overhead panel to Optional Terminating Modification ADDRESSES. include additional procedures to be followed (f) Modification of all four engines [i.e., when operating at certain flight levels with reduction of the length core-flow/fan-flow List of Subjects in 14 CFR Part 39 the engine and airframe anti-ice switch ON, splitter (cut-back splitter); modification of the Air transportation, Aircraft, Aviation in accordance with British Aerospace Service Bulletin SB.11–97–01285A, Revision 1, dated splitter lip insulating baffle; installation of a safety, Safety. April 3, 1992. heated exit guide vane (EGV); relocation of the engine anti-ice air source to the The Proposed Amendment Modification combustor bleed plenum; installation of a Accordingly, pursuant to the (b) For airplanes listed in British new anti-ice valve with improved couplings; authority delegated to me by the Aerospace Service Bulletin SB.11–97– and installation of improved insulated Administrator, the Federal Aviation 01285A, Revision 1, dated April 3, 1992: connections], and insertions of AFM Within 30 days after December 17, 1992 (the Administration proposes to amend part revisions, in accordance with British 39 of the Federal Aviation Regulations effective date of AD 92–24–09, amendment 39–8415), modify the air brake auto-retract Aerospace Service Bulletin SB.71–72– (14 CFR part 39) as follows: function, in accordance with British 30473A, dated July 8, 1998, or Revision 1, dated November 2, 1998; constitutes PART 39ÐAIRWORTHINESS Aerospace Service Bulletin SB.11–97– 01285A, Revision 1, dated April 3, 1992. terminating action for the requirements of DIRECTIVES this AD. After the modification is Airplane Flight Manual Revision 1. The authority citation for part 39 accomplished, the AFM revisions and (c) Within 6 days after July 22, 1996 (the placards required by paragraphs (c), (d), and continues to read as follows: effective date of AD 96–14–09, amendment (e) of this AD may be removed. Authority: 49 U.S.C. 106(g), 40113, 44701. 39–9694), amend the FAA-approved Airplane Flight Manual (AFM) as required by Note 2: British Aerospace Service Bulletin § 39.13 [Amended] paragraphs (c)(1) and (c)(2) of this AD. SB.71–72–30473A, dated July 8, 1998, and 2. Section 39.13 is amended by (1) Remove the following Temporary Revision 1, dated November 2, 1998, only removing amendment 39–9694 (61 FR Revisions (TR) from the Limitations Section describes procedures for installation of 37199, July 17, 1996), and by adding a and Normal/Abnormal Procedures Section, engines that have been modified in as applicable: new airworthiness directive (AD), to accordance with the requirements of AD 99– (i) For Model BAe 146–100A series 15–06, amendment 39–11225. read as follows: airplanes: TR 30, Issue No. 2 (Document No. British Aerospace Regional Aircraft BAe 3.3), dated February 1994. Alternative Methods of Compliance (ii) For Model BAe 146–200A series (Formerly British Aerospace Regional (g)(1) An alternative method of compliance Aircraft Limited, Avro International airplanes: TR 41, Issue No. 2 (Document No. BAe 3.3), dated February 1994, or TR 42, or adjustment of the compliance time that Aerospace Division; British Aerospace, provides an acceptable level of safety may be PLC; British Aerospace Commercial Issue No. 2 (Document No. BAe 3.3), dated used if approved by the Manager, Aircraft Limited): Docket 98–NM–174– February 1994, as applicable. AD. Supersedes AD 96–14–09, (iii) For Model BAe 146–300A series International Branch, ANM–116, FAA, Amendment 39–9694. airplanes: TR 23, Issue No. 2 (Document No. Transport Airplane Directorate. Operators BAe 3.3), dated February 1994. Applicability: All Model BAe 146–100A, shall submit their requests through an (2) Insert the following TR’s into the –200A, and –300A series airplanes, appropriate FAA Principal Maintenance Limitations Section and the Normal/ certificated in any category. Inspector, who may add comments and then Abnormal Procedures/Handling Section, as send it to the Manager, International Branch, Note 1: This AD applies to each airplane applicable. ANM–116. identified in the preceding applicability (i) For Model BAe 146–100A series provision, regardless of whether it has been airplanes: TR 32, Issue No. 2 (Document BAe Note 3: Information concerning the modified, altered, or repaired in the area 3.3), dated July 1996. existence of approved alternative methods of subject to the requirements of this AD. For (ii) For Model BAe 146–200A series compliance with this AD, if any, may be airplanes that have been modified, altered, or airplanes: TR 44, Issue No. 2 (Document BAe obtained from the International Branch, repaired so that the performance of the 3.6), dated July 1996. ANM–116. requirements of this AD is affected, the (iii) For Model BAe 146–300A series (2) Alternative methods of compliance, owner/operator must request approval for an airplanes: TR 25, Issue No. 2 (Document BAe alternative method of compliance in 3.11), dated July 1996. approved previously in accordance with AD accordance with paragraph (g)(1) of this AD. (d) When the TR’s specified in paragraph 96–14–09, amendment 39–9694, are The request should include an assessment of (c)(2) have been incorporated into an AFM approved as alternative methods of the effect of the modification, alteration, or General Revision, the applicable AFM compliance with this AD. repair on the unsafe condition addressed by General Revision may be inserted into the Special Flight Permits this AD; and, if the unsafe condition has not corresponding FAA-approved AFM, been eliminated, the request should include provided the information contained in the (h) Special flight permits may be issued in specific proposed actions to address it. AFM General Revision corresponds accordance with Sections 21.197 and 21.199 Compliance: Required as indicated, unless identically to that specified in TR 32, TR 44, of the Federal Aviation Regulations (14 CFR accomplished previously. or TR 25. 21.197 and 21.199) to operate the airplane to To prevent engine power rollback during New Requirements of this AD a location where the requirements of this AD flight in icing conditions, a condition that can be accomplished. could result in insufficient power to sustain Placard Installation flight, accomplish the following: Note 4: The subject of this AD is addressed (e) Within 30 days after the effective date in British airworthiness directives 004–03–98 Restatement of Requirements of AD 96–14– of this AD, install a placard on the flight deck and 003–06–96, Revision 1. 09, Amendment 39–9694 to indicate that a 26,000 feet altitude limitation in icing is applicable, and replace Issued in Renton, Washington, on Placard Installation the ice protection panel placard with a new December 3, 1999. (a) For airplanes listed in British Aerospace placard for N2 limitations, in accordance D.L. Riggin, Service Bulletin SB.11–97–012858A, with British Aerospace Service Bulletin Acting Manager, Transport Airplane SB.11–137–30405A, dated March 26, 1998. Revision 1, dated April 3, 1992: Within 30 Directorate, Aircraft Certification Service. days after December 17, 1992 (the effective Upon accomplishment of this placard date of AD 92–24–09, amendment 39–8415), installation, the placard required by [FR Doc. 99–31874 Filed 12–8–99; 8:45 am] install a placard below the ice protection paragraph (a) of this AD may be removed. BILLING CODE 4910±13±U

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DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: horizontal stabilizer, and consequent reduced controllability of the airplane. Federal Aviation Administration Comments Invited Explanation of Relevant Service Interested persons are invited to Information 14 CFR Part 39 participate in the making of the [Docket No. 99±NM±256±AD] proposed rule by submitting such Israel Aircraft Industries has issued written data, views, or arguments as Astra Alert Service Bulletin 1125–55A– RIN 2120±AA64 they may desire. Communications shall 192, Revision 1, dated June 1, 1999, which describes procedures for a one- Airworthiness Directives; Israel identify the Rules Docket number and time detailed visual inspection to Aircraft Industries, Ltd., Model Astra be submitted in triplicate to the address measure the countersink angle of the SPX Series Airplanes specified above. All communications received on or before the closing date bolt holes in the lower scissors fitting of AGENCY: Federal Aviation for comments, specified above, will be the horizontal stabilizer, and corrective Administration, DOT. considered before taking action on the actions, if necessary. Corrective actions ACTION: Notice of proposed rulemaking proposed rule. The proposals contained include detailed visual inspection of the (NPRM). in this notice may be changed in light fitting attachment bolts to detect of the comments received. concave bolt heads, rework of the bolt SUMMARY: This document proposes the Comments are specifically invited on holes, and replacement of the existing adoption of a new airworthiness the overall regulatory, economic, bolts with new bolts. Accomplishment directive (AD) that is applicable to environmental, and energy aspects of of the actions specified in the alert certain Israel Aircraft Industries Model the proposed rule. All comments service bulletin is intended to Astra SPX series airplanes. This submitted will be available, both before adequately address the identified unsafe proposal would require a one-time and after the closing date for comments, condition. The CAAI classified this alert inspection to measure the countersink in the Rules Docket for examination by service bulletin as mandatory and angle of the bolt holes in the lower interested persons. A report issued Israeli airworthiness directive scissors fitting of the horizontal summarizing each FAA-public contact 55–99–04–02R2, dated August 4, 1999, stabilizer, and corrective actions, if concerned with the substance of this in order to assure the continued necessary. This proposal is prompted by proposal will be filed in the Rules airworthiness of these airplanes in issuance of mandatory continuing Docket. Israel. airworthiness information by a foreign Commenters wishing the FAA to FAA’s Conclusions civil airworthiness authority. The acknowledge receipt of their comments This airplane model is manufactured actions specified by the proposed AD submitted in response to this notice are intended to prevent cracks in the in Israel and is type certificated for must submit a self-addressed, stamped operation in the United States under the lower scissors fitting and fitting postcard on which the following attachment bolts of the horizontal provisions of section 21.29 of the statement is made: ‘‘Comments to Federal Aviation Regulations (14 CFR stabilizer, which could result in Docket Number 99–NM–256–AD.’’ The possible in-flight loss of the horizontal 21.29) and the applicable bilateral postcard will be date stamped and airworthiness agreement. Pursuant to stabilizer and consequent reduced returned to the commenter. controllability of the airplane. this bilateral airworthiness agreement, DATES: Comments must be received by Availability of NPRMs the CAAI has kept the FAA informed of January 10, 2000. the situation described above. The FAA Any person may obtain a copy of this has examined the findings of the CAAI, ADDRESSES: Submit comments in NPRM by submitting a request to the reviewed all available information, and triplicate to the Federal Aviation FAA, Transport Airplane Directorate, determined that AD action is necessary Administration (FAA), Transport ANM–114, Attention: Rules Docket No. for products of this type design that are Airplane Directorate, ANM–114, 99–NM–256–AD, 1601 Lind Avenue, certificated for operation in the United Attention: Rules Docket No. 99–NM– SW., Renton, Washington 98055–4056. States. 256–AD, 1601 Lind Avenue, SW., Renton, Washington 98055–4056. Discussion Explanation of Requirements of Comments may be inspected at this The Civil Aviation Administration of Proposed Rule location between 9:00 a.m. and 3:00 Israel (CAAI), which is the Since an unsafe condition has been p.m., Monday through Friday, except airworthiness authority for Israel, identified that is likely to exist or Federal holidays. notified the FAA that an unsafe develop on other airplanes of the same The service information referenced in condition may exist on certain Israel type design registered in the United the proposed rule may be obtained from Aircraft Industries Model Astra SPX States, the proposed AD would require Galaxy Aerospace Corporation, One series airplanes. The CAAI advises that accomplishment of the actions specified Galaxy Way, Fort Worth Alliance the six attachment bolt holes drilled in in the alert service bulletin described Airport, Fort Worth, Texas 76177. This the lower scissors fitting of the previously, except as discussed below. information may be examined at the horizontal stabilizer may be FAA, Transport Airplane Directorate, countersunk to 90 degrees instead of the Differences Between Alert Service 1601 Lind Avenue, SW., Renton, specified 100 degrees. Incorrect Bulletin and This Proposed AD Washington. countersinking of the attachment bolt Operators should note that, although FOR FURTHER INFORMATION CONTACT: holes can degrade the structural Astra Alert Service Bulletin 1125–55A– Norman B. Martenson, Manager, integrity of the horizontal stabilizer 192, Revision 1, lists the effectivity of International Branch, ANM–116, FAA, attachment. This condition, if not the alert service bulletin as Model Transport Airplane Directorate, 1601 corrected, could result in cracks in the ASTRA SPX series airplanes having Lind Avenue, SW., Renton, Washington lower scissors fitting and fitting serial numbers 085 through 102 and 105 98055–4056; telephone (425) 227–2110; attachment bolts of the horizontal through 112, Israeli airworthiness fax (425) 227–1149. stabilizer, possible in-flight loss of the directive 55–99–04–02R2 states that it

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68960 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules applies to airplanes having serial 39 of the Federal Aviation Regulations Instructions of the alert service bulletin. Such numbers 085 through 112 inclusive. The (14 CFR part 39) as follows: rework constitutes terminating action for the applicability specified in this proposed repetitive inspections required by this AD reflects the applicability specified in PART 39ÐAIRWORTHINESS paragraph. DIRECTIVES (ii) If any bolt head is found to be concave, the Israeli airworthiness directive. prior to further flight, rework all bolt holes Cost Impact 1. The authority citation for part 39 and replace the existing bolts with new bolts, continues to read as follows: in accordance with the Accomplishment The FAA estimates that 19 airplanes Instructions of the alert service bulletin. Authority: 49 U.S.C. 106(g), 40113, 44701. of U.S. registry would be affected by this Note 2: For the purposes of this AD, a proposed AD, that it would take § 39.13 [Amended] detailed visual inspection is defined as: ‘‘An approximately 20 work hours per 2. Section 39.13 is amended by intensive visual examination of a specific airplane to accomplish the proposed adding the following new airworthiness structural area, system, installation, or assembly to detect damage, failure, or inspection to measure the countersink directive: angle of the bolt holes, and that the irregularity. Available lighting is normally average labor rate is $60 per work hour. Israel Aircraft Industries, Ltd.: Docket 99– supplemented with a direct source of good NM–256–AD. lighting at intensity deemed appropriate by Based on these figures, the cost impact the inspector. Inspection aids such as mirror, of the proposed AD on U.S. operators is Applicability: Model Astra SPX series airplanes, serial numbers 085 through 112 magnifying lenses, etc., may be used. Surface estimated to be $22,800, or $1,200 per inclusive, certificated in any category. cleaning and elaborate access procedures airplane. Note 1: This AD applies to each airplane may be required.’’ The cost impact figure discussed identified in the preceding applicability Alternative Methods of Compliance above is based on assumptions that no provision, regardless of whether it has been operator has yet accomplished any of (b) An alternative method of compliance or modified, altered, or repaired in the area adjustment of the compliance time that the proposed requirements of this AD subject to the requirements of this AD. For provides an acceptable level of safety may be action, and that no operator would airplanes that have been modified, altered, or used if approved by the Manager, accomplish those actions in the future if repaired so that the performance of the International Branch, ANM–116, FAA, this AD were not adopted. requirements of this AD is affected, the Transport Airplane Directorate. Operators owner/operator must request approval for an shall submit their requests through an Regulatory Impact alternative method of compliance in appropriate FAA Principal Maintenance accordance with paragraph (b) of this AD. Inspector, who may add comments and then The regulations proposed herein The request should include an assessment of would not have substantial direct effects send it to the Manager, International Branch, the effect of the modification, alteration, or ANM–116. on the States, on the relationship repair on the unsafe condition addressed by between the national government and this AD; and, if the unsafe condition has not Note 3: Information concerning the the States, or on the distribution of been eliminated, the request should include existence of approved alternative methods of specific proposed actions to address it. compliance with this AD, if any, may be power and responsibilities among the obtained from the International Branch, various levels of government. Therefore, Compliance: Required as indicated, unless ANM–116. in accordance with Executive Order accomplished previously. 12612, it is determined that this To prevent cracks in the lower scissors Special Flight Permits proposal would not have sufficient fitting and fitting attachment bolts of the (c) Special flight permits may be issued in horizontal stabilizer, which could result in accordance with sections 21.197 and 21.199 federalism implications to warrant the possible in-flight loss of the horizontal preparation of a Federalism Assessment. of the Federal Aviation Regulations (14 CFR stabilizer and consequent reduced 21.197 and 21.199) to operate the airplane to For the reasons discussed above, I controllability of the airplane, accomplish a location where the requirements of this AD certify that this proposed regulation (1) the following: can be accomplished. is not a ‘‘significant regulatory action’’ Inspections and Corrective Actions Note 4: The subject of this AD is addressed under Executive Order 12866; (2) is not in Israeli airworthiness directive 55–99–04– a ‘‘significant rule’’ under the DOT (a) Within 30 flight hours after the effective date of this AD, perform a detailed visual 02R2, dated August 4, 1999. Regulatory Policies and Procedures (44 inspection of the bolt holes in the lower Issued in Renton, Washington, on FR 11034, February 26, 1979); and (3) if scissors fitting of the horizontal stabilizer to December 3, 1999. promulgated, will not have a significant measure the countersink angle, in accordance D.L. Riggin, economic impact, positive or negative, with Astra Alert Service Bulletin 1125–55A– Acting Manager, Transport Airplane on a substantial number of small entities 192, Revision 1, dated June 1, 1999. Directorate, Aircraft Certification Service. (1) If the measured angle of countersink is under the criteria of the Regulatory [FR Doc. 99–31875 Filed 12–8–99; 8:45 am] Flexibility Act. A copy of the draft within the limits specified in the alert service BILLING CODE 4910±13±P regulatory evaluation prepared for this bulletin, no further action is required by this action is contained in the Rules Docket. AD. (2) If the measured countersink angle is A copy of it may be obtained by outside the limits specified in the alert DEPARTMENT OF TRANSPORTATION contacting the Rules Docket at the service bulletin, prior to further flight, location provided under the caption perform a detailed visual inspection of the Federal Aviation Administration ADDRESSES. fitting attachment bolts in the lower scissors fitting of the horizontal stabilizer to detect 14 CFR Part 39 List of Subjects in 14 CFR Part 39 concave bolt heads, in accordance with the Air transportation, Aircraft, Aviation alert service bulletin. [Docket No. 99±NM±129±AD] safety, Safety. (i) If no bolt head is found to be concave, repeat the inspection required by paragraph RIN 2120±AA64 The Proposed Amendment (a)(2) of this AD thereafter at intervals not to exceed 50 flight hours; and, within 250 flight Airworthiness Directives; Lockheed Accordingly, pursuant to the hours after the initial inspection required by Model L±1011±385 Series Airplanes authority delegated to me by the paragraph (a) of this AD, rework all bolt holes Administrator, the Federal Aviation and replace the existing bolts with new bolts AGENCY: Federal Aviation Administration proposes to amend part in accordance with the Accomplishment Administration, DOT.

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ACTION: Notice of proposed rulemaking specified above. All communications The Air Transport Association (ATA) (NPRM). received on or before the closing date of America and the Aerospace for comments, specified above, will be Industries Association (AIA) of America SUMMARY: This document proposes the considered before taking action on the agreed to undertake the task of adoption of a new airworthiness proposed rule. The proposals contained identifying and implementing directive (AD) that is applicable to all in this notice may be changed in light procedures to ensure the continued Lockheed Model L–1011–385 series of the comments received. structural airworthiness of aging airplanes. This proposal would require Comments are specifically invited on transport category airplanes. An repetitive inspections to detect the overall regulatory, economic, Airworthiness Assurance Working corrosion or fatigue cracking of certain environmental, and energy aspects of Group (AAWG) was established in structural elements of the airplane; the proposed rule. All comments August 1988, with members corrective actions, if necessary; and submitted will be available, both before representing aircraft manufacturers, incorporation of certain structural and after the closing date for comments, operators, regulatory authorities, and modifications. This proposal is in the Rules Docket for examination by other aviation industry representatives prompted by new recommendations interested persons. A report worldwide. The objective of the AAWG related to incidents of fatigue cracking summarizing each FAA-public contact was to sponsor ‘‘Task Groups’’ to: and corrosion in transport category concerned with the substance of this 1. Select service bulletins, applicable airplanes that are approaching or have proposal will be filed in the Rules to each airplane model in the transport exceeded their economic design goal. Docket. fleet, to be recommended for mandatory The actions specified by the proposed Commenters wishing the FAA to modification of aging airplanes; AD are intended to prevent corrosion or acknowledge receipt of their comments 2. Develop corrosion-directed fatigue cracking of certain structural submitted in response to this notice inspections and prevention programs; elements, which could result in reduced must submit a self-addressed, stamped 3. Review the adequacy of each structural integrity of the airplane. postcard on which the following operator’s structural maintenance DATES: Comments must be received by statement is made: ‘‘Comments to program; January 24, 2000. Docket Number 99–NM–129–AD.’’ The 4. Review and update the ADDRESSES: Submit comments in postcard will be date stamped and Supplemental Inspection Documents triplicate to the Federal Aviation returned to the commenter. (SID); and Administration (FAA), Transport 5. Assess repair quality. Availability of NPRMs Airplane Directorate, ANM–114, The Structures Task Group (STG) Attention: Rules Docket No. 99–NM– Any person may obtain a copy of this assigned to review the Lockheed Model 129–AD, 1601 Lind Avenue, SW., NPRM by submitting a request to the L–1011–385 series airplanes was formed Renton, Washington 98055–4056. FAA, Transport Airplane Directorate, in 1988, and included operators of Comments may be inspected at this ANM–114, Attention: Rules Docket No. Model L–1011–385 series airplanes, location between 9:00 a.m. and 3:00 99–NM–129–AD, 1601 Lind Avenue, Lockheed, the FAA, and observers from p.m., Monday through Friday, except SW., Renton, Washington 98055–4056. regulatory agencies. Certain Federal holidays. Discussion recommendations made by the STG The service information referenced in (pursuant to Item 1., described the proposed rule may be obtained from In April 1988, a high-cycle transport previously) are contained in Lockheed Lockheed Martin Aircraft & Logistics category airplane (specifically, a Boeing Service Bulletins 093–51–035, Revision Center, 120 Orion Street, Greenville, Model 737 series airplanes) was 1, dated December 16, 1991, and 093– South Carolina 29605. This information involved in an accident in which the 51–040, Revision 1, dated October 1, may be examined at the FAA, Transport airplane suffered major structural 1997. The FAA previously issued AD Airplane Directorate, 1601 Lind damage during flight. Investigation of 94–05–01, amendment 39–8839 (59 FR Avenue, SW., Renton, Washington; or at this accident revealed that the airplane 10275, March 4, 1994), to require the the FAA, Small Airplane Directorate, had numerous fatigue cracks and a great structural inspections and the Atlanta Aircraft Certification Office, deal of corrosion. Subsequent modifications recommended in that One Crown Center 1895 Phoenix inspections conducted by the operator document. Boulevard, suite 450, Atlanta, Georgia. on other high-cycle transport category Since the issuance of that AD, the FOR FURTHER INFORMATION CONTACT: airplanes in its fleet revealed that other STG has recommended accomplishment Thomas Peters, Aerospace Engineer, airplanes had extensive fatigue cracking of certain other structural inspections to Systems and Flight Test Branch, ACE– and corrosion. detect corrosion or fatigue cracking of 116A, FAA, Small Airplane Directorate, Prompted by the data gained from this certain structural elements of the Atlanta Aircraft Certification Office, accident, the FAA sponsored a airplane, and incorporation of certain One Crown Center, 1895 Phoenix conference on aging airplanes in June structural modifications. Corrosion or Boulevard, suite 450, Atlanta, Georgia 1988, which was attended by fatigue cracking of certain structural 30349; telephone (770) 703–6063; fax representatives from the aviation elements, if not detected and corrected, (770) 703–6097. industry and airworthiness authorities could result in reduced structural SUPPLEMENTARY INFORMATION: from around the world. It became integrity of the airplane. obvious that, because of the tremendous Comments Invited increase in air travel, the relatively slow Explanation of Relevant Service Interested persons are invited to pace of new airplane production, and Information participate in the making of the the apparent economic feasibility of The FAA has reviewed and approved proposed rule by submitting such operating older technology airplanes Lockheed Tristar L–1011 Service written data, views, or arguments as rather than retiring them, increased Bulletin 093–51–041, dated April 27, they may desire. Communications shall attention needed to be focused on the 1998 (hereinafter referred to as the identify the Rules Docket number and aging airplane fleet and maintaining its ‘‘Collector Service Bulletin’’). The be submitted in triplicate to the address continued operational safety. Collector Service Bulletin describes

VerDate 29-OCT-99 17:26 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm01 PsN: 09DEP1 68962 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules certain repetitive inspections to detect $5,820 per airplane, per inspection Authority: 49 U.S.C. 106(g), 40113, 44701. corrosion or fatigue cracking of certain cycle (for Table II). § 39.13 [Amended] structural elements of the airplane, It would take approximately 614 work including areas around the wing/root hours per airplane to accomplish the 2. Section 39.13 is amended by joint of the fuselage, aft pressure proposed modifications, at an average adding the following new airworthiness bulkhead of the fuselage, and the center labor rate of $60 per work hour. directive: section wing box in the wings. The Required parts would cost Lockheed: Docket 99–NM–129–AD. Collector Service Bulletin also describes approximately $142,275 per airplane. Applicability: All Model L–1011–385 structural modifications of various Based on these figures, the cost impact series airplanes, certificated in any category. elements of the airplane that have been of the proposed AD on U.S. operators is Note 1: This AD applies to each airplane recommended by the STG, including estimated to be $20,956,455, or identified in the preceding applicability modification of the C1A cargo door, $179,115 per airplane. provision, regardless of whether it has been modification of the actuator support modified, altered, or repaired in the area The cost impact figures discussed subject to the requirements of this AD. For fitting for the horizontal stabilizer, above are based on assumptions that no airplanes that have been modified, altered, or reinforcement of the mid beam longeron operator has yet accomplished any of repaired so that the performance of the at fuselage station 1363 and waterline the proposed requirements of this AD requirements of this AD is affected, the 168.4, and reinforcement of the action, and that no operator would owner/operator must request approval for an intermediate spar shear web of the accomplish those actions in the future if alternative method of compliance in center box in the wings. The Collector this AD were not adopted. accordance with paragraph (d) of this AD. Service Bulletin also references The request should include an assessment of Regulatory Impact the effect of the modification, alteration, or appropriate sources of accomplishment repair on the unsafe condition addressed by instructions for the structural The regulations proposed herein this AD; and, if the unsafe condition has not inspections and modifications. would not have substantial direct effects been eliminated, the request should include Accomplishment of the actions on the States, on the relationship specific proposed actions to address it. specified in the Collector Service between the national government and Compliance: Required as indicated, unless Bulletin is intended to adequately the States, or on the distribution of accomplished previously. address the identified unsafe condition. power and responsibilities among the To prevent corrosion or fatigue cracking of various levels of government. Therefore, certain structural elements, which could Explanation of Requirements of result in reduced structural integrity of the in accordance with Executive Order airplane, accomplish the following: Proposed Rule 12612, it is determined that this Since an unsafe condition has been proposal would not have sufficient Inspections identified that is likely to exist or federalism implications to warrant the (a) Perform structural inspections to detect develop on other products of this same preparation of a Federalism Assessment. corrosion or fatigue cracking of certain For the reasons discussed above, I structural elements of the airplane, in type design, the proposed AD would accordance with the applicable service require accomplishment of the actions certify that this proposed regulation (1) bulletins listed under ‘‘Service Bulletin specified in the Collector Service is not a ‘‘significant regulatory action’’ Number, Revision, and Date’’ in Tables I and Bulletin described previously, except as under Executive Order 12866; (2) is not II of Lockheed Tristar L–1011 Service discussed below. a ‘‘significant rule’’ under the DOT Bulletin 093–51–041, dated April 27, 1998. Regulatory Policies and Procedures (44 Perform the initial inspections at the later of Other Relevant Rulemaking FR 11034, February 26, 1979); and (3) if the times specified in paragraphs (a)(1) and The FAA has previously issued notice promulgated, will not have a significant (a)(2) of this AD. Thereafter, repeat the economic impact, positive or negative, inspections at intervals not to exceed those of proposed rulemaking (NPRM), Rules specified in the applicable service bulletin. Docket 98–NM–35–AD (64 FR 34170, on a substantial number of small entities (1) Prior to the threshold specified in the June 25, 1999), to require the structural under the criteria of the Regulatory individual service bulletin as listed in Table inspections and modifications Flexibility Act. A copy of the draft I or II of Lockheed Tristar L–1011 Service recommended in Lockheed Service regulatory evaluation prepared for this Bulletin 093–51–041, dated April 27, 1998, Bulletin 093–51–040, Revision 1, dated action is contained in the Rules Docket. as applicable. October 1, 1997. However, this A copy of it may be obtained by (2) Within one repetitive interval after the proposed AD would not affect the contacting the Rules Docket at the effective date of this AD, as specified in the location provided under the caption individual service bulletin listed in Table I requirements of that previously issued or II of Lockheed Tristar L–1011 Service ADDRESSES. proposed AD. Bulletin 093–51–041, dated April 27, 1998, Cost Impact List of Subjects in 14 CFR Part 39 as applicable. There are approximately 235 Air transportation, Aircraft, Aviation Corrective Action airplanes of the affected design in the safety, Safety. (b) If any cracking or corrosion is detected worldwide fleet. The FAA estimates that during any inspection required by paragraph The Proposed Amendment (a) of this AD, prior to further flight, 117 airplanes of U.S. registry would be accomplish the actions specified in affected by this proposed AD. Accordingly, pursuant to the authority delegated to me by the paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this It would take approximately 32 work AD. hours per airplane (for Table I) and 97 Administrator, the Federal Aviation (1) Repair in accordance with the work hours per airplane (for Table II) to Administration proposes to amend part applicable service bulletin referenced in accomplish the proposed inspections, at 39 of the Federal Aviation Regulations Table I or II of Lockheed Tristar L–1011 an average labor rate of $60 per work (14 CFR part 39) as follows: Service Bulletin 093–51–041, dated April 27, hour. Based on these figures, the cost 1998. PART 39ÐAIRWORTHINESS (2) Repair in accordance with the impact of the proposed AD on U.S. DIRECTIVES applicable section of the Lockheed L–1011 operators is estimated to be $224,640, or Structural Repair Manual. $1,920 per airplane, per inspection 1. The authority citation for part 39 (3) Accomplish the terminating cycle (for Table I), and $680,940, or continues to read as follows: modification in accordance with the

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 68963 applicable service bulletin referenced in DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: Table I or II of Lockheed Tristar L–1011 Norman B. Martenson, Manager, Service Bulletin 093–51–041, dated April 27, Federal Aviation Administration International Branch, ANM–116, FAA, 1998. Transport Airplane Directorate, 1601 (4) Repair in accordance with a method 14 CFR Part 39 Lind Avenue, SW., Renton, Washington approved by the Manager, Atlanta Aircraft 98055–4056; telephone (425) 227–2110; Certification Office (ACO), FAA, Small [Docket No. 99±NM±319±AD] fax (425) 227–1149. Airplane Directorate. RIN 2120±AA64 SUPPLEMENTARY INFORMATION: Terminating Action Comments Invited (c) Install the terminating modification Airworthiness Directives; Dassault Model Fan Jet Falcon Series Airplanes; Interested persons are invited to referenced in each service bulletin listed in participate in the making of the Table II of Lockheed Tristar L–1011 Service Model Mystere-Falcon 20, 50, 200, and 900 Series Airplanes; and Model proposed rule by submitting such Bulletin 093–51–041, dated April 27, 1998; written data, views, or arguments as in accordance with the applicable service Falcon 10, 900EX, and 2000 Series Airplanes they may desire. Communications shall bulletin listed under ‘‘Service Bulletin identify the Rules Docket number and Number, Revision, and Date’’ in Table II of AGENCY: Federal Aviation be submitted in triplicate to the address Lockheed Tristar L–1011 Service Bulletin Administration, DOT. specified above. All communications 093–51–041; at the later of the times received on or before the closing date specified in paragraphs (c)(1) and (c)(2) of ACTION: Notice of proposed rulemaking for comments, specified above, will be this AD. Such installation constitutes (NPRM). considered before taking action on the terminating action for the applicable SUMMARY: This document proposes the proposed rule. structural inspection required by paragraph adoption of a new airworthiness The proposals contained in this notice (a) of this AD. directive (AD) that is applicable to may be changed in light of the (1) Prior to the threshold specified in the certain Dassault Model Fan Jet Falcon comments received. applicable service bulletin listed in Table II Comments are specifically invited on of Lockheed Tristar L–1011 Service Bulletin series airplanes; Model Mystere-Falcon the overall regulatory, economic, 093–51–041, dated April 27, 1998. 20, 50, 200, and 900 series airplanes; environmental, and energy aspects of (2) Within 5 years or 5,000 flight cycles and Model Falcon 10, 900EX, and 2000 the proposed rule. All comments after the effective date of this AD, whichever series airplanes. This proposal would submitted will be available, both before occurs first. require a functional test of the passenger oxygen masks, determination of the part and after the closing date for comments, Alternative Methods of Compliance number of the installed oxygen mask in the Rules Docket for examination by (d) An alternative method of compliance or bags; and corrective action, if necessary. interested persons. A report adjustment of the compliance time that This proposal is prompted by issuance summarizing each FAA-public contact provides an acceptable level of safety may be of mandatory continuing airworthiness concerned with the substance of this used if approved by the Manager, Atlanta information by a foreign civil proposal will be filed in the Rules ACO. Operators shall submit their requests airworthiness authority. The actions Docket. through an appropriate FAA Principal specified by the proposed AD are Commenters wishing the FAA to Maintenance Inspector, who may add intended to ensure that proper plastic acknowledge receipt of their comments comments and then send it to the Manager, bags of the passenger oxygen masks are submitted in response to this notice Atlanta ACO. installed, and that the masks are must submit a self-addressed, stamped Note 2: Information concerning the functioning properly. Improper plastic postcard on which the following existence of approved alternative methods of bags that have cracks or improperly statement is made: ‘‘Comments to compliance with this AD, if any, may be functioning masks could result in Docket Number 99–NM–319–AD.’’ The obtained from the Atlanta ACO. insufficient oxygen to passengers in the postcard will be date stamped and event of rapid depressurization of the returned to the commenter. Special Flight Permits airplane. Availability of NPRMs (e) Special flight permits may be issued in DATES: Comments must be received by Any person may obtain a copy of this accordance with sections 21.197 and 21.199 January 10, 2000. of the Federal Aviation Regulations (14 CFR NPRM by submitting a request to the 21.197 and 21.199) to operate the airplane to ADDRESSES: Submit comments in FAA, Transport Airplane Directorate, a location where the requirements of this AD triplicate to the Federal Aviation ANM–114, Attention: Rules Docket No. can be accomplished. Administration (FAA), Transport 99–NM–319–AD, 1601 Lind Avenue, Airplane Directorate, ANM–114, Issued in Renton, Washington, on SW., Renton, Washington 98055–4056. Attention: Rules Docket No. 99–NM– December 3, 1999. 319–AD, 1601 Lind Avenue, SW., Discussion ´ ´ D.L. Riggin, Renton, Washington 98055–4056. The Direction Generale de l’Aviation Acting Manager, Transport Airplane Comments may be inspected at this Civile (DGAC), which is the Directorate, Aircraft Certification Service. location between 9:00 a.m. and 3:00 airworthiness authority for France, [FR Doc. 99–31876 Filed 12–8–99; 8:45 am] p.m., Monday through Friday, except notified the FAA that an unsafe BILLING CODE 4910±13±P Federal holidays. condition may exist on certain Dassault The service information referenced in Model Fan Jet Falcon series airplanes, the proposed rule may be obtained from Model Mystere-Falcon 20, 50, 200, and Dassault Falcon Jet, P.O. Box 2000, 900 series airplanes, and Model Falcon South Hackensack, New Jersey 07606. 10, 900EX, and 2000 series airplanes; This information may be examined at equipped with certain EROS passenger the FAA, Transport Airplane oxygen masks. The DGAC advises that, Directorate, 1601 Lind Avenue, SW., during a functional test of the passenger Renton, Washington. oxygen system on a Model Falcon 50

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68964 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules series airplane, oxygen bags were found Explanation of Requirements of The Proposed Amendment cracked at the junction between the bag Proposed Rule and the hose. Accordingly, pursuant to the Since an unsafe condition has been authority delegated to me by the Investigation revealed that the identified that is likely to exist or Administrator, the Federal Aviation manufacturer of the oxygen system, develop on other airplanes of the same Administration proposes to amend part EROS, incorporated new plastic bags on type design registered in the United 39 of the Federal Aviation Regulations certain oxygen masks during 1997 States, the proposed AD would require (14 CFR part 39) as follows: without changing the existing part a functional test of the passenger oxygen number of the oxygen masks. These masks; determination of the part PART 39ÐAIRWORTHINESS plastic bags do not conform to the number of the installed bags; and DIRECTIVES existing design standards for oxygen corrective action, if necessary. masks installed on the subject airplanes, Cost Impact 1. The authority citation for part 39 and may be subject to cracking. This continues to read as follows: The FAA estimates that as many as condition, if not corrected, could result Authority: 49 U.S.C. 106(g), 40113, 44701. in insufficient oxygen to passengers in 767 airplanes of U.S. registry may be affected by this proposed AD, that it § 39.13 [Amended] the event of rapid depressurization of would take approximately 4 work hours the airplane. per airplane to accomplish the proposed 2. Section 39.13 is amended by adding the following new airworthiness Explanation of Foreign Airworthiness test and determination, and that the directive: Directives average labor rate is $60 per work hour. Based on these figures, the cost impact Dassault Aviation [Formerly Avions Marcel The DGAC has issued airworthiness of the proposed AD on U.S. operators is Dassault-Breguet Aviation (AMD/BA)]: directives 1999–270–025(B), dated June estimated to be $184,080, or $240 per Docket 99–NM–319–AD. 30, 1999 (for Model Fan Jet Falcon airplane. Applicability: Model Fan Jet Falcon series series airplanes, Model Mystere-Falcon The cost impact figure discussed airplanes, Model Mystere-Falcon 20, 50, 200, 20 and 200 series airplanes); 1999–271– above is based on assumptions that no and 900 series airplanes, and Model Falcon operator has yet accomplished any of 10, 900EX, and 2000 series airplanes; 026(B), dated June 30, 1999 (for Model equipped with EROS passenger oxygen Mystere-Falcon 50 and 900 series the proposed requirements of this AD masks, part number (P/N) MW 37–09, MW airplanes, and Model Falcon 900EX action, and that no operator would 37–11, MW 37–14, MW 37–18, MW 37–28, series airplanes); 1999–267–010(B), accomplish those actions in the future if MW 37–31, or MW 37–36; certificated in any dated June 30, 1999 (for Model Falcon this AD were not adopted. category. 2000 series airplanes); and 1999–269– Regulatory Impact Note 1: This AD applies to each airplane 024(B), dated June 30, 1999 (for Model identified in the preceding applicability Falcon 10 series airplanes); in order to The regulations proposed herein provision, regardless of whether it has been assure the continued airworthiness of would not have substantial direct effects modified, altered, or repaired in the area these airplanes in France. These French on the States, on the relationship subject to the requirements of this AD. For between the national government and airplanes that have been modified, altered, or airworthiness directives require a the States, or on the distribution of repaired so that the performance of the functional test of the passenger masks; power and responsibilities among the requirements of this AD is affected, the determination of the part number of the various levels of government. Therefore, owner/operator must request approval for an installed bags; and corrective action, if in accordance with Executive Order alternative method of compliance in accordance with paragraph (e) of this AD. necessary. The corrective action 12612, it is determined that this The request should include an assessment of involves replacing the oxygen mask bags proposal would not have sufficient or rendering the passenger seat the effect of the modification, alteration, or federalism implications to warrant the repair on the unsafe condition addressed by inoperative. Accomplishment of these preparation of a Federalism Assessment. this AD; and, if the unsafe condition has not actions is intended to adequately For the reasons discussed above, I been eliminated, the request should include address the identified unsafe condition. certify that this proposed regulation (1) specific proposed actions to address it. FAA’s Conclusions is not a ‘‘significant regulatory action’’ Compliance: Required as indicated, unless under Executive Order 12866; (2) is not accomplished previously. These airplane models are a ‘‘significant rule’’ under the DOT To ensure that proper plastic bags of the manufactured in France and are type Regulatory Policies and Procedures (44 passenger oxygen masks are installed, and that the masks are functioning properly, certificated for operation in the United FR 11034, February 26, 1979); and (3) if accomplish the following: States under the provisions of section promulgated, will not have a significant 21.29 of the Federal Aviation economic impact, positive or negative, Functional Test and Determination of Part Regulations (14 CFR 21.29) and the on a substantial number of small entities Number (P/N) applicable bilateral airworthiness under the criteria of the Regulatory (a) Within 10 flights after the effective date agreement. Pursuant to this bilateral Flexibility Act. A copy of the draft of this AD, perform a functional test of the regulatory evaluation prepared for this passenger oxygen masks in accordance with airworthiness agreement, the DGAC has action is contained in the Rules Docket. Chapter 5 (ATA Code 35) of the airplane kept the FAA informed of the situation A copy of it may be obtained by maintenance manual (AMM) for the affected described above. The FAA has contacting the Rules Docket at the airplanes, as applicable; and determine the P/ examined the findings of the DGAC, location provided under the caption N of the installed oxygen mask bags. reviewed all available information, and ‘‘ADDRESSES.’’ Corrective Actions determined that AD action is necessary for products of this type design that are List of Subjects in 14 CFR Part 39 (b) If any Scott oxygen mask bag, P/N 289– 801–235, is installed, prior to further flight, certificated for operation in the United Air transportation, Aircraft, Aviation accomplish either paragraph (b)(1) or (b)(2) of States. safety, Safety. this AD.

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(1) Replace the bag with a new bag, P/N POSTAL SERVICE precanceled stamps will not be 289–601–235, in accordance with Chapter 5 permitted to be included in such (ATA Code 35) of the AMM for the affected 39 CFR Part 111 mailings. airplanes, as applicable. DATES: Comments must be received on (2) Render any affected seat inoperative, Presentation of First-Class and or before January 10, 2000. and within 30 days after rendering the Standard Mail (A) Automation Letter ADDRESSES: Mail for Verification Under New SAVE Mail or deliver written affected seat inoperative, accomplish the comments to the Manager, Mail Verification Procedures and Revisions action specified in paragraph (b)(1) of this Preparation and Standards, USPS to Combined Postage Payment AD. Headquarters, 475 L’Enfant Plaza SW, Standards (c) If any discrepancy is detected during Room 6800, Washington, DC 20260– the functional test required by paragraph (a) AGENCY: Postal Service. 2405. Copies of all written comments of this AD, prior to further flight, repair the will be available for inspection and discrepancy in accordance with Chapter 5 ACTION: Proposed rule. photocopying at USPS Headquarters (ATA Code 35) of the AMM for the affected SUMMARY: Library, 475 L’Enfant Plaza SW, 11th airplanes, as applicable. The Postal Service will implement new Standardized Floor N, Washington, DC between 9 a.m. Spares Acceptance and Verification (SAVE) and 4 p.m., Monday through Friday. (d) As of the effective date of this AD, no procedures for First-Class and Standard FOR FURTHER INFORMATION CONTACT: person shall install a SCOTT oxygen mask Mail (A) automation letter mail in mid- Lynn M. Martin, (202) 268–6351 bag, P/N 289–801–235, on any airplane. December 1999. These new SAVE (Domestic Mail Manual changes), or procedures will replace existing Scott Hamel, (703) 329–3660 (SAVE Alternative Methods of Compliance verification procedures for many First- procedures). (e) An alternative method of compliance or Class and Standard Mail (A) automation SUPPLEMENTARY INFORMATION: The Postal adjustment of the compliance time that letter mailings. To facilitate these new Service is working on a number of fronts provides an acceptable level of safety may be SAVE procedures, the Postal Service is to help business mailers provide the used if approved by the Manager, proposing that, effective March 1, 2000, highest quality of letter/card mail International Branch, ANM–116, FAA, for mailings produced by MLOCRs and possible. Programs such as the Coding Transport Airplane Directorate. Operators barcode sorters, and effective July 1, Accuracy Support System (CASS), Mail shall submit their requests through an 2000, for mailings produced by other Quality Control (MQC), Presort appropriate FAA Principal Maintenance means, mailers of First-Class and Accuracy Validation and Evaluation Inspector, who may add comments and then Standard Mail (A) automation letter rate (PAVE), and Mail Preparation Total send it to the Manager, International Branch, mailings must physically separate Quality Management (MPTQM) provide ANM–116. Mixed AADC trays from other mail quality assurance within the mailer’s Note 2: Information concerning the when the mailings are presented to the mail preparation process so that existence of approved alternative methods of Postal Service for verification. In mailings presented to the Postal Service compliance with this AD, if any, may be addition, for mailings of 10,000 or more are properly prepared and can be obtained from the International Branch, pieces, the Postal Service is proposing handled efficiently. ANM–116. to eliminate the current option that Postal Service verification of mailings Special Flight Permits standardized documentation is not for proper preparation before entry into required with a mailing when the exact the mailstream is also a form of quality (f) Special flight permits may be issued in rate of postage is affixed to each piece control. The Postal Service is moving accordance with sections 21.197 and 21.199 or when it consists of identical weight toward greater use of technology in this of the Federal Aviation Regulations (14 CFR pieces and is physically separated by 21.197 and 21.199) to operate the airplane to verification process using devices such rate category when presented to the a location where the requirements of this AD as Automated Barcode Evaluation Postal Service for verification. Under can be accomplished. (ABE), and proposed for early 2000 the proposal, effective March 1 for (initially for diagnostic purposes only) Note 3: The subject of this AD is addressed mailings produced by MLOCRs and use of portable barcode verifiers for in French airworthiness directives 1999– barcode sorters, and effective July 1 for barcodes on tray and sack labels, and 270–025(B), dated June 30, 1999 (for Model mailings produced by other means, each proposed for fall 2000, the Mailing Jet Falcon series airplanes, and Model First-Class and Standard Mail (A) Evaluation Readability Lookup Mystere-Falcon 20 and 200 series airplanes); automation letter rate mailing of 10,000 Instrument (MERLIN). Technology 1999–271–026(B), dated June 30, 1999 (for or more pieces must be accompanied by promises to be the most viable and Model Mystere-Falcon 50 and 900 series paper documentation in a standardized airplanes, and Model Falcon 900EX series objective means of measuring quality. format or, if authorized, with electronic airplanes); 1999–267–010(B), dated June 30, The Postal Service recognizes, however, documentation. 1999 (for Model Falcon 2000 series that there always will be a need for The Postal Service recently revised airplanes); and 1999–269–024(B), dated June commensurate manual verification 30, 1999 (for Model Falcon 10 series rate marking requirements for MLOCR procedures to cover instances when airplanes). mailers and documentation automated devices are not available. requirements for mailers who The SAVE verification procedures are Issued in Renton, Washington, on participate in automation letter mail primarily manual. December 3, 1999. value added refund (VAR) (DMM SAVE is the Postal Service’s response D. L. Riggin, P014.4.0) and combined postage to requests by business mailers for a Acting Manager, Transport Airplane payment systems (DMM P760). In verification process that is predictable, Directorate, Aircraft Certification Service. addition to these changes, the Postal fair, consistent, and documented. SAVE [FR Doc. 99–31877 Filed 12–8–99; 8:45 am] Service is also hereby proposing, also directs Postal Service attention to BILLING CODE 4910±13±P effective March 1, 2000, to amend the where the risk of poor quality lies. DMM standards for combined mailings There are two verification levels and to specify that First-Class Mail pieces error rate thresholds under SAVE. The weighing over one ounce and paid with first level is for mailers who have been

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68966 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules certified by the Postal Service under the Association of Presort Mailers, at their postage payment systems. In addition, Mail Preparation Total Quality request. In addition, every MLOCR the Postal Service has announced new Management (MPTQM) program. The mailer in the country was invited by marking requirements for First-Class second level is for mailers who are not letter to a special meeting in April 1999 and Standard Mail (A) automation letter part of the MPTQM program. Mailers to hear about SAVE and other topics. mailings that are prepared using who have made commitments to quality Feedback from these groups was used MLOCRs and for which the MLOCR is under the MPTQM program will have when designing the procedures. Notice used to apply the rate marking. These certain portions of SAVE verifications of the start-up of SAVE procedures for new marking and documentation performed on a less frequent basis, or First-Class and Standard Mail (A) requirements were developed in not at all if that aspect of mail automation letter mail prepared with conjunction with MLOCR preparation is verified under MPTQM MLOCRs and/or barcode sorters manufacturers and supporting software assurance reviews. Under SAVE, beginning in the middle of December vendors and were announced and mailers will receive feedback on the 1999 was announced in the December 2, discussed at a special MLOCR users quality of their mail to facilitate 1999, Postal Bulletin. That Postal group meeting and at the last two Postal resolution of mail quality problems. Bulletin contains information Forums. The Domestic Mail Manual SAVE incorporates most of the separate concerning a phase-in period from mid- changes incorporating the new marking procedures used today to verify mail. December 1999 through February 29, and documentation requirements were For example, it employs the current 2000. During the phase-in period, published in the Postal Bulletin of ABE and short paid mail verification mailings found to have errors under the December 2, 1999. The documentation procedures. However, under SAVE, SAVE verification procedures will not formats have been incorporated in various separate verification checks be assessed additional postage unless software provided by MLOCR have been standardized, made more the error rate for the mailing is 5% or manufacturers. If copies of the complete, and structured. Corrective more. documentation are not available from an actions have been clarified and more These SAVE standards apply to the MLOCR vendor, sample copies may be diagnostic information will be provided initial acceptance procedures applied by obtained from the Rates and to mailers. SAVE provides verification the business mail entry unit. Nothing in Classification Service Center (RCSC) procedures for First-Class and Standard SAVE or other verification procedures that serves a particular mailer. Mail (A) automation letter mailings, prevents independent review of mail by Beginning January 3, 2000, the new including those submitted under value Revenue Assurance, the Inspection markings must be used on pieces in added refund (VAR) procedures and Service, the Office of Inspector General, First-Class and Standard Mail (A) combined mailing postage payment or others. Nor do they prevent a postage automation letter mailings that are systems. A standard 4% error tolerance adjustment based on these reviews. In prepared using MLOCRs and for which will apply to mailings verified under instances of fraud or related activities, the MLOCR is used to apply the rate SAVE, including VAR and combined the postage adjustment may be based on marking. Also effective January 3, 2000, mailings. VAR mailings, for the first the mail as presented to the Postal all mailers entering mail under VAR time, will be treated like all other Service even if the overall error rate is and/or combined postage payment mailings when postage adjustments less than that established in these procedures (DMM P014 and P760) will become necessary. Rather than lose a procedures. be required to meet the new This proposed rule requests value added refund when the error documentation requirements. During comments from mailers on two key mail tolerance is exceeded, VAR mailers will the SAVE verification process, the new preparation changes that are necessary pay a postage adjustment. markings and documentation will help The amount of additional postage that for smooth application of the SAVE business mail acceptance clerks must be paid for a mailing exceeding the verification procedures. The first change determine if the proper amount of 4% error tolerance under SAVE will require mailers of First-Class and postage has been claimed by the mailer. procedures will be calculated by Standard Mail (A) automation letter determining the difference between the mail to separate mixed AADC trays from Separate from these mail preparation First-Class single-piece rate postage other mail when presented to the Postal revisions, but as part of the update to (based on weight) and the average Service for verification. The second the procedures for submitting mailings weight per piece based on the First- change will require submission of under the combined mailing postage Class or Standard Mail (A) automation standardized documentation with all payment system, the Postal Service is letter rates claimed by the mailer. This mailings of First-Class and Standard hereby proposing to clarify the difference in postage per piece will be Mail (A) automation letter mail that standards concerning precanceled multiplied by the number of pieces in contain 10,000 or more pieces. That is, stamp mail contained in such mailings. the mailing to determine the total the current provision allowing mailers The change limits the weight of First- workshare discount. The total to submit mailings without Class Mail prepared with precanceled workshare discount will be multiplied documentation if the mailings either (1) stamps that are entered under the by the verification error percentage to have exact postage affixed to each piece combined mailing postage payment determine the additional postage due. or (2) consist of identical weight pieces system to pieces weighing a maximum Mailers were provided information that are physically separated by rate of one ounce. The Postal Service does about SAVE in business sessions at the category when presented to the Postal not provide a precanceled stamp that last two Postal Forums. During Postal Service for verification will be deleted represents postage for additional ounces Forum sessions the primary Postal for mailings of 10,000 or more pieces. of First-Class Mail. Therefore First-Class Service SAVE development technician As part of its efforts towards a rate precanceled stamp mailers would explained the procedures in great detail standardized process, the Postal Service only be able to affix postage for any and demonstrated the forms to be used, has separately adopted several clearer, additional ounces for pieces weighing and the process for checking mail and standardized reports to be presented by over one ounce if they had a permit for determining postage adjustments. the mailer with First-Class and Standard mailer precancelation under DMM Several detailed presentations also have Mail (A) automation mailings that are P023. Additionally, for pieces weighing been made to members of the National submitted under VAR and/or combined over two ounces, precanceled stamp

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00016 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 68967 mailers would not be able to affix reference in the Code of Federal 1.8 Presentation postage for the first ounce that reflects Regulations. See 39 CFR Part 111. the lower first-ounce rate for presorted Upon presentation of letter-size List of Subjects in 39 CFR Part 111 pieces weighing over two ounces, as is automation rate First-Class Mail and required for metered mailers under this Postal Service. Standard Mail (A) mailings to the Postal postage payment procedure. The Service for verification, mailers must additional documentation that would be PART 111Ð[AMENDED] physically segregate mixed AADC trays required to be added to combined from other trays in the mailing. 1. The authority citation for 39 CFR mailing procedures to document postage part 111 continues to read as follows: * * * * * paid and owed for precanceled stamp pieces weighing over one ounce would Authority: 5 U.S.C. 552(a); 39 U.S.C. 101, P Postage and Payment Methods 401, 403, 404, 414, 3001–3011, 3201–3219, be extremely burdensome. Furthermore, P000 Basic Information the Postal Service understands that 3403–3406, 3621, 3626, 5001. there are few mailers, if any, that have 2. Revise the following sections of the * * * * * a need to include First-Class mail Domestic Mail Manual as set forth P700 Special Postage Payment Systems weighing over one ounce and paid with below: precanceled stamps in combined * * * * * M000 General Preparation Standards mailings under DMM P760. P760 First-Class or Standard Mail (A) Accordingly, the Postal Service * * * * * Mailings With Different Payment proposes to revise the DMM to specify M800 All Automation Mail Methods that First-Class precanceled stamp mail weighing over one ounce may not be M810 Letter-Size Mail * * * * * included in combined mailings. 1.0 Basic Standards 2.0 Postage In summary, the proposed Domestic Mail Manual changes needed to * * * * * * * * * * implement the new verification [Amend 1.3 to read as follows:] [Amend 2.3 to restrict precanceled procedures for automation letter 1.3 Documentation stamp pieces to those weighing one mailings and to revise the requirements ounce or less to read as follows:] for combined mailings are: A complete, signed postage statement, (1) For First-Class and Standard Mail using the correct USPS form or an 2.3 Precanceled Pieces—First-Class (A) automation letter mailings, mixed approved facsimile, must accompany Mail AADC trays must be physically each mailing. Each mailing must also be separated from other trays when the accompanied by presort and rate Pieces with precanceled stamps in a mail is presented to the USPS for documentation produced by PAVE- combined mailing must not weigh more verification. The proposed effective date certified (or, except for Periodicals, than one ounce and must bear postage for this change is March 1, 2000, for MAC-certified) software or by for the first ounce in any denomination mail produced by MLOCRs and barcode standardized documentation under of precanceled stamp permitted in a sorters, and July 1, 2000, for other P012. Exception: For mailings of fewer Presorted or automation rate mailing. automation letter mail. than 10,000 pieces, presort and rate Additional postage due for precanceled (2) For all First-Class and Standard documentation is not required if postage stamp pieces in a combined mailing is Mail (A) automation letter mailings at the correct rate is affixed to each deducted from the mailer’s postage due containing 10,000 or more pieces, piece or if each piece is of identical advance deposit account. Full postage at documentation must be submitted on weight and the pieces are separated by the single-piece First-Class rates must be paper in a standardized format. rate when presented for acceptance. paid on accompanying single-piece rate Alternatively, if authorized by the Postal Mailers may use a single postage mail using one of the methods under Service, the standardized statement and a single documentation P100. Additional preparation to verify documentation may be submitted in an report for all rate levels in a single postage due may be required by the electronic format. The proposed mailing. Standard Mail (A) mailers may Postal Service. effective date for this change is March use a single postage statement and a * * * * * 1, 2000, for mail produced by MLOCRs single documentation report (with a and barcode sorters, and July 1, 2000, separate summary for carrier route and An appropriate amendment to 39 CFR for other automation letter mail. a separate summary for all other rate 111.3 to reflect these changes will be (3) The Postal Service proposes to levels) for both an automation carrier published if the proposal is adopted. route mailing and a mailing containing amend the DMM standards for Stanley F. Mires, combined mailings to prohibit inclusion pieces prepared at 5-digit, 3-digit, and Chief Counsel, Legislative. in such mailings of First-Class Mail basic automation rates as applicable, pieces that weigh over one ounce and when both mailings are submitted for [FR Doc. 99–31968 Filed 12–8–99; 8:45 am] are paid with precanceled stamps. The entry at the same time. Combined BILLING CODE 7710±12±P proposed effective date for this revision mailings of more than one Periodicals is March 1, 2000. publication also must be documented Although exempt from the notice and under M200. First-Class and Standard comment requirements of the Mail (A) mailings prepared under the Administrative Procedure Act (5 U.S.C. value added refund procedures or as 553(b), (c)) regarding proposed combined mailings must meet rulemaking by 39 U.S.C. 410(a), the additional standardized documentation Postal Service invites comments on the requirements under P014 and P760. following proposed revisions to the * * * * * Domestic Mail Manual, incorporated by [New 1.8 is added to read as follows:]

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ENVIRONMENTAL PROTECTION Friday, excluding Federal holidays. To A. The Degree of Processing the Material AGENCY review docket materials, it is has Undergone and the Degree of Further recommended that the public make an Processing that is Required 40 CFR Part 260 appointment by calling (703) 603–9230. B. Value of the Material After it Has Been Partially Reclaimed The public may copy a maximum of 100 [FRL±6505±5] C. The Degree to Which the Partially pages from the regulatory docket at no Reclaimed Material is Like an Analogous Proposed Exclusion from the charge. Additional copies cost $0.15/ Raw Material Definition of Solid Waste; Hazardous page. The index is available D. The Extent to Which an End Market for Waste Management System; electronically. See the SUPPLEMENTARY the Partially Reclaimed Material is Identification and Listing of Hazardous INFORMATION section for information on Guaranteed Waste accessing it. E. The Extent to Which the Partially Reclaimed Material is Handled to FOR FURTHER INFORMATION CONTACT: For Minimize Loss AGENCY: Environmental Protection general information, contact the RCRA/ Agency. IV. Summary of the Agency’s Proposed Superfund/EPCRA/UST Hotline at (800) Decision ACTION: Proposed rule. 424–9346 (toll free) or TDD (800) 553– V. Request for Comments 7672 (hearing impaired). In the VI. Effect of Variance in Arizona SUMMARY: The Environmental Protection Washington, DC metropolitan area, call VII. Administrative Requirements Agency (EPA) is proposing to grant a (703) 412–9810 or TDD (703) 412–3323. I. Background variance from EPA’s hazardous waste For more detailed information on requirements for certain materials specific aspects of this rulemaking, A. Authority reclaimed by the World Resources contact Ms. Marilyn Goode, U.S. Company (WRC) from metal-bearing Under 40 CFR 260.30(c), facilities Environmental Protection Agency, MC may petition EPA to exclude from the sludges. This action responds to a 5304W, 401 M Street SW, Washington, petition submittted by WRC requesting definition of solid waste material that DC 20460, (703) 308–8800, electronic has been reclaimed but must be that the Agency exclude from the RCRA mail: [email protected]. definition of solid waste its concentrate reclaimed further before recovery is SUPPLEMENTARY INFORMATION: The index material that is partially reclaimed from complete. To qualify for the exclusion, to the docket record is available on the metal-bearing sludges and sold to the material resulting from initial Internet. Follow these instructions to smelters. If the Agency finalizes this reclamation must be commodity-like access the information electronically: action, the variance will be limited to (even though it is not yet a commercial five years. WWW: http://www.epa.gov/epaoswer/ product, and has to be reclaimed osw/hazwaste.htm#id. further). Petitioners must provide DATES: EPA will accept public FTP: FTP: ftp.epa.gov. sufficient information to EPA to allow comments on its proposed decision Login: Anonymous the Agency to make a determination that until February 7, 2000. Password: Your Internet Address the material is not a solid waste, ADDRESSES: Commenters must send an Files are located in /pub/epaoswer. pursuant to criteria set forth at 40 CFR original and two copies of their The official record for this action will 260.31(c). comments referencing docket number be kept in paper form. Accordingly, EPA F–99–WRCP–FFFFF to: RCRA Docket will transfer all comments received B. Summary of Petition Information Center, Office of Solid electronically into paper form and place Pursuant to 40 CFR 260.30(c), WRC Waste (5305G), U.S. Environmental them in the official record, which will submitted to EPA a petition for a Protection Agency Headquarters, 401 M also include all comments submitted variance from classification as solid St., SW, Washington, DC 20460. Hand directly in writing. The official record is waste for metal-rich concentrate deliveries of comments should be made the paper record maintained at the material produced at its facility in to the Arlington, VA address below. address in ADDRESSES at the beginning Phoenix, Arizona. WRC produces the Comments may also be submitted of this document. EPA responses to concentrate primarily from sludges electronically to: rcra- comments, whether the comments are generated by electroplating operations. [email protected]. Comments in written or electronic, will be in a notice The sludges are rich in metals, and are electronic format should also be in the Federal Register or in a response generally classifed as hazardous wastes. identified by the docket number F–99– to comments document placed in the WRC then sells the partially reclaimed WRCP–FFFFF. All electronic comments official record for this rulemaking. EPA material to primary smelters for metals must be submitted as an ASCII file will not immediately reply to extraction. Currently, the partially avoiding the use of special characters commenters electronically other than to reclaimed material produced at the and any form of encryption. seek clarification of electronic Phoenix facility is fully regulated as Commenters should not submit comments that may be garbled in hazardous waste, must be managed and electronically any confidential business transmission or during conversion to sold as hazardous waste, and off-site information (CBI). An original and two paper form, as discussed above. shipments must be accompanied by a copies of CBI must be submitted under hazardous waste manifest. In support of Table of Contents separate cover to: RCRA CBI Document its variance application, WRC provided Control Officer, Office of Solid Waste I. Background data and information in its application (5305W), U.S. EPA, 401 M St. SW, A. Authority about each of the factors listed in 40 Washington, DC 20460. B. Summary of Petition CFR 260.31(c). Public comments and supporting 1. Applicability of the Variance materials are available for viewing in 2. Description of WRC’s Partial 1. Applicability of the Variance Reclamation Process the RCRA Information Center (RIC) II. Summary of Regulatory Provisions At its Phoenix facility, WRC located at Crystal Gateway 1, First Floor, Governing Petitions principally reclaims wastewater 1235 Jefferson Davis Highway, III. Evaluation of WRC’s Petition Against treatment sludges (F006) received from Arlington, VA. The docket is open from Each of the Established Evaluation generators who conduct electroplating 9 a.m. to 4 p.m., Monday through Factors and metal finishing operations. From

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00018 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 68969 these sludges, WRC ‘‘produces’’ a metal- processing enclosure. WRC dries the requested variance for materials that rich concentrate material. In addition, received waste through evaporative have been reclaimed, but must be the facility also receives and partly processes. The material is spread out in reclaimed further. The first evaluation reclaims hazardous wastes listed as a controlled area, mechanically criterion (40 CFR 260.31(c)(1)) is the F019 (wastewater treatment sludges furrowed, and periodically rotor-tilled degree of processing a material has from chemical conversion coating of to facilitate drying. The physical undergone and the degree of further aluminum) and D004 through D011 characteristics of the material changes processing that is required for the (characteristic hazardous wastes). from a wet cohesive nonfree-flowing material to be rendered ‘‘commodity- WRC’s petition, and the proposed mass into a granular free-flowing form. like.’’ Materials that have undergone exclusion addressed in this notice, The moisture content of the F006 substantial processing to reclaim pertain only to the metal-bearing received is reduced by one-half. The valuable or recyclable materials (but sludges listed as hazardous wastes F006 entire processing area is located on a still must undergo a degree of further and F019 and partially reclaimed at concrete pad which covers several acres, processing) generally satisfy this WRC’s Phoenix, Arizona facility. Other with a compacted native soil and criterion. Materials that are still hazardous wastes managed by WRC at flexible membrane liner underneath the substantially ‘‘waste-like’’ and that need its Arizona facility and all hazardous pad. a significant degree of further processing wastes managed at other WRC facilities The F006 is then blended by or ‘‘treatment’’ to be rendered are not addressed in this proposed mechanical mixing with other waste ‘‘commodity-like’’ do not satisfy the decision and must continue to be streams received from various evaluation criterion. managed as solid and/or hazardous generators to achieve concentrates that The second evaluation criterion wastes in accordance with all applicable meet the contractual specifications (e.g, (§ 260.31(c)(2)) requires an evaluation of RCRA regulatory requirements. recoverable metals contents) of its the economic value of the material that The Agency notes that sludges that customers. Other than water, WRC has been reclaimed, but must be further are hazardous only because they exhibit neither adds any materials to, nor reclaimed. This criterion is also useful a characteristic of hazardous waste that removes any materials from the F006 in determining whether a material is are reclaimed are currently excluded and F019 metal-bearing sludges that it indeed ‘‘commodity-like.’’ To satisfy from classification as solid waste receives from generators and processes. this criterion, petitioners must pursuant to 40 CFR 261.2(c)(3). The resulting concentrate contains demonstrate that the initial reclamation Therefore, sludges that are reclaimed by metal hydroxides and oxides of iron, process increases or contributes to the WRC and designated as hazardous aluminum and magnesium. WRC value of the material and that there is a wastes D004 through D011 are not solid markets the concentrates as copper, market for the reclaimed material. wastes. In addition, if this variance is nickel, and tin concentrates to smelters Petitioners generally can demonstrate finalized and if these characteristic that recover various metals contained in that this factor is met by providing sales sludges are mixed with the listed metal- these concentrates. information, including quantities of the bearing sludges covered by the variance material sold, additional demand for the II. Summary of Regulatory Provisions prior to or during the reclamation material (if any), and the price paid for Governing Petitions process at WRC’s Phoenix facility, the the material by purchasers. mixture will not be classified as a solid 40 CFR 260.30 provides that the EPA The third evaluation criterion (40 CFR waste provided the mixture is sent off- Administrator may grant a variance 260.31(c)(3)) is the degree to which the site for further reclamation and is from the classification of solid waste, on reclaimed material is like an analogous handled in accordance with all the a case-by-case basis, for materials that raw material. Petitioners must conditions of this variance. have been reclaimed but must be demonstrate that the partially reclaimed reclaimed further before recovery is material is similar to an analogous raw 2. Description of WRC’s Partial completed. Such a variance generally is material or feedstock for which the Reclamation Process contingent upon the material resulting material may be substituted in a Operations at WRC’s Phoenix facility from the initial reclamation being production or reclamation process. In are governed by a Consent Agreement ‘‘commodity-like.’’ If this variance is addition, the petitioner should and Consent Order (CA/CO) executed by finalized, the concentrates partially demonstrate that the partially reclaimed EPA Region IX, WRC, and the Arizona reclaimed from metal-bearing sludges material does not contain significant Department of Environmental Quality, F006 and F019 that are shipped to concentrations of hazardous hereafter referred to as ‘‘ADEQ’’ (see In smelters may travel without a hazardous constituents not found in an analogous the Matter of World Resources waste manifest and will not be subject raw material and that do not contribute Company, EPA I.D. No. AZD980735500, to any RCRA controls other than the to the value of the partially reclaimed United States Environmental Protection conditions of this variance (discussed in material when used for its intended Agency, Region IX, September 3, 1996). section IV of this notice). Incoming purpose. The CA/CO includes a requirement to hazardous waste received by WRC at the Under the fourth evaluation criterion submit an application for a treatment Phoenix facility is not covered by the (40 CFR 260.31(c)(4)), petitioners must and storage permit to ADEQ. At the variance and must be manifested and demonstrate that an end market for the Arizona facility, WRC accepts F006 raw managed as a hazardous waste until partially reclaimed material is material (as well as other metal-bearing shipped to smelters for further guaranteed. Petitioners must sludges) that it judges to be acceptable reclamation. demonstrate that there is a secure for recycling based on laboratory and 40 CFR 260.31(c) specifies five criteria demand and long-term market for the process testing of generated sludges. for evaluating whether a specific partially reclaimed material and that the WRC prepares a waste profile for the material qualifies for a ‘‘partially chance of large quantities of the material wastestreams received from each reclaimed material’’ variance from the being stockpiled due to insufficient generator, which includes physical definition of solid waste. In addition, 40 demand is unlikely. If a petitioner descriptions and constituent content. CFR 260.31(c)(6) allows EPA to consider cannot demonstrate that the material The material is unloaded, examined, ‘‘other relevant factors’’ when enjoys a consistent level of demand, and sampled on receiving pads in a determining whether or not to grant a with reasonable expectations for the

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68970 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules same or greater level of demand once a valuable service for generators of F006 listed sludges received destined for variance is granted, there may be risk of by testing, drying, and blending their partial reclamation to produce the the material being stockpiled or stored sludges to ensure that the resultant concentrate material must have a for a significant period of time in materials are judged by smelters to be minimum copper, nickel or tin content containers or other storage units that do acceptable feedstocks. Many smelters of two percent on a dry-weight basis, or not have to meet RCRA Subtitle C are reluctant to take F006 sludges the equivalent economic value in storage standards. Such situations may directly from electroplating operations precious metals (e.g., gold, silver, pose significant risks to human health because of the administrative, handling, platinum, or palladium). To set this or the environment. and quality control activities necessary condition, EPA analyzed smelter The fifth evaluation criterion (40 CFR to manage the relatively small volumes specifications for incoming materials 260.31(c)(5)) concerns the extent to generated by individual electroplaters and concluded, generally, that metal- which the partially reclaimed material and to ensure that materials sent to bearing secondary materials with a is handled to minimize loss. Petitioners smelters are appropriate and acceptable content of less than two percent on a must demonstrate that the material is for the smelting process. The blending, dry weight basis for copper, nickel, or handled as if it were a valuable drying, consolidating, and analytical tin (or an equivalent precious metal commodity and in a manner that is processes conducted by WRC may value) are not acceptable material at protective of human health and the eliminate the amount of pre-processing smelters. The minimum metal content environment. and quality control of sludges that for F-listed sludge materials received by In addition to the five evaluation would otherwise be necessary at the WRC is based upon information factors discussed above, EPA may smelting facility. In support of this collected by the Agency on smelter consider other relevant factors in view, WRC has long-term contracts with specifications for minimum metal determining whether or not to grant a generators of F006 sludges to perform content in an ore or reclaimed material. variance from the definition of solid this testing, drying, and blending This information is available in the waste for materials that have been service, and the contracts appear to rulemaking docket for this proposed reclaimed but must be reclaimed further ensure acceptability of the material by variance. The minimum metal content before recovery is complete (40 CFR smelting facilities. In addition, the based on smelter specifications (rather 260.31(c)(6)). These other factors may be Agency notes that WRC’s concentrate than use of a higher minimum for raised by the petitioner, the Agency, or has considerably higher economic value metals) is also designed to provide other interested parties. Such factors than ‘‘as-generated’’ F006 sludges. This incentives for recycling F006 and F019. may be directly applicable to EPA’s indicates that, despite the simple nature To ensure compliance with the decision to grant a variance, or may be of the physical processing involved, the minimum metal content condition for F- indirectly applicable, but relevant in resultant product is more ‘‘commodity- listed metal-bearing sludges received by assigning priorities for evaluating a like’’ than ‘‘waste-like,’’ and thus the WRC’s Phoenix facility, the Agency is particular petition. For example, EPA intent of this criterion would be placing an additional condition upon might choose to evaluate the long-term satisfied. the facility to ensure that WRC viability of the recycling or reuse market However, the Agency has a potential adequately monitors the metals content for the partially reclaimed material and concern about the legitimacy of the of the hazardous waste materials the contribution that a variance may WRC reclamation process. This concern received for reclamation. Upon receipt play in expanding or stabilizing this is whether the F006 and F019 sludges of any non-conforming shipment of market. In addition, EPA might wish to accepted and blended to form a sludge material, WRC must contact the assess past or ongoing releases at concentrate have sufficiently high levels generator and notify the generator that facilities managing the partially of metals to contribute to an end WRC cannot accept further material due reclaimed material, or the degree to product that is acceptable to smelters. If to the low metal content of the waste. which corrective action activities are listed sludges containing low or However, WRC may accept one being conducted at facilities managing virtually no metal content are accepted additional non-conforming shipment if the material. at the facility and blended with other it arrives within fourteen days of the materials (e.g., non-RCRA wastes from first shipment. The Agency is allowing III. Evaluation of WRC’s Petition electroplating operations) to produce a the facility to receive two non- Against Each of the Established material that is acceptable to smelters, conforming shipments over a period of Evaluation Factors the facility may actually be ‘‘treating’’ 14 days to provide WRC with sufficient A. The Degree of Processing the Material the low metal-content sludge and not time to contact the generator and has Undergone and the Degree of legitimately recycling the RCRA discuss a remedy or designate a hazardous waste. Since metal recovery different waste management alternative. Further Processing That is Required is the ultimate purpose for the recycling The 14-day period allows WRC to The processing steps performed by or reclamation operation, the minimum receive shipments that may already be WRC include sampling and testing metal content of the incoming in transport at the time the facility incoming batches of sludge, evaporating hazardous wastes is an important factor discovers that the first shipment is not water from the sludges, and blending in evaluating the legitimacy of the in compliance with the metal content certain listed metal-bearing sludges process and the applicability of the condition of the exclusion. After this 14- from different sources to form a metal variance. Having a recoverable amount day grace period, WRC may not accept concentrate. The procedure is not of metals in each of the F006 and F019 additional materials from that generator elaborate, and the lack of substantial incoming sludges is a necessary until WRC determines that the physical processing could, under condition for WRC’s process to be generator’s subsequent sludge different circumstances, lead the judged a legitimate reclamation shipments will meet the minimum Agency to conclude that this criterion operation. metal content requirements of this had not been met. However, despite the To address this legitimacy concern, variance. elementary nature of the physical the Agency is proposing to condition To ensure that all concentrates processing, EPA has concluded that the the exclusion for the partially reclaimed covered by this variance are sent to company is nevertheless performing a material on the requirement that all F- smelters rather than to disposal

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 68971 facilities, WRC has also agreed to ground water risk screening analysis papers must be retained by the shipper provide to ADEQ an annual audit, conducted by the Agency (and and carrier for a period of one year. performed by an independent third explained below), the Agency is WRC has demonstrated that its party mutually acceptable to WRC and proposing to set a limit on the level of partially reclaimed metal-bearing ADEQ, to be completed within the six cyanide in WRC metals concentrate as a sludges are managed in a way that is months following the end of each condition of the variance. The Agency is designed to prevent loss, both at the calendar year. The scope of the annual proposing to condition its proposed Phoenix facility and at the smelters. audit will cover WRC’s concentrate grant of the variance on the requirement WRC also points out that the company shipments during the year to certify that that the level of cyanide in WRC’s metal enters into recycling agreements with all outgoing shipments of concentrate concentrate (produced at the Phoenix the generators from whom WRC receives were: (1) Made to metal smelting facility) is below the best demonstrated F006 sludge (as well as other metal- facilities; (2) documented and shipped available technology (BDAT) treatment bearing sludges). These agreements in accordance with all applicable U.S. standards for cyanide at 40 CFR 268.40 obligate WRC to recycle all of the wastes Department of Transportation (i.e., 590 ppm cyanide.) For a more and to annually certify to the generators regulations; and (3) documented to have detailed discussion of the proposed that all shipments of the waste are reached the designated destination. cyanide limit, see Section E. below. accepted and recycled. Therefore, WRC has the incentive to handle all incoming B. The Value of the Material After It Has D. The Extent to Which an End Market wastes in a manner that prevents Been Partially Reclaimed for the Partially Reclaimed Material is releases or losses to the environment. The concentrate produced by WRC Guaranteed WRC also points out that the value of its has a positive economic market value The concentrate produced by WRC recycled material represents a and is purchased by metals smelters. appears to have a stable long-term significant investment by WRC that can WRC provided sales data to the Agency market. WRC has multi-year contracts only be recovered by delivering the for the period of January 1, 1994 to June for the sale of its reclaimed materials reclaimed material to smelters in 30, 1995 documenting that the facility with at least four smelters. Additional accordance with its sales contracts. sold its partially reclaimed material to market information provided by WRC EPA agrees that the economic value of smelters and received a positive indicates that its purchasers have the partially reclaimed material economic value (after taking into additional excess smelting capacity that produced by WRC and the facility’s account average transportation costs). exceeds WRC’s production capabilities. contractual relationships with smelters provide sufficient incentives for WRC to C. The Degree to Which the Partially E. The Extent to Which the Partially prevent releases to the environment. In Reclaimed Material is Like an Reclaimed Material is Handled to addition, the Agency notes that granting Analogous Raw Material Minimize Loss this variance may produce WRC asserts that its partially Operations at WRC’s Phoenix facility environmental benefits by increasing reclaimed materials are analogous to are governed by the CA/CO described in the volume of F006 that is recycled, virgin ores used as raw materials by section I.B.2 of this document, and will thus reducing copper and nickel mining metal smelters. WRC’s partially be covered by a RCRA Part B treatment which have caused environmental reclaimed materials are marketed by and storage permit. Incoming material is concerns in the past. WRC as copper, nickel, and tin accompanied by a hazardous waste However, to address all concerns concentrates. Each concentrate contains manifest, and all processing is about safe handling of WRC concentrate, various mixes of these metals, as well as performed on a concrete pad, with a the Agency is proposing to condition precious metals such as gold, silver, compacted native soil and flexible the grant of the variance on the platinum and palladium. WRC membrane liner beneath the pad. requirement that WRC include a submitted analytical data to the Agency Treatment and storage activities prior to provision in its contractual agreements indicating that its concentrates contain shipment off-site are subject to all with metal smelting facilities that recoverable levels of metals and metals applicable 40 CFR Part 265 standards, smelters receiving partially reclaimed concentrate at levels higher than the including general facility standards, materials from WRC do not store the metal content specifications for preparedness and prevention, materials on the land. In this manner, incoming materials for smelters. groundwater protection and monitoring, metal concentrates produced by WRC The Agency conducted an analysis closure and post-closure requirements, from listed hazardous wastes and comparing the toxic constituents in the and financial responsibility. transported to smelting facilities will be metals concentrates managed by WRC The partially reclaimed materials precluded from land storage. In with the constituents in analogous produced by WRC’s Phoenix facility are addition, EPA is proposing to condition virgin ore concentrates. The Agency shipped to smelters by either highway the grant of the variance on the found, for the most part, that the or rail. The Department of requirement that WRC send a one-time concentration levels for the toxic Transportation (DOT) regulations notification of the variance and its constituents found in the WRC specify that the materials must be conditions to any countries where metal concentrates are comparable to the classified and handled as a hazardous smelters accepting WRC concentrate are concentrations of toxic constituents material due to the fact that the located. typically found in virgin metal materials contain nickel hydroxide. To evaluate the potential for releases concentrates. The exception is cyanide. Shipments of materials classified by of cyanide from the partially reclaimed Metals concentrates reclaimed by WRC DOT as hazardous materials are subject material stored at smelters, the Agency have higher concentrations of cyanide to the marking, labeling, and shipping conducted a ground water risk screening than typically found in virgin ore requirements of 49 CFR part 172, analysis to assess the risk levels concentrates. including the requirement that the associated with potential releases of As a result of its comparative analysis materials must be accompanied by a cyanide from electroplating sludges. To of the toxic constituents in WRC shipping paper, or bill of lading, accomplish this analysis, EPA concentrate materials and virgin metal completed in accordance with Subpart conducted a risk screening that modeled concentrates, as well as the results of a C of 49 CFR part 172. Copies of these total cyanide concentrations of 590

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Thereafter, WRC may not accept concentration of cyanide in the ground Given these results, the Agency has additional materials from that generator water at a receptor well down gradient determined that it is important to until WRC determines that the of a waste pile of electroplating sludge establish a limit on the level of cyanide generator’s subsequent sludge will exceed the Federal Drinking Water in the partially reclaimed materials shipments will meet the minimum Standard limit of 0.20 mg/L. The risk produced and sold by WRC. The Agency metal content requirements of this screening analysis was performed using has decided to establish this limit at 590 condition. EPA’s Composite Model for Leachate ppm cyanide, which was used as the (2) WRC shall provide to ADEQ an Migration and with Transformation model cyanide concentration in its risk annual audit, performed by an Products (EPACMTP, EPA 1997, 1996a, screening analysis. This level is the independent third party mutually 1996b, 1996c). limit established as the BDAT treatment acceptable to WRC and ADEQ, to be The approach used by the Agency in standard limit under the Land Disposal completed within the six months the risk screening analysis assumed two Restrictions Program. WRC claims that following the end of each calendar year. waste management scenarios its partially reclaimed product does not The scope of the annual audit will cover representing a median or central exceed a cyanide concentration limit of WRC’s concentrate shipments during tendency risk level scenario and a high- 590 ppm. The Agency points out that if the year to certify that all shipments end risk scenario. The ‘‘central the partially reclaimed material should were: (1) Made to metal smelting tendency’’ risk level scenario included a exceed the established concentration facilities; (2) documented and shipped waste pile directly on the ground with limit for cyanide and the facility must in accordance with all applicable U.S. a total area of 465.40 square meters and treat the material to reduce the cyanide Department of Transportation located 430 meters from the nearest concentration, the material would no regulations; and (3) documented to have drinking water well. The ‘‘high end longer qualify for this variance. Under reached the designated destination. value’’ risk level scenario simulated a such circumstances, the material is (3) The partially reclaimed waste pile having a total area of 18,575.7 substantially ‘‘waste-like.’’ In addition, concentrate materials must have a square meters and located 102 meters the facility would have to manage the cyanide concentration of no greater than from the nearest drinking water well. 1 material as a RCRA hazardous waste 590 ppm and may not be placed on the The results of the model simulations and comply with all applicable land at metal smelting facilities. To for both scenarios indicated that hazardous waste management ensure compliance with this condition, concentrations of cyanide in the ground requirements (e.g. storage, WRC must place a provision stipulating water do not exceed the maximum transportation, and land disposal no land placement of the materials in its Federal Drinking Water Standard of 0.20 restriction (LDR) requirements)). contractual agreements with smelting mg/L. The maximum receptor well facilities. concentration for the central tendency IV. Summary of the Agency’s Proposed (4) WRC must send a one-time scenario was zero and that of the high- Decision notification of the variance and its end scenario was 0.0175 mg/L. The The Agency is proposing to conditions to any country where metal most important parameter responsible conditionally grant the petitioner’s smelters accepting WRC concentrate are for the low concentrations of cyanide in (WRC’s) request for a variance from located. In addition, WRC must include these results is the assumed rapid classification as solid waste for the on its Material Safety Data Sheet hydrolysis rate of cyanide, 8.4y¥1. This metal concentrate partially reclaimed shipped with the concentrate a rate corresponds to a half-life of from materials listed as hazardous waste notification that the concentrate may approximately 30 days. The model F006 and F019 received at its Arizona contain up to 590 ppm cyanide and that results predict that the cyanide will facility, which are sold to metal smelters low pH environments can result in the have been completely transformed or other metal recovery facilities after production of hydrogen cyanide gas. before it reaches the receptor in the being partially reclaimed by WRC. The The Agency reiterates that this central tendency scenario. In the high- Agency is proposing to grant this proposed conditional variance from end case, the ground water travel time variance for a time period of five years, classification as solid waste for the is sufficiently short that cyanide reaches subject to the following conditions: metal concentrate reclaimed from listed the well, although the maximum (1) Metal-bearing sludges F006 and hazardous wastes F006 and F019 at concentration is below the drinking F019 accepted by the facility from off- WRC’s Phoenix, Arizona facility does water standard. If these results are site and used in the production of the not affect the regulatory status of any compared to corresponding scenarios partially reclaimed concentrate other hazardous wastes handled by that assume no hydrolysis, the materials must have a metals WRC at the Phoenix facility. In addition, maximum receptor well concentration concentration level of no less than two the proposed variance does not apply to for the central tendency is 0.07 mg/L percent on a dry weight basis, or an or affect the regulatory status of any and the maximum receptor well equivalent economic value in precious wastes managed at any other WRC concentration for the high-end scenario metals (e.g., gold, silver, platinum, or facility. is 17.79 mg/L.2 In the case of no palladium). In addition, the facility may only process two shipments of listed V. Request for Comments 1 ‘‘Ground Water Risk Screening Analysis for sludge materials that do not meet the The Agency will accept and consider Cyanide in Electroplating Sludge Managed in Waste two percent metals concentration level comments on this proposed decision Piles,’’ HydroGeoLogic Inc., June 1997. from a single generator within a 14-day until the date shown at the beginning of 2 Model runs were made with and without the hydrolysis rate to isolate the impact of storage time time period before taking action to this notice. After EPA reviews and duration from the overwhelming effect of ensure that subsequent shipments will considers any public comments hydrolysis rate. meet the minimum metal content. received on the proposed decision, the

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Agency will publish a final decision in Order 13084 (63 FR 27655, May 10, similar to and include all activities response to the petition. 1998). For the same reason, this rule covered by our original 5-year Beaufort will not have substantial direct effects Sea incidental take regulations effective VI. Effect of Variance in Arizona on the States, on the relationship from December 16, 1993, through EPA notes that Arizona is authorized between the national government and December 15, 1998, and current to administer and enforce the RCRA the States, or on the distribution of regulations in effect from January 28, hazardous waste program pursuant to power and responsibilities among the 1999, through January 30, 2000, except section 3006 of RCRA. Generally, when various levels of government, as that these proposed regulations would EPA grants a variance under 40 CFR specified in Executive Order 13132 (64 also allow incidental, unintentional 260.30, the variance would be FR 43255, August 10, 1999). This rule takes resulting from subsea pipeline automatically effective only in also is not subject to Executive Order activities placed offshore at the unauthorized States. However, there are 13045 (62 FR 19885, April 23, 1997), Northstar facility in the Beaufort Sea. two circumstances that make this because it is not economically We are proposing that this rule be variance effective in the State of significant. effective for 3 years, from January 31, Arizona. First, WRC, EPA Region IX and This rule does not involve technical 2000, through January 31, 2003. the Arizona Department of standards; thus, the requirements of We propose a finding that the total Environmental Quality (ADEQ) section 12(c) of the National Technology expected takings of polar bear and executed a Consent Agreement and Transfer and Advancement Act of 1995 Pacific walrus during oil and gas Consent Order (CA/CO) that finalized (15 U.S.C. 272 note) do not apply. As industry exploration, development, and regulatory requirements for the WRC required by section 3 of Executive Order production activities will have a recycling facility at Phoenix. Under the 12988 (61 FR 4729, February 7, 1996), negligible impact on these species, and CA/CO, if EPA makes a favorable in issuing this rule, EPA has taken the no unmitigable adverse impacts on the decision regarding WRC’s petition for a necessary steps to eliminate drafting variance, Arizona is obligated to ‘‘honor availability of these species for errors and ambiguity, minimize subsistence use by Alaska Natives. We and give legal effect to the variance potential litigation, and provide a clear determination within the State of base this finding on results from 6 years legal standard for affected conduct. EPA of monitoring interactions between Arizona.’’ Second, Arizona’s regulations has complied with Executive Order at A.A.C. R18–8–260(J) (Supp. 98–2) marine mammals and Industry, and 12630 (53 FR 8859, March 15, 1988) by using oil spill trajectory models and (which incorporates and modifies 40 examining the takings implications of CFR 260.30 entitled ‘‘Variances from polar bears density models to determine the rule in accordance with the classification as a solid waste’’) provides the likelihood of impacts to polar bears ‘‘Attorney General’s Supplemental that ‘‘any person wishing to submit a should an accidental oil release occur. Guidelines for the Evaluation of Risk variance petition shall submit the DATES: Comments on this proposed rule and Avoidance of Unanticipated petition, under this subsection, to EPA. must be received by January 10, 2000. Takings’’ issued under the executive Where the Administrator of EPA has order. This rule does not impose an ADDRESSES: You may submit comments granted a variance from classification as information collection burden under the by any of the following methods: a solid waste under 40 CFR 260.30, provisions of the Paperwork Reduction 260.31, and 260.33, the Director shall 1. By mail to: John Bridges, Office of Act of 1995 (44 U.S.C. 3501 et seq.). accept the determination, provided the Marine Mammals Management, US Fish Director determines that the action is Dated: December 3, 1999. and Wildlife Service, 1011 East Tudor consistent with the policies and Carol M. Browner, Road, Anchorage, AK 99503. purposes of the HWMA’’ (the Hazardous Administrator. 2. By FAX by sending to: 907–786– Waste Management Act underlying [FR Doc. 99–31965 Filed 12–8–99; 8:45 am] 3816. Arizona’s authorized status). Since the BILLING CODE 6560±50±U 3. By Internet, electronic mail by Director has made such a determination, sending to: [email protected]. Please no further action will be necessary submit Internet comments as an ASCII before the variance takes effect under DEPARTMENT OF THE INTERIOR file avoiding the use of special state law upon promulgation by EPA. characters and any form of encryption. Please also include ‘‘Attn: RIN 1018– VII. Administrative Requirements: Fish and Wildlife Service AF54’’ and your name and return Under Executive Order 12866 (58 FR 50 CFR Part 18 address in your Internet message. If you 51735, October 4, 1993), this action is do not receive a confirmation from the RIN 1018±AF54 not a rule of general applicability and system that we have received your therefore is not a ‘‘regulatory action’’ Marine Mammals; Incidental Take Internet message, contact us directly at subject to review by the Office of During Specified Activities US Fish and Wildlife Service, Office of Management and Budget. Because this Marine Mammals Management, 907– action is a rule of particular AGENCY: Fish and Wildlife Service, 786–3810 or 1–800–362–5148. applicability relating to a facility, it is Interior. 4. By hand-delivery to: Office of not subject to the regulatory flexibility ACTION: Proposed rule. Marine Mammals Management, US Fish provisions of the Regulatory Flexibility and Wildlife Service, 1011 East Tudor Act (5 U.S.C. 601 et seq.), or to sections SUMMARY: These proposed regulations Road, Anchorage, Alaska 99503. 202, 204 and 205 of the Unfunded would authorize the incidental, Mandates Reform Act of 1995 (UMRA) unintentional take of small numbers of FOR FURTHER INFORMATION CONTACT: John (Pub. L. 104–4). Because the rule will polar bears and Pacific walrus during Bridges, Office of Marine Mammals affect only one facility, it will not year-round oil and gas industry Management, US Fish and Wildlife significantly or uniquely affect small (Industry) exploration, development, Service, 1011 East Tudor Road, governments, as specified in section 203 and production operations in the Anchorage, AK 99503, Telephone 907– of UMRA, or communities of tribal Beaufort Sea and adjacent northern 786–3810 or 1–800–362–5148. governments, as specified in Executive coast of Alaska. The operations are SUPPLEMENTARY INFORMATION:

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Background recruitment or survival. Unmitigable Secretary of the Interior directed us to Section 101(a)(5)(A) of the Marine adverse impact means an impact develop, then begin implementation of, Mammals Protection Act (Act) gives the resulting from the specified activity: a polar bear habitat conservation (1) That is likely to reduce the Secretary of the Interior (Secretary) strategy before extending the regulations availability of the species to a level through the Director of US Fish and beyond the initial 18 months for a total insufficient for a harvest to meet Wildlife Service (We) the authority to 5-year period as allowed by the Act. We subsistence needs by: developed The Habitat Conservation allow the incidental, but not intentional, (i) Causing the marine mammals to taking of small numbers of marine Strategy for Polar Bears in Alaska to abandon or avoid hunting area, ensure that the regulations met with the mammals, in response to requests by US (ii) Directly displacing subsistence intent of the 1973 International citizens (You) [as defined in 50 CFR users, or Agreement on the Conservation of Polar 18.27(c)] engaged in a specified activity (iii) Placing physical barriers between Bears. On August 17, 1995, we issued (other than commercial fishing) in a the marine mammals and the the final rule and notice of availability specified geographics region. We may subsistence hunters, and of a completed final polar bear habitat grant permission for incidental takes for (2) That cannot be sufficiently conservation strategy (60 FR 42805). We periods of up to 5 years. mitigated by other measures to increase then extended the regulations for an Under the provisions of the Act, we the availability of marine mammals to additional 42 months to expire on would allow the incidental taking of allow subsistence needs to be met. December 15, 1998. these marine mammals only if our Industry conducts activities such as On August 28, 1997, BP Exploration Director finds, based on the best oil and gas exploration, development, (Alaska), Inc., submitted a petition for scientific evidence available, that the and production in marine mammals itself and for ARCO Alaska, Inc., Exxon total of such taking for 3-year period habitat, and risks violating the Corporation, and Western Geophysical will have a negligible impact on these prohibitations on the taking of marine Company for rulemaking pursuant to species and will not have an mammals. Although there is no legal Section 101(a)(5)(A) of the Act, and unmitigable adverse impact on the requirements for Industry to obtain Section 553(e) of the Administrative availability of these species for taking incidental take authority, Industry has Procedure Act (APA). Their request for subsistence use by Alaska Natives. If chosen to seek authorization to avoid sought regulations to allow the these findings are made, we will the uncertainties associated with incidental, but not intentional, take of establish regulations for the activity that conducting activities in marine mammal small numbers of polar bears and Pacific set forth: (1) Permissible methods of habitat. Along with their request for walrus when takings occurred during taking; (2) Means of effecting the least incidental take authority, Industry has Industry operations in Arctic Alaska. practicable adverse impact on the also developed and implemented polar Specifically, they requested an species and their habitat and on the bear conservation measures. extension of the incidental take availability of the species for On December 17, 1991, BP regulations beginning at 50 CFR 18.121 subsistence uses; and (3) Requirement Exploration (Alaska), Inc., for itself and for an additional 5-year term from for monitoring and reporting. for Amerada Hess Corporation, Amoco December 16, 1998, through December The term ‘‘take’’ as defined by the Act Production Company, ARCO Alaska, 15, 2003. The geographic extent of the means to harass, hunt, capture, or kill, Inc., CGG American Service, Inc., request was the same as that of or attempt to harass, or kill any marine Conoco Inc., Digicon Geophysical Corp., previously issued regulations beginning mammal. Exxon Corporation, GECO Geophysical at 50 CFR 18.121 that were in effect Harrassment as defined by the Act, as Co., Halliburton Geophysical Service, through December 15, 1998 (see above). amended in 1994, ‘‘* * * means any act Inc., Mobil Oil Corporation, Northern The petition to extend the incidental of pursuit, torment, or annoyance Geophysical of America Western, take regulations included two new oil which— Texaco Inc., Unocal Corporation, and fields (Northstar and Liberty). Plans to (i) Has the potential to injure a marine Geophysical Company requested that develop each field identified a need for mammal or marine mammal stock in the we promulgate regulations pursuant to an offshore gravel island and a buried wild; or Section 101(a)(5) of the Act. subsea pipeline to transport crude oil to (ii) Has the potential to disturb a The geographic region defined in existing onshore infrastructure. Based marine mammal or marine mammal Industry’s 1991 application included on preliminary information related to stock in the wild by causing disruption offshore waters beginning at a north/ subsea pipelines published in a Draft of behavioral patterns, including, but south line at Barrow, Alaska, east to the Environmental Impact Statement (DEIS) not limited to, migration, breathing, Canadian border, including all Alaska for the Northstar project, we were nursing, breeding, feeding, or state waters and Outer Continental Shelf unable to make a finding of negligible sheltering.’’ (OCS) waters. The onshore region was impact and issue regulations for the full As a result of 1986 amendments to the defined by the name north/south line at 5-year period. The information Act, we amended 50 CFR 18.27 (i.e., Barrow, extending 25 miles inland and published in the Northstar DEIS regulations governing small takes of east to the Canning River. The Arctic suggested that the probability of an oil marine mammals incidental to specified National Wildlife Refuge was excluded spill was 21–23 percent over the life of activities) with a final rule published on from the proposal. the project, and that up to 30 polar bears September 29, 1989. Section 18.27(c) On November 16, 1993 (58 FR 60402), could be killed by a spill. included, among other things, a revised we issued final regulations to allow the On November 17, 1998, we published definition of ‘‘negligible impact’’ and a incidental, but not intentional, take of proposed regulations (63 FR 63812) to new definition for ‘‘unmitigable adverse small numbers of polar bears and Pacific allow the incidental, unintentional take impact’’ as follows. Negligible impact is walrus when such taking(s) occurred of small numbers of polar bears and an impact resulting from the specified during Industry activities during year- Pacific walrus in the Beaufort Sea and activity that cannot be reasonably round operations in the Beaufort Sea northern coast of Alaska. On January 28, expected to, and is not reasonably likely Region as described in the preceding 1999, we issued final regulations to, adversely affect the species or stock paragraph. The regulations were issued effective through January 30, 2000. through effects on annual rates of for 18 months. At the same time, the These regulations do not authorize the

VerDate 29-OCT-99 17:26 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00024 Fmt 4702 Sfmt 4702 E:\FR\FM\09DEP1.XXX pfrm01 PsN: 09DEP1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 68975 incidental take of polar bears and on Federal lands, respectively, and the A large number of variables influence Pacific walrus during construction or State of Alaska is responsible for exploration activities, therefore, operation of subsea pipelines in the activities on State lands and in State predictions as to the exact dates and Beaufort Sea. waters. locations of exploratory operations that Subsequent to January 28, 1999, the As in previous regulations, the will take place over the next 3 years U.S. Army Corps of Engineers finalized proposed rule requires an applicant to would be speculative. However, the Northstar Environmental Impact obtain a Letter of Authorization (LOA) requests for LOAs must include specific Statement in February 1999. to conduct exploration, development, details regarding dates, duration, and Construction of the Northstar gravel and production activities pursuant to geographic locations of proposed island and subsea pipeline are the regulations. Each group or activities. scheduled for the winter of 1999–2000, individual conducting an oil and gas Alaska’s North Slope encompasses an with production beginning in the latter industry-related activity within the area area 88,280 square miles and contains half of 2000. The Liberty development covered by these regulations may 13 separate oil and gas fields in is proposed for early 2003. The request an LOA. production: Prudhoe Bay, North Department of the Interior’s Minerals Further, applicants for LOAs must Prudhoe Bay State, Kuparuk, Endicott, Management Service (MMS) has submit a plan to monitor the effects on Point McIntyre, Lisburne, Milne Point, published a Preliminary Draft EIS, and polar bear and walrus that are present Cascade, West Beach, Niakuk, Schrader a Draft EIS is currently in preparation. during the authorized activities. Bluff, Badami and Sag Delta North. Summary of Current Request Applicants for LOAs must also include Additional discoveries have been made at the Northstar and Apline fields, both The proposed regulations respond to a Plan of Cooperation. The purpose of the Plan is to ensure that the impact of of which are now in the development the August 28, 1997, request by BP phase. Discovery has also been made at Exploration (Alaska), Inc. for the oil and gas activity on the availability of the species or stock for subsistence uses the Liberty site, where development is extension of incidental take regulations. planned for 2003. That request was for a period of 5 years, continue to be negligible. The Plan must provide the procedures on how Industry During the period covered by the from December 16, 1998, through proposed regulations, we anticipate a December 15, 2003. As previously will work with the affected Native similar level of activity at existing mentioned, we issued regulations for 1 communities and what actions will be production facilities as during the year that will expire on January 30, taken to avoid interference with previous 6 years. One notable difference 2000. The current proposal addresses subsistence hunting of polar bear and is the new Northstar project, the first the time period from January 31, 2000, walrus. offshore production facility on the through January 31, 2003. Each request for an LOA is evaluated on the specific activity and the specific North Slope, and the only offshore Description of Proposed Regulations location, and we condition each LOA production facility considered in this Due to the preliminary nature of the for that activity and location if proposal. Liberty environmental assessment, we necessary. For example, a request to Biological Information are unable to evaluate the potential conduct activities on barrier islands impact of that development at this time. with active polar bear dens or a history Pacific Walrus These proposed regulations are for a 3- of polar bear denning will be Pacific walrus (Odobenus rosmarus) year period from January 31, 2000, conditioned to avoid the area until after typically inhabit the waters of the through January 31, 2003, and include the bears normally exit their dens. Chukchi and Bering seas. Most of the consideration of subsea pipeline Description of Activity population congregates near the ice edge activities associated with the Northstar of the Chukchi Sea pack ice west of project. The proposed regulations will In accordance with 50 CFR 18.27, Point Barrow during the summer. In the allow Industry to incidentally take polar Industry has submitted a request for the winter, walrus inhabit the pack ice of bear and Pacific walrus within the same promulgation of incidental take the Bering Sea, with concentrations area as covered by our previous regulations pursuant to Section occurring in the Gulf of Anadyr, south regulations; defined by a north/south 101(a)(b)(A) of the Act. Activities of St. Lawrence Island, and south of line at Barrow, Alaska, including all covered in this proposed rule include Nunivak Island. Alaska State waters and OCS waters, exploration, development, and Walrus occur infrequently in the and east of that line to the Canadian production of oil and gas, as well as Beaufort Sea. Data from our marking, border; with the onshore region being wildlife monitoring associated with Tagging, and Reporting Program show the same north/south line at Barrow, 25 these activities. that, from 1994 through 1997, 73 walrus miles inland and east to the Canning Exploration activities include were reported killed by Barrow hunters. River. Once again, the Arctic National geological and geophysical surveys, Tagging certificates show that nearly all Wildlife Refuge is excluded from the which may involve geotechnical site of the 73 walrus were taken west of proposal. investigation, reflective seismic Barrow. In 4 years of monitoring The proposed regulations do not exploration, vibrator seismic data Industry’s activities in the Beaufort Sea, authorize the actual activities associated collection, air gun and water gun on-site monitors have observed only two with oil and gas exploration, seismic data collection, explosive walrus. development, and production, but seismic data collection, geological rather authorize the incidental, surveys, and drilling operations. Polar Bear unintentional take of small numbers of Drilling operations include drill ships, Polar bears (Ursus maritimus) occur polar bears and Pacific walrus floating drill platforms such as the in the Northern hemisphere, where their associated with those activities. The Kulluk, ice pads, artificial islands, distribution is circumpolar, and they MMS and the Bureau of Land caisson-retained islands, and two types live in close association with polar ice. Management are responsible for of bottom-founded structures, concrete In Alaska, their distribution extends permitting activities associated with oil island drilling system, and single steel from south of the Bering Strait to the and gas activities in Federal waters and drilling caisson. U.S.-Canada border. Two stocks occur

VerDate 29-OCT-99 10:30 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00025 Fmt 4702 Sfmt 4700 E:\FR\FM\09DEP1.XXX pfrm08 PsN: 09DEP1 68976 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules in Alaska: the Chukchi/Bering seas November 1996, biologists from the U.S. Due to the small number of walrus in stock, whose size is unknown; and the Geological Survey observed 28 polar the area covered by the proposed Southern Beaufort Sea stock, which was bears near a bowhead whale carcass on regulations, oil and gas industry estimated in 1992 to number about Cross Island, and approximately 11 activities will not result in more than a 1,800 bears. polar bears within a 2-mile radius of negligible impact on this species. Females without dependent cubs another bowhead whale carcass near the Subsistence Use of Pacific Walrus breed in the spring and enter maternity village of Kaktovik on Barter island. In dens by late November. Females with October 1997, we observed 47 polar As the primary range of Pacific walrus cubs do not mate. An average of two bears on barrier islands and the is west and south of the Beaufort Sea, cubs are usually born in December, and mainland from Prudhoe Bay to the it is not surprising that few walrus are the family group emerges from the den Canadian border, a distance of harvested in the Beaufort Sea along the in late March or early April. Only approximately 100 miles. northern coast of Alaska. Walrus pregnant females den for an extended constitute a small portion of the total period during the winter; however, Effects of Oil and Gas Industry marine mammal harvest for the village other polar bears may burrow out Activities on Marine Mammals and on of Barrow. In the past 6 years, 73 walrus depressions to escape harsh winter Subsistence Uses were reported taken by Barrow hunters. winds. The average reproduction Pacific Walrus Reports indicate that all but 1 of the 73 interval for polar bear is 3–4 years. The walrus were taken west of Point Barrow, maximum reported age of reproduction Oil and gas industry activities that beyond the limits of the incidental take in Alaska is 18 years. Based on these generate noise such as air and vessel regulations. Hunters from Nuiqsut and data, a polar bear may produce about 10 traffic, seismic surveys, ice breakers, Kaktovik do not normally hunt walrus cubs in her lifetime. supply ships, and drilling may frighten east of Point Barrow and have taken The fur and blubber of the polar bear or displace Pacific walrus. As only one walrus in the last 10 years. protect it from the cold air and frigid previously stated in this document, the Polar Bear water. Newly emerged cubs of the year primary range of the Pacific walrus is may not have a sufficient layer of west of Point Barrow. Pacific walrus do In the southern Beaufort sea, polar blubber to maintain body heat when not normally range into the Beaufort bears spend the majority of their lives immersed in water for long periods of Sea. Occasionally, a single walrus may on the ice, which limits the opportunity time. Cubs abandoned prior to the be sighted east of Point Barrow. From for impacts from Industry. For example, normal weaning age of 2.5 years likely 1994 to 1997, two Pacific walrus were although polar bears have been will not survive. sighted during an open-water seismic documented in open water, miles from Ringed seals (Phoca hispida) are the program. The program was conducted in the ice edge or ice floes, it is a relatively primary prey species of the polar bear; the vicinity of Gwyder Bay rare occurrence. Therefore, exploration however, occasionally, polar bears hunt approximately 10 miles west of Prudhoe activities in the open-water season will bearded seals (Erignathus barbatus) and Bay. Marine mammal monitors sighted not have more than a negligible impact walrus calves. Polar bears also scavenge one sub-adult walrus approximately 5 on the polar bear. on marine mammal carcasses washed miles northwest of Howe Island and BP Polar bears also spend a limited up on shore, and eat non-food items Exploration’s Endicott Unit. The amount of time on land, coming ashore such as styrofoam, plastic, car batteries, second, a single adult walrus, was to feed, den, or move to other areas. At antifreeze, and lubricating fluids. observed from a survey aircraft time when the ice edge is near shore Polar bears have no natural predators, approximately 20 miles north of Pingok and then quickly retreats northward, and they do not appear to be prone to Island. bears may remain along the coast or on death by disease or parasites. The most In winter, Pacific walrus inhabit the barrier islands for several weeks until significant source of mortality is pack ice of the Bering Sea. As the winter the ice returns. For those brief periods, humans. Since 1972, with the passage of range of the Pacific walrus is well there is increased likelihood of the Act, only Alaska Natives are allowed beyond the geographic area covered by interactions between polar bears and to hunt polar bears in Alaska. Bears are these regulations, we do not expect any Industry activities. We have found that used for subsistence purposes such as impacts to walrus from oil and gas polar bear interaction planning and the manufacture of handicraft and activities during winter. training requirements of the LOA clothing items. The Native harvest If walrus are present, their movements process have increased polar bear occurs without restrictions on sex, age, may be affected by stationary drilling awareness, and have helped minimize number, or season, providing the structures. Walrus are attracted to these encounters. For example, in 1999 population is not depleted and takes are certain activities and are repelled from Exxon terminated work on Flaxman non-wasteful. From 1980–1997, the total others by noise or smell. In 1989 an Island due to the presence of several annual harvest in Alaska averaged 103 incident occurred during a drilling polar bears in the vicinity of their work bears. The majority of this harvest (70 operation in the Chukchi Sea where a area. percent) came from the Chukchi and young walrus surfaced in the center Disturbances to denning females, Bering seas area. hole (i.e., moonpool) of a drill ship. The either on land or on ice, are of particular Polar bears in the near shore Alaskan crew used a cargo net to remove the concern. As part of the LOA application Beaufort Sea are widely distributed in walrus from the drilling area, after for seismic surveys during denning low numbers across the area with an which the walrus left the scene of the season, Industry provides us with the average density of about one bear per 30 incident and was not seen again. No proposed seismic survey routes. To to 50 square miles. However, polar bears similar incidents have been reported in minimize the likelihood of disturbance have been observed congregating on the area of the proposed regulations. of denning females, we evaluate these barrier islands in the fall and winter Seismic surveys generally take place routes along with information about because of available food and favorable on solid ice or in open water. Since known polar bear dens, historic denning environmental conditions. Polar bears walrus activity occurs near the ice edge, sites, and probable denning habitat. A will occasionally feed on bowhead interactions between walrus and seismic standard condition of LOAs requires whale carcasses on barrier islands. In surveys are unlikely. Industry to maintain a one-mile buffer

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When calculated for the 3-year Industry to evaluate the use of remote environment, where spilled oil will period covered by the proposed sensing techniques, such as Forward accumulate at the ice edge, in leads, and regulations, we estimate the likelihood Looking Infrared (FLIR) imagery to similar areas of importance to polar of one or more spills greater than 1,000 detect active dens. bears. Oil spilled from offshore barrels in size occurring in the marine Industry activities that occur on or production activities was not environment is 3–10 percent. near the ice have greater possibility for considered in our previous regulations. Applied Sciences Associates, Inc., encountering polar bears. Depending The Northstar Project will transport was contracted by BP Exploration Inc. to upon the circumstances, bears can be crude oil from a reconstructed gravel run the OILMAP oil spill trajectory either repelled from or attracted to island in the Beaufort Sea to shore via model. The size of the modeled spill sounds, smells, or sights associate with a 5.96-mile buried subsea pipeline. The was set at 3,600 barrels, simulating there activities. As mentioned above, pipeline will be buried in a trench in rupture and drainage of the entire the LOA process requires the applicant the sea floor deep enough to reduce the subsea pipeline. Each spill was modeled to develop a polar bear interaction plan risk of damage from ice gouging and by tracking the location of 100 for each operation. These plans outline strudel scour. Construction of Northstar ‘‘spillets,’’ each representing 36 barrels. the steps the applicant will take to will begin in the winter of 1999–2000. Spillets were driven by wind, and their minimize impacts, such as garage Polar bears are at risk from an oil spill movements affected by the presence of disposal procedures to reduce the in the Beaufort Sea. Limited data from sea ice. Open water and broken ice attraction of polar bears. Interaction a Canadian study suggest that polar scenarios were each modeled with 250 plans also outline the chain of bears experimentally oiled with crude simulations. A solid ice scenario was command for responding to a polar bear oil may die. This finding is consistent also modeled, in which oil was trapped sighting. In addition to interaction with what is known of other marine beneath the ice and did not spread. In plans, Industry personnel participate in mammals that rely on their fur for this event, we found it unlikely that polar bear interaction training while on insulation. The Northstar FEIS polar bears would contact oil, and site. The result of these polar bear concluded that mortality of up to 30 removed this scenario from further interaction plans and training is that polar bears could occur as the result of analysis. Each simulation was run for 96 when a bear encounters Industry an oil spill greater than 1,000 barrels. hours with no cleanup or containment activities, it is detected quickly, and This estimate was based on observations efforts simulated. At the end of each responded to appropriately. Most often, of aggregations of polar bears on barrier simulation, the size and location of each this involves deterring the bear from the islands in the Beaufort Sea. spill was represented in a geographic site, with minimal effect. Without such Two independent lines of evidence information system (GIS). plans and training, the undesirable support our determination that only a Telemetry data suggest that polar outcome could be lethal take in defense negligible impact to the Beaufort Sea bears are widely distributed in low of human life. polar bear stock will occur from numbers across the Beaufort Sea with a Over the span of our incidental take Northstar, one largely anecdotal, and the density of about one bear per 30–50 regulations, Industry reported 103 polar other quantitative. The largely anecdotal square miles. The U.S. Geological bear sightings. Of these, only 29 were information is based on observations of Survey, Biological Resources Division, instances where a bear was attracted to polar bear aggregations on barrier developed a polar bear distribution and/or deterred from the site. We have islands and coastal areas in the Beaufort model based on extensive telemetry data no indication that encounters which Sea. This information suggests that that estimates the number of bears merely alter the behavior and movement polar bear aggregations may occur for expected to occur within a grid of the of individual bears have any long-term brief periods in the fall. The presence Beaufort Sea with a cell size of 0.25 effects on those bears. It is therefore and duration of these aggregations are km2. Each of the simulated oil spills was unlikely that the small number of influenced by the presence of sea ice overlaid with the polar bear distribution benign encounters between polar bears near shore and the availability of marine grid. If a spillet passed through a grid and Industry would have a significant mammal carcasses, notably bowhead cell, the bears in that cell were overall effect on the population. whales. In order for significant impacts considered killed by the spill. In the No lethal takes have occurred during to polar bears to occur, an oil spill open water scenario, the estimated the period covered by incidental take would have to occur, an aggregation of number of bears killed ranged from less regulations. Even before regulations bears would have to present, the spill than 1 to 78, with a median of 8. In the were issued, lethal takes by Industry would have to contact the aggregation, broken ice scenario, results ranged from were a rare occurrence. Since 1968, and many of the bears would have to be less than 1 to 108, with a median of 21. there have been two documented cases killed. We believe the probability of all These results are based on an ‘‘average’’ of lethal take of polar bears associated these events occurring simultaneously is distribution of polar bears and do not with oil and gas activities. In both low. include potential aggregations of bears. instances, the lethal take was in defense The quantitative rationale for We estimated the likelihood of of human life. negligible impact is based on a risk occurrence of mortality for various assessment that considered oil spill numbers of bears by multiplying the Oil Spills probability estimates for the Northstar probability of mortality by the spill In addition to routine operations, the Project, an oil spill trajectory model, probability for each period for the year, potential exists for polar bears to be and a polar bear distribution model. The and summing those probabilities over impacted by oil spills. Spills of crude Northeast FEIS provides estimates of the the entire year. We calculate that the oil and petroleum products associated probability that one or more spills probability of a spill that would cause

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Thus the probability of the village of Nuiqsut; and 10 by oil and gas related exploration, a spill that would cause a mortality of residents of the village of Kaktovik. development, and production activities 5 or more bears is 0.7–2.5 percent; for Hunting success varies considerably from January 31, 2000, through January 10 or more bears is 0.6–2.0 percent; and from year to year because of variable ice 31, 2003, in the Beaufort Sea and for 20 or more bears is 0.3–1 percent. and weather conditions. Native adjacent northern coast of Alaska will The greatest source of uncertainty in subsistence polar bear hunting could be have a negligible impact on polar bears our calculations is the probability of an affected by an oil spill. Hunting areas and Pacific walrus and their habitat. In oil spill occurring. The oil spill where polar bears are historically taken making this proposed finding, we are probability estimates for the Northstar may be viewed as tainted by an oil spill. following Congressional direction in Project were calculated using data for Industry works with local Native balancing the potential for a significant subsea pipelines outside of Alaska and groups to achieve a cooperative impact with the likelihood of that event outside of the Arctic. These spill relationship between oil and gas occurring. The specific Congressional probability estimates, therefore, do not activities and subsistence activities. The direction that justifies balancing reflect conditions that are routinely Industry works with the local Native probabilities with impacts follows: encountered in the Arctic, such as groups to develop a Plan of Cooperation If potential effects of a specified activity permafrost, ice gouging, and strudel to address subsistence mitigation are conjectural or speculative, a finding of scour. They may include other measures to be incorporated into the negligible impact may be appropriate. A conditions unlikely to be encountered Industry’s plan of operation. finding of negligible impact may also be in the Arctic, such as damage from appropriate if the probability of occurrence is anchors and trawl nets. Consequently, Cumulative Effects low but the potential effects may be there is some uncertainty about the Based on past LOA monitoring significant. In this case, the probability of validity of oil spill probabilities as reports, the level of interaction between occurrence of impacts must be balanced with the potential severity of harm to the species presented in the Northstar FEIS. Industry and marine mammals (Pacific or stock when determining negligible impact. However, if the probability of a spill walrus and polar bears) has had a In applying this balancing test, the Service were actually twice the estimated value, negligible impact on these species. will thoroughly evaluate the risks involved the probability of a spill that would Additional information, such as and the potential impacts on marine mammal cause a mortality of one or more bears subsistence harvested levels and populations. Such determination will be is still low (about 6 percent). incidental observations of polar bears made based on the best available scientific This analysis is dependent on near shore, provides evidence that these information. (53 FR at 8474: accord, 132 Cong. Rec. S 16305 (Oct. 15, 1986) numerous assumptions, some of which populations have not been adversely underestimate, while others affected. The projected level of activities In the event of a catastrophic spill, we overestimate, the potential risk to polar during the period covered by the would reassess the impacts to the polar bears. These include variation in spill proposed regulations (existing onshore bear and walrus populations and probabilities during the year, the length development and proposed exploratory reconsider the appropriateness of of time the oil spill trajectory model was activities) are similar in scale to authorizations for incidental taking run, whether or not containment previous levels. Therefore, we conclude through Section 101(a)(5)(A) of the Act. occurred during the trajectory model, that projected onshore activities will Our proposed finding of ‘‘negligible lack of efforts to deter wildlife during have a negligible impact on polar bears impact’’ applies to oil and gas the model runs, contact with a spillet and Pacific walrus. exploration, development, and constitutes mortality, aggregations of While the actual construction and production activities. The following are bears not included, etc. We determined operation of the Northstar development generic conditions intended to that the assumptions that would is not expected to significantly increase minimize interference with normal overestimate and underestimate the impacts to Pacific walrus and polar breeding, feeding, and possible mortalities were generally in balance. bears, concern about potential oil spills migration patterns to ensure that the We conclude that if an oil spill were in the marine environment was raised in effects to the species remain negligible. to occur during the fall of spring broken- the Northstar FEIS. We have analyzed We may expand the conditions in the ice periods, there could be a significant the likelihood of an oil spill in the LOAs based upon site-specific and impact to polar bears. However, in marine environment that would kill a species-specific reasons. balancing the level of impact with the significant number of polar bears and (1) These regulation do not authorize probability of occurrence, we conclude found it to be negligible. Thus, after intentional taking of polar bear or that the probability of serious impacts considering the cumulative effects of Pacific walrus. (large-volume spills that cause high existing onshore development, proposed (2)For the protection of pregnant polar polar bear mortalities) is low. Therefore exploratory activities, and the new bears during denning activities (den we conclude that the effect of operations Northstar subsea pipeline, we find that selection, birthing, and maturation of associated with the Northstar these activities will have a negligible cubs) in known and confirmed denning development will have a negligible impact on polar bears and Pacific areas, Industry activities will be impact on polar bears. walrus. restricted in specific locations during certain specified times of the year. Subsistence Use of Polar Bear Conclusions These restrictions will be applied on a Within the area covered by the Based on the previous discussion, we case-by-case basis in response to each proposed regulations, polar bears are propose the following findings LOA request. In potential denning areas, taken in Barrow, Nuiqsut, or Kaktovik; regarding this action: we may require pre-activity surveys however, it is not considered a primary (e.g., aerial surveys) to determine the subsistence species in these villages. Impact on Species presence or absence of denning activity. Data from our Marking, Tagging, and We find, based on the best scientific (3) Each activity authorized by an Reporting Program indicate that from information available, the results of LOA requires a site-specific plan of

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The related to, but not necessarily limited to, consistent with our proposed finding applicant must submit an annual the development of applications for that the cumulative total of incidental monitoring and reporting plan at least regulations and LOAs, monitoring, takes will have a negligible impact on 90 days prior to the initiation of a record keeping, and reporting activities polar bear and Pacific walrus, their proposed exploratory activity, and the conducted during Industry oil and gas habitat, and where relevant, will not applicant must submit a final operations, development of polar bear have an unmitigable adverse impact on monitoring report to us no later than 90 interaction plans, and coordination with the availability of these species for days after completion of the activity. We Alaska Natives to minimize effects of subsistence uses. base each year’s monitoring objective on operations on subsistence hunting. the previous year’s monitoring results. Compliance with the rule is not Impact on Subsistence Take We require an approved plan for expected to result in additional costs to We propose to find, based on the best monitoring and reporting the effects of Industry that it has not already been scientific information available, and the oil and gas industry exploration, subjected to for the previous 6 years. results of monitoring data, that the development, and production activities Realistically, these costs are minimal in effects of oil and gas exploration, on polar bear and walrus prior to comparison to those related to actual oil development, and production activities issuance of an LOA. Since development and gas exploration, development, and for the next 3 years in the Beaufort Sea and production activities are continuous production operations. The actual costs and adjacent northern coast of Alaska and long-term, upon approval, LOAs to Industry to develop the petition for will not have an unmitigable adverse and their required monitoring and promulgation of regulations (originally impact on the availability of polar bears reporting plans will be issued for the developed in 1997) and LOA requests and Pacific walrus for taking for life of the activity or until the expiration probably does not exceed $500,000 per subsistence uses. of the regulations, whichever occurs year, short of the ‘‘major rule’’ threshold Polar bear and Pacific walrus first. Each year, prior to January 15, we that would require preparation of a represent a small portion, in terms of will require that the operator submit regulatory impact analysis. As is the number of animals, of the total development and production activity presently the case, profits would accrue subsistence harvest for the villages of monitoring results of the previous year’s to Industry; royalties and taxes would Barrow, Nuiqsut, and Kaktovik. activity. We require annual approval of accrue to the Government; and the rule However, the low numbers do not mean the monitoring results for continued would have little or no impact on that the harvest of these species is not operation under the LOA. decisions by Industry to relinquish important to Alaska Natives. Prior to Required Determinations tracts and write off bonus payments. receipt of an LOA, Industry must We have determined that this rule is provide evidence to us that a Plan of We have prepared a draft not a major rule under 5 U.S.C. 804(2), Cooperation has been presented to the Environmental Assessment (EA) in the Small Business Regulatory subsistence communities, the Eskimo conjunction with this proposed Enforcement Fairness Act. The Walrus Commission, the Alaska Nanuuq rulemaking. Subsequent to closure of proposed rule is also not likely to result Commission, and the North Slope the comment period for this proposed in a major increase in costs or prices for Borough. The plan will ensure that oil rule, we will decide whether this is a consumers, individual industries, or and gas activities will continue to not major Federal action significantly government agencies or have significant have an unmitigable adverse impact on affecting the quality of the human adverse effects on competition, the availability of the species or stock environment within the meaning of employment, productivity, innovation, for subsistence uses. This Plan of Section 102(2)(C) of the National or on the ability of United States-based Cooperation must provide the Environmental Policy Act (NEPA) of enterprises to compete with foreign- procedures on how Industry will work 1969. For a copy of the draft based enterprises in domestic or export with the affected Native communities Environmental Assessment, contact the markets. and what actions will be taken to avoid individual identified above in the We have also determined that this interference with subsistence hunting of section FOR FURTHER INFORMATION proposed rule will not have a significant polar bear and walrus. CONTACT. economic effect on a substantial number If there is evidence that oil and gas This document has not been reviewed of small entities under the Regulatory activities will affect, or in the future by the Office of Management and Flexibility Act, 5 U.S.C. 601 et seq. Oil may affect, the availability of polar bear Budget under Executive Order 12866 companies and their contractors or walrus for take for subsistence uses, (Regulatory Planning and Review). This conducting exploration, development, we will reevaluate our findings rule will not have an effect of $100 and production activities in Alaska have regarding permissible limits of take and million or more on the economy; will been identified as the only likely the measures required to ensure not adversely affect in a material way applicants under the regulations. These continued subsistence hunting the economy, productivity, competition, potential applicants have not been opportunities. jobs, the environment, public health of identified as small businesses. The safety, of State, local, or tribal analysis for this rule is available from Monitoring and Reporting governments or communities; will not the person in Alaska identified above in Monitoring plans are required to create a serious inconsistency or the section, FOR FURTHER INFORMATION determine short-term and direct effects otherwise interfere with an action taken CONTACT. of authorized oil and gas activities on or planned by another agency; does not Executive Order 12866 requires each polar bear and walrus in the Beaufort alter the budgetary effects or agency to write regulations that are easy Sea and the adjacent northern coast of entitlement, grants, user fees, or loan to understand. We invite your Alaska. Monitoring plans must identify programs or the rights or obligations of comments on how to make this rule the methods used to assess changes in their recipients; and does not raise easier to understand, including answers the movements, behavior, and habitat novel legal or policy issues. The to questions such as the following: (1)

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Are the requirements in the rule clearly and certifies pursuant to the Unfunded PART 18ÐMARINE MAMMALS stated? (2) Does the rule contain Mandates Act that this rulemaking will technical language or jargon that not impose a cost of $100 million or 1. The authority citation of 50 CFR interferes with its clarity? (3) Does the more in any given year on local or State part 18 continues to read as follows: 16 format of the rule (grouping and order governments or private entities. This U.S.C. 1361 et seq. of sections, use of headings, rule will not produce a Federal mandate 2. Revise Subpart J to read as follows: paragraphing, etc.) aid or reduce its of $100 million or greater in any year, Subpart JÐTaking of Marine Mammals clarity? (4) Would the rule be easier to i.e., it is not a ‘‘significant regulatory Incidental to Oil and Gas Exploration, understand if it were divided into more action’’ under the Unfunded Mandates Development, and Production (but shorter) sections? (A ‘‘section’’ Reform Act. The Service has determined Activities in the Beaufort Sea and appears in bold type and is preceded by and certifies pursuant to the Unfunded Adjacent Northern Coast of Alaska the symbol ‘‘§ ’’ and a numbered Mandates Act that this rulemaking will heading; for example, § 18.123 When is not impose a cost of $100 million or Sec. this rule effective? (5) Is the description more in any given year on local or State 18.121 What specified activities does of the rule in the ‘‘Supplementary governments or private entities. this rule cover? Information’’ section of the preamble The Departmental Solicitor’s Office 18.122 In what specified geographic helpful in understanding the proposed has determined that these regulations region does this rule apply? rule? What else could we do to make the meet the applicable standards provided 18.123 When is this rule effective? rule easier to understand? in Sections 3(a) and 3(b)(2) of Executive 18.124 How do you obtain a Letter of Our practice is to make comments, Order 12988. Authorization? including names and home addresses of 18.125 What criteria does the Service respondents, available for public review The information collection contained use to evaluate Letter of during regular business hours. in this rule has been approved by the Authorization requests? Individual respondents may request that Office of Management and Budget 18.126 What does a Letter of we withhold their home address from (OMB) under the Paperwork Reduction Authorization allow? the rulemaking record, which we will Act (44 U.S.C. 3501 et. seq.) and 18.127 What activities are prohibited? honor to the extent allowable by law. assigned clearance number 1018–0070. 18.128 What are the monitoring and There also may be circumstances in The OMB approval of our collection of reporting requirements? which we would withhold from the this information will expire in October 18.129 What are the information rulemaking record a respondent’s 2001. The proposed section 18.129 collection requirements? identity, as allowable by law. If you contains the public notice information— wish us to withhold your name and/or including identification of the estimated § 18.121 What specified activities does address, you must state that burden and obligation to respond— this rule cover? prominently at the beginning of your required under the Paperwork Regulations in this subpart apply to comment. However, we will not Reduction Act. Information from our the incidental, but not intentional, task consider anonymous comments. We Marking, Tagging, and Reporting of small numbers of polar bear and will make all submissions from Program is cleared under OMB Number Pacific walrus by you (U.S. citizens as organizations or businesses, and from 1018–0066 pursuant to the Paperwork defined in § 18.27(c)) while engaged in individuals identifying themselves as Reduction Act. For information on our oil and gas exploration, development, representatives or officials of Marking, Tagging, and Report Program, and production activities in the Beaufort organizations or businesses, available see 50 CFR 18.23(f)(12). Sea and adjacent northern coast of for public inspection in their entirety. Comments and materials received in Alaska. The offshore exploration, This proposed rule is not expected to response to this action are available for development, and production facility, have a potential takings implication public inspection during normal known as Northstart, is covered by this under Executive Order 12630 because it working hours of 8:00 a.m. to 4:30 p.m., rule. Further offshore development and would authorize the incidental, but not Monday through Friday, at the Office of production, such as the proposed intentional, take of polar bear and Marine Mammals Management, U.S. Liberty project, is not covered by this walrus by oil and gas industry Fish and Wildlife Service, 1011 E. rule. companies and thereby exempt these Tudor Road, Anchorage, Alaska 99503. § 18.122 In what specified geographic companies from civil and criminal region does this rule apply? liability. List of Subjects in 50 CFR Part 18 This proposed rule also does not This rule applies to the specified contain policies with Federalism Administrative practice and geographic region defined by a north/ implications sufficient to warrant procedure, Alaska, Imports, Indians, south line at Barrow, Alaska, and preparation of a Federalism Assessment Marine mammals, Oil and gas includes all Alaska coastal areas, State under Executive Order 13132. In exploration, Reporting and record waters, and Outer Continental Shelf accordance with the Unfunded keeping requirements, Transportation. waters east of that line to the Canadian Mandates Reform Act (2 U.S.C. 1501, et For the reasons set forth in the border and an area 25 miles inland from seq.), this rule will not ‘‘significantly or preamble, the Service proposes to Barrow on the west to the Canning River uniquely’’ affect small governments. A amend Part 18, Subchapter B of Chapter on the east. The Arctic National Wildlife Small Government Agency Plan is not 1, Title 50 of the Code of Federal Refuge is excluded from this rule. required. The Service has determined Regulations as set forth below. BILLING CODE 4310±55±M

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BILLING CODE 4310±55±C

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§ 18.123 When is this rule effective? § 18.125 What Criteria does the Service methods that are specific to the activity Regulations in this subpart are use to evaluate Letter of Authorization and location. requests? effective January 31, 2000, through § 18.127 What activities are prohibited? January 31, 2003, for year-round oil and (a) When you request a Letter of gas exploration, development, and Authorization, we will evaluate each (a) Intentional take of polar bear or production activities. request for a Letter of Authorization Pacific walrus; and based on the specific activity and the (b) Any take that fails to comply with § 18.124 How do you obtain a Letter of specific geographic location. We will the terms and conditions of these Authorization? determine whether the level of activity specific regulations or of your Letter of (a) You must be a U.S. citizen as identified in the request exceeds that Authorization. defined in § 18.27(c) of this part. considered by us in making a finding of § 18.128 What are the monitoring and (b) If you are conducting an oil and negligible impact on the species and a reporting requirements? gas exploration, development, or finding of no unmitigable adverse production activity in the specified impact on the availability of the species (a) We require holders of Letters of geographic region described in § 18.122 for take for subsistence uses. If the level Authorization to cooperate with us and that may take a polar bear or Pacific of activity is greater, we will reevaluate other designated Federal, State, and walrus in execution of those activities our findings to determine if those local agencies to monitor the impacts of and desire incidental take authorization findings continue to be appropriate oil and gas exploration, development, under this rule, you must apply for a based on the greater level of activity that and production activities on polar bear Letter of Authorization for each you have requested. Depending on the and Pacific walrus. exploration activity or a Letter of results of the evaluation, we may allow (b) Holders of Letters of Authorization Authorization for each development and the authorization to stand as is, add must designate a qualified individual or production area. You must submit the further conditions, or withdraw the individuals to observe, record, and application for authorization to our authorization. report on the effects of their activities on Alaska Regional Director (see 50 CFR (b) In accordance with § 18.27(f)(5) of polar bear and Pacific walrus. 2.2 for address) at least 90 days prior to this part, we will make decisions (c) We may place an observer on site the start of the proposed activity. concerning withdrawals of Letters of of the activity on board drill ships, drill rigs, aircraft, icebreakers, or other (c) Your application for a Letter of Authorization, either on an individual support vessels or vehicles to monitor Authorization must include the or class basis, only after notice and the impacts of your activity on polar following information: opportunity for public comment. bear and Pacific walrus. (1) A description of the activity, the (c) The requirement for notice and public comment in § 18.125(b) will not (d) For exploratory activities, holders dates and duration of the activity, the of a Letters of Authorization must specific location, and the estimated area apply should we determine that an emergency exists that poses a significant submit a report to our Alaska Regional affected by that activity. Director within 90 days after completion (2) A site-specific plan to monitor the risk to the well-being of the species or stock of polar bear or Pacific walrus. of activities. For development and effects of the activity on the behavior of production activities, holders of a polar bear and Pacific walrus that may § 18.126 What does a Letter of Letters of Authorization must submit a be present during the ongoing activities. Authorization allow? report to our Alaska Regional Director Your monitoring program must (a) Your Letter of Authorization may by January 15 for the preceding year’s document the effects to these marine allow the incidental, but not intentional, activities. Reports must include, at a mammals and estimate the actual level take of polar bear and Pacific walrus minimum, the following information: and type of take. The monitoring when you are carrying out one or more (1) Dates and times of activity; requirements will vary depending on of the following activities: (2) Dates and locations of polar bear the activity, the location, and the time (1) Conducting geological and or Pacific walrus activity as related to of year. geophysical surveys and associated the monitoring activity; and (3) A polar bear awareness and activities; (3) Results of the monitoring activities interaction plan. For the protection of (2) Drilling exploratory wells and including an estimated level of take. human life and welfare, each employee associated activities; on site must complete a basic polar bear (3) Developing oil fields and § 18.129 What are the information encounter training course. associated activities; collection requirements? (4) A Plan of Cooperation to mitigate (4) Drilling production wells and (a) The collection of information potential conflicts between the performing production support contained in this subpart has been proposed activity and subsistence operations; and approved by the Office of Management hunting. This Plan of Cooperation must (5) Conducting environmental and Budget under the Paperwork identify measures to minimize adverse monitoring activities associated with Reduction Act (44 U.S.C. 3501 et seq.) effects on the availability of polar bear exploration, development, and and assigned clearance number 1018– and Pacific walrus for subsistence uses production activities to determine 0070. We need to collect the if the activity takes place in or near a associated impacts. information in order to describe the traditional subsistence hunting area. (b) You must use methods and proposed activity and estimate the You must contact affected subsistence conduct activities identified in your impacts of potential taking by all communities to discuss potential Letter of Authorization in a manner that persons conducting the activity. We will conflicts caused by location, timing, and minimizes to the greatest extent use the information to evaluate the methods of proposed operations. You practicable adverse impacts on polar application and determine whether to must make reasonable efforts to assure bear and Pacific walrus, their habitat, issue specific regulations and, that activities do not interfere with and on the availability of these marine subsequently, Letters of Authorization. subsistence hunting or that adverse mammals for subsistence uses. (b) For the initial year, we estimate effects on the availability of polar bear (c) Each Letter of Authorization will your burden to be 200 hours to develop or Pacific walrus are properly mitigated. identify allowable conditions or an application requesting us to

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Notices Federal Register Vol. 64, No. 236

Thursday, December 9, 1999

This section of the FEDERAL REGISTER FOR FURTHER INFORMATION CONTACT: Dr. Done in Washington, DC, this 3rd day of contains documents other than rules or Robert V. Flanders, Regulatory December 1999. proposed rules that are applicable to the Coordination, PPQ, APHIS, 4700 River Bobby R. Acord, public. Notices of hearings and investigations, Road Unit 141, Riverdale, MD 20737– Acting Administrator, Animal and Plant committee meetings, agency decisions and 1228; (301) 734–5930. Health Inspection Service. rulings, delegations of authority, filing of [FR Doc. 99–31955 Filed 12–8–99; 8:45 am] petitions and applications and agency SUPPLEMENTARY INFORMATION: The statements of organization and functions are Animal and Plant Health Inspection BILLING CODE 3410±34±U examples of documents appearing in this Service (APHIS) of the U.S. Department section. of Agriculture has received a request DEPARTMENT OF AGRICULTURE from the Government of New Zealand to allow the importation into the United Farm Service Agency DEPARTMENT OF AGRICULTURE States of adult honeybees (Apis Animal and Plant Health Inspection mellifera) (specifically queens and Notice of Request for Extension of a Service package bees) and honeybee germ plasm Previously Approved Information from New Zealand. The request was Collection made in accordance with the General [Docket No. 99±091±1] Agreement on Tariffs and Trade. AGENCY: Farm Service Agency, USDA. ACTION: To determine whether the risk Notice and request for Availability of Draft Pest Risk comments. Assessment for the Importation of associated with such importation is low Honeybees and Honeybee Germ Plasm enough for us to initiate rulemaking to SUMMARY: In accordance with the from New Zealand implement this change to our Paperwork Reduction Act of 1995, this regulations, we have prepared a draft notice announces the Farm Service AGENCY: Animal and Plant Health pest risk assessment, entitled ‘‘Risk Agency’s (FSA) intention to request an Inspection Service, USDA. Assessment: Importation of Adult extension for an information collection ACTION: Notice and request for Queens, Package Bees, and Germ Plasm previously approved in support of the comments. of Honeybees (Apis mellifera L.) From Agency’s personnel employment system New Zealand,’’ in consultation with the for its county committee employees who SUMMARY: We are advising the public Government of New Zealand. The draft are not considered Federal Civil Service that a draft pest risk assessment has pest risk assessment identifies employees within the meaning of 5 been prepared by the Animal and Plant quarantine pests associated with the U.S.C. 2105. Health Inspection Service for the importation of honeybees and honeybee DATES: Comments on this notice must be importation of honeybees and honeybee germ plasm from New Zealand and received on or before February 7, 2000 germ plasm from New Zealand. We are qualitatively assesses the likelihood of to be assured consideration. making this draft pest risk assessment the introduction of these quarantine FOR FURTHER INFORMATION CONTACT: available to the public for review and pests into the United States, as well as Donald Samuels, Personnel comment. the consequences of introduction. Management Specialist, Human DATES: We invite you to comment on the We are making this draft pest risk Resources Division, Farm Service draft pest risk assessment. We will assessment available to the public for Agency, USDA, STOP 0592, 1400 consider all comments that we receive review and comment. In particular, we Independence Avenue, SW, by February 7, 2000. request feedback on the risk factors, Washington, DC 20250–0592; telephone ADDRESSES: Please send your comment methodology, and documentation used (202) 418–8988; e-mail and three copies to: Docket No. 99–091– in the draft pest risk assessment. We [email protected]: or 1, Regulatory Analysis and will consider all comments that we facsimile (202) 418–9121. receive by the date listed under the Development, PPD, APHIS, Suite 3C03, SUPPLEMENTARY INFORMATION: 4700 River Road Unit 118, Riverdale, heading DATES at the beginning of this Title: Selection and Functions of Farm MD 20737–1238. notice. Service Agency State, County, and Please state that your comment refers The draft pest risk assessment is Community Committees. to Docket No. 99–091–1. available in our reading room OMB Control Number: 0560–0016. A copy of the draft pest risk (information on the location and hours Type of Request: Extension of a assessment, and any comments that we of the reading room is listed under the Previously Approved Information receive on it, may be reviewed in our heading ADDRESSES at the beginning of Collection. reading room. The reading room is this notice), on the Internet at http:// Abstract: The information collected located in room 1141 of the USDA www.aphis.usda.gov/ppq/pra/ under Office of Management and Budget South Building, 14th Street and honeybees/, by calling the Plant (OMB) Control Number 0560–0016, as Independence Avenue, SW., Protection and Quarantine automated identified above, is needed to enable the Washington, DC. Normal reading room fax retrieval system at (301) 734–3560 Farm Service Agency (FSA) to hours are 8 a.m. to 4:30 p.m., Monday and requesting document 0512, or by effectively administer the regulations at through Friday, except holidays. To be contacting the person listed under FOR 7 CFR part 7 relating to the selection sure someone is there to help you, FURTHER INFORMATION CONTACT. and function of Farm Service Agency please call (202) 690–2817 before Authority: 7 U.S.C. 281; 7 CFR 2.22, 2.80, State, County and Community coming. and 371.2(c). Committees. Information requested on

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Total DEPARTMENT OF AGRICULTURE interests; (6) South Shore economic and employment figures equal about 12,444. recreation interests; (7) resort Part 7, Sections 7.1 through 7.40 of the Forest Service associations; (8) education; (9) property Secretary’s Regulations provides for this rights advocates; (10) member-at-large; Lake Tahoe Basin Federal Advisory system and sets some specific (11) member-at-large; (12) science and Committee requirements for the type of information research; (13) local government (vacant); that must be considered prior to AGENCY: Forest Service, USDA. (14) Washoe Tribe; (15) State of employment. ACTION: Notice and request for California; (16) State of Nevada; (17) Estimate of Burden: Public reporting nominations. Tahoe Regional Planning Agency burden for this information collection is (vacant); (18) Union/labor interests; (19) SUMMARY: difficult to determine because it is The Secretary of Agriculture transportation; and (20) member-at- directly related to the number of has established an advisory committee, large. vacancies that exist and the level of chartered under the Federal Advisory Nominations representing local interest candidates may show for any Committee Act, to provide advice to the government or Tahoe Regional Planning particular vacancy. However, past Secretary of Agriculture on Agency should describe and document records indicate approximately 9,000 implementing the terms of the Federal the proposed member’s qualifications responses per year. The average time per Interagency Partnership for the Lake for membership on the Lake Tahoe response would be in the area of 1 hour Tahoe Region. Nominations of persons Basin Advisory Committee. per applicant. to serve as the local government Vacancies on the Committee will be representative or as the Tahoe Regional filled in the manner in which the Respondents: Applicants for Planning Agency representative of the original appointment was made. Employment. Committee are invited. Appointments to the Committee will Estimated Number of Respondents: DATES: Nominations for membership on be made by the Secretary of Agriculture. 9,000. the Committee must be received in Equal opportunity practices, in line with USDA policies, will be followed in Estimated Number of Responses per writing by December 27, 1999. all appointments to the committee. To Respondent: 1. ADDRESSES: Send nominations with telephone numbers for membership on ensure that the recommendations of the Estimated Total Annual Burden on the Committee to: FACA Nominations, Committee have taken into account the Respondents: 9,000 hours. Lake Tahoe Basin Management Unit, needs of the diverse groups served by Topics for comment include, but are 870 Emerald Bay Road, South Lake the Department, membership should not limited to the following: (a) Whether Tahoe, CA 96150. include to the extent practicable the collection of information is FOR FURTHER INFORMATION CONTACT: individuals with demonstrated ability to necessary for the proper performance of Jeannie Stafford, Lake Tahoe Basin represent minorities, women, persons the functions of the agency, including Management Unit, (530) 573–2641. with disabilities, and senior citizens. whether the information will have SUPPLEMENTARY INFORMATION: Pursuant Dated: December 2, 1999. practical utility; (b) the accuracy of the to the Federal Advisory Committee Act Edmund Gee, agency’s estimate of burden, including (5 U.S.C. App.), notice is hereby given Acting Forest Supervisor, Lake Tahoe Basin the validity of the methodology and that the Secretary of Agriculture has Management Unit. assumptions used; (c) ways to enhance established the Lake Tahoe Federal [FR Doc. 99–31880 Filed 12–8–99; 8:45 am] the quality, utility and clarity of the Advisory Committee on July 13, 1998 BILLING CODE 3410±11±M information to be collected; or (d) ways and will be selected nominations for to minimize the burden of the collection two vacant positions. The purpose of of information on those who are to the Committee is to provide advice to DEPARTMENT OF AGRICULTURE respond. Comments should be sent to the Secretary of Agriculture on the Desk Officer for Agriculture, Office implementing the terms of the Federal Forest Service of Information and Regulatory Affairs, Interagency Partnership on the Lake Office of Management and Budget, Silvies Canyon Watershed Restoration Tahoe Basin and other matters raised by Washington, D.C. 20503, and to Don Project, Malheur National Forest, Grant the Secretary. and Harney Counties, Oregon Samuels, Personnel Management The Secretary has determined that the Specialist, Human Resources Division, work of the Committee is in the public AGENCY: Forest Service, USDA. Farm Service Agency, USDA, STOP interest and relevant to the duties of the 0592, 1400 Independence Avenue, SW, ACTION: Notice of intent to prepare Department of Agriculture. environmental impact statement. Washington, D.C. 20250–0592; The Committee will meet on a telephone (202) 418–8988. Copies of the quarterly basis, conducting public SUMMARY: The USDA, Forest Service, information collection may be obtained meetings to discuss management will prepare an environmental impact from Don Samuels at the above address. strategies, gather information and statement (EIS) an a proposal to improve All responses to this notice will be review federal agency accomplishments, the ecosystem health within a portion of summarized and included in the request and prepare a progress report every six the 81,000 acre Silvies Canyon for OMB approval. All comments will months for submission to regional Watershed. The proposed restoration also become a matter of public record. federal executives. activities will be in compliance with the

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1990 Malheur National Forest Land and northern section is dominated by mixed • Implementing such instream Management Plan (Forest Plan), as conifer and lodgepole pine. activities as installing or replacing amended, which provides overall The purpose and need for activities is existing culverts with culverts designed guidance for management of this area. to: for fish passage. Proposed restoration activities are • Improve the health, vigor, and (3) Actions that would improve located on the Burns and Bear Valley resiliency of vegetation to insects, riparian conditions in areas not meeting Ranger Districts within the Silvies disease, wildfire, and other RMOs include: Canyon Watershed. The watershed is disturbances, to move closely resemble • Planting riparian vegetation and located about 20 air miles north of historical conditions; protecting it from livestock and wildlife Burns, OR. Implementation of proposed • Reduce road related impacts, foraging; restoration activities are scheduled to specifically negative impacts to water • Adding large wood to stream begin in late fiscal year 2000. The quality, fish habitat, and wildlife reaches deficient in cover or pool Malheur National Forest invites written habitat; and habitat (possibly using helicopters and comments and suggestions on the scope • Improve riparian conditions in other equipment); of the analysis. The agency will give reaches of streams that do not presently • Restoring flood plain function notice of the full environmental analysis meet riparian management objectives where flow regime is degraded by past and decision making process on the (RMOs). activities; proposal so interested and affected The proposed action includes a • Reintroducing fire to RHCAs to members of the public may participate variety of activities to meet the three meet RMOs; • and contribute in the final decision. purpose and need statements. Managing forest vegetation through DATES: Comments concerning the scope (1) Proposed restoration activities that commercial or pre-commercial thinning would improve vegetation so it is more within RHCAs to meet RMOs; of the analysis should be received in • writing by January 3, 2000. resilient to insects, disease, wildfire, Treating aspen stands to stimulate and other disturbances include: regeneration; and ADDRESSES: Send written comments and • Harvesting commercial timber to • Fencing riparian areas that cannot sugestions concerning the management control tree stocking and manage be managed or enhanced by other of this area to James M. Keniston, Burns species composition to favor trees most methods. District Ranger, HC 74, Box 12870, The Silvies Canyon Watershed Hines, OR 97738. suited for specific sites on about 12,500 acres within 35 units. This would Restoration Project will focus vegetative FOR FURTHER INFORMATION CONTACT: include about 7,500 acres of commercial restoration activities in the following Questions about the proposed project thinning, primarily in ponderosa pine subwatersheds: Myrtle Park, Sage Hen and scope of analysis should be directed stands; and about 5,000 acres of Creek, Stancliffe Creek, and Burnt to Joan Suther, NEPA Coordinator, intermediate commercial treatment, Mountain, with fewer activities Burns Ranger District, HC 74, Box focused on understory thinning of anticipated in Boulder Creek/Fawn 12870, Hines, OR 97738; phone 541– mixed conifer sites; no clearcuts are Creek, Myrtle Creek, and Red Hill. 573–4300. proposed, and no trees over 21′′ dbh Preliminary issues identified include SUPPLEMENTARY INFORMATION: The would be harvested; effects to threatened, endangered, Silvies Canyon Watershed is comprised • Landscape scale burning (about proposed, sensitive, and management of about 81,000 acres within seven 42,000 acres within 9 burning areas) in indicator species; RHCAs; water quality; subwatersheds, of which about 65,000 all vegetation types to reduce excess forest stand conditions (as related to acres are within the Malheur National fuel accumulations and stocking levels stand composition and tree densities, Forest Boundary. Of this acreage, about to reduce potential severity of future increased insect populations, and fuel 1,962 acres are privately owned and wildfires; levels); roadless areas; road densities, about 1,069 acres are administered by • Reducing fuels and stocking decommissioning roads, and access; and the USDI, Bureau of Land Management. through other methods including forest wood (timber) products. About 31,527 acres (51%) are in firewood and post and pole cutting, The scoping process will include: (1) Management Area 1—General Forest; juniper felling (cut and leave on site), Identifying potential issues; (2) about 15,022 acres (24%) are in piling, and pre-commercial thinning on identifying issues to be analyzed in Management Area 4—Big Game Winter about 11,300 acres within 35 units; and depth; (3) eliminating non-significant Range Maintenance; about 8,111 acres • Managing existing noxious weed issues or those which have been covered (13%) are in Management Area 10— sites through manual, mechanical, and by a previous environmental analysis; Semi-Primitive Non-Motorized; about chemical methods, and reducing the (4) exploring additional alternatives; 809 acres (1+%) are in Management potential for additional sites becoming and (5) identifying potential Area 13—Old Growth; about 1,702 acres established. environmental effects of the proposed (3%) are within Management Area 14— (2) Specific actions to reduce road action and alternatives (i.e. direct, Visual Corridors; and about 4,938 acres related impacts to water quality, fish indirect, and cumulative effects and (8%) are within RHCAs. The 8,000+ habitat and wildlife habitat would connected actions). acres in Management Area 10—Semi- include: A full range of alternatives to the Primitive Non-Motorized are associated • Closing or decommissioning an proposed action will be considered, with the Myrtle-Silvies Roadless Area. estimated 120 miles of 280 roads no including a no action alternative and an This roadless area contains elk winter longer necessary for resource alternative focused on restoration range, perennial streams, hiking and management, especially roads within without the use of commercial timber equestrian trails, a jeep trail along the sensitive areas such as riparian habitat harvest. The no action alternative will Silvies River, and is included in cattle conservation areas (RHCAs); serve as a baseline for comparison of grazing allotments. The southern 1⁄3 of • Seasonal closures of an estimated alternatives. Additional alternatives will the planning area is dominated by 80 miles of 100 roads if needed for be developed to address significant shrublands, juniper, and ponderosa future resource management and not issues identified during the scoping and pine; the middle portion is ponderosa causing unacceptable impacts to public involvement process. Emerging pine and mixed conifer; and the watershed health when open; and issues may modify action alternatives in

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00003 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 68987 number, location, and type of project raised at the draft EIS stage, but that are DEPARTMENT OF AGRICULTURE activities. not raised until completion of the final Comments received in response to EIS, may be waived or dismissed by the Natural Resources Conservation this notice, including names and courts. City of Angoon v. Hodel, 803 F. Service addresses of those who comment, will 2d 1016, 1002 (9th Cir, 1986), and Notice of the Technical Guidance for be considered part of the public record Wisconsin Heritages, Inc. v. Harris, 490 on this proposal and will be available to Developing Comprehensive Nutrient F. Supp. 1334, 1338 (E.D. Wis. 1980). Management Plans public inspection. Comments submitted Because of these court rulings, it is anonymously will be accepted and important that those interested in this AGENCY: Natural Resources considered; however, those who submit proposed action participate by the close Conservation Service, USDA. anonymous comments will not have of the 45-day comment period so ACTION: Notice and request for standing to appeal the subsequent comments. decision under 36 CFR parts 215 and substantive comments and objections 217. Additionally, pursuant to 7 CFR are made available to the Forest Service SUMMARY: The United States Department 1.27(d); any person may request the at a time when it can meaningfully of Agriculture (USDA) is seeking agency to withhold a submission from consider them and respond to them in comments on the draft Technincal the public record by showing how the the final EIS. Guidance for Developing freedom of information act (FOIA) To assist the Forest Service in Comprehensive Nutrient Management permits such confidentiality. However, identifying and considering issues and Plans (CNMPs). USDA is asking for they should be aware that, under FOIA, concerns on the proposed action, comments from individuals, the confidentiality may be granted in only comments on the draft EIS should be as livestock industry, private consultants, limited circumstances, such as to specific as possible. It is also helpful if State, Tribal, and local governments or protect trade secrets. The Forest Service comments refer to specific pages or subgroups thereof, universities, colleges, will inform the requester of the agency’s chapters of the draft EIS. Comments environmental groups, and other decision regarding the request for may also address the adequacy of the organizations. These comments will confidentiality. Where the request is assist USDA in the development and draft EIS or the merits of the alternatives denied, the agency will return the implementation of the final Technical formulated and discussed in the submission and notify the requester that Guidance for Developing the comments may be resubmitted with statement. (Reviewers may wish to refer Comprehensive Nutrient Management or without name and address within a to the Council on Environmental Plans. This guidance document is specified number of days. Quality Regulations for implementing intended for use for Natural Resources Public meetings are anticipated to the procedural provisions of the Conservation Service (NRCS) and occur following issuance of the draft National Environmental Policy Act at 40 conservation partner State and local EIS. Public meetings will be announced CFR 1503.3 in the addressing these field staffs, private consultants, in the Malheur National Forest’s points). landowners/operators, and others that newspaper of record, the Blue Mountain After the 45-day comment period either will be developing or assisting in Eagle, as well as the Burns Times ends on the draft EIS, comments will be the development of CNMPs. Herald. DATES: Comments will be received for a The Forest Service is seeking analyzed and considered by the Forest Service in preparing the final EIS. The 90-day comment period commencing information and comments from other December 9, 1999. Federal, State, and Local agencies; final EIS is scheduled to be completed ADDRESSES: tribes; organizations; and individuals in June 2000. In the final EIS, the Forest Address all requests and interested in or affected by the proposed Service is required to respond to comments to: Francine A. Gordon, action. Comments will be appreciated substantive comments received during Management Assistant, Natural throughout the analysis process. Input the public comment period. The Forest Resources Conservation Service, ATTN: will be used in preparation of the draft Service is the lead agency. The Forest CNMP, 5601 Sunnyside Avenue, Stop EIS. The draft EIS will be filed with the Supervisor is the responsible official. Code 5473, Beltsville, Maryland 20705. Environmental Protection Agency (EPA) The responsible official will consider FOR FURTHER INFORMATION CONTACT: Obie and is anticipated to be available for comments, responses to comments, and Ashford, Natural Resources public review in March 2000. The environmental consequences discussed Conservation Service, 301–504–2197; comment period on the draft EIS will be in the EIS, and applicable laws, fax 301–504–2264, e-mail 45 days from the date the EPA’s Notice regulations, and policies in making a [email protected] of Availability appears in the Federal decision regarding this project. The SUPPLEMENTARY INFORMATION: The Register. Those interested in the responsible official will document the Technical Guidance for Developing management of Malheur National Forest Silvies Canyon Watershed Restoration Comprehensive Nutrient Management should participate at that time. decision and rationale for that decision Plans is a document intended for use by The Forest Service believes it is the Natural Resource Conservation in the Record of Decision. That decision important to give reviewers notice of Service (NRCS) and conservation will be subject to review under Forest several court rulings related to public partner State and local field staffs, participation in the environmental Service Appeal Regulations (36 CFR private consultants, landowners/ review process. First, reviewers of draft Part 215). operators, and others that either will be EISs must structure their participation Dated: December 1, 1999. developing or assisting in the in the environmental review of the Bonnie Wood, development of CNMPs. The purpose of proposal so that it is meaningful and Forest Supervisor. this document is to provide technical alerts an agency to the reviewer’s guidance for local, tribal, State, or [FR Doc. 99–31882 Filed 12–8–99; 8:45 am] position and contentions. Vermont Federal programs, not to establish Yankee Nuclear Power Corp. v. NRDC, BILLING CODE 3410±11±M regulatory requirements. This technical 435 U.S. 519, 553 (1978). Also, guidance is not intended as a sole environmental objections that could be source or reference for developing

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CNMPs. CNMP is a subset of a C. Comprehensive Nutrient Management The conservation practices and conservation plan that is unique to Plan Format and Content management activities in a CNMP for animal feeding operations. A CNMP is D. Conservation Practice Standards which NRCS maintains technical a group of conservation practices and E. Field Office Technical Guide standards are to meet these standards. F. State Offices management activities which, when Components of a CNMP for which combined into a system, will help to Technical Guidance for Developing NRCS does not currently maintain ensure that both production and natural Comprehensive Nutrient Management standards are to meet criteria resource goals are achieved. It Plans (CNMPs) established by Land Grant Universities, incorporates practices to utilize animal industry, or appropriate others. 1.0 Introduction manure and organic by-products as a Ultimately, it is the landowner’s/ beneficial resource. A CNMP addresses Technical Guidance for Developing operator’s responsibility as the decision- natural resource concerns dealing with Comprehensive Nutrient Management maker to select the system of nutrient and organic by-products and Plans (CNMPs) is a document intended conservation practices and management their adverse impacts on water quality. for use by Natural Resources activities that best meet his/her The objective of a CNMP is to combine Conservation Service (NRCS) and production and environmental needs management activities and conservation conservation partner State and local from the alternatives available. practices into a system that, when field staffs, private consultants, 3.0 Objective implemented, will minimize the adverse landowners/operators, and others that impacts of animal feeding operations on either will be developing or assisting in The objective of a CNMP is to water quality. the development of CNMPs. The combine management activities and USDA prohibits discrimination in its purpose of this document is to provide conservation practices into a system programs and activities on the basis of technical guidance for the development that, when implemented, will minimize race, color, national origin, gender, of CNMPs, not to establish regulatory the adverse impacts of animal feeding religion, age, sexual orientation, or requirements for local, tribal, State, or operations on water quality. CNMPs are disability. Additionally, discrimination Federal programs. This technical to be developed in accordance with on the basis of political beliefs and guidance is not intended as a sole procedures contained in the NRCS marital or family status is also source of reference for developing National Planning Procedures prohibited by statutes enforced by CNMPs. Rather, it is to be used as a tool Handbook (NPPH) (Appendix B) and USDA. (Not all prohibited bases apply in support of the planning process (see meet the technical requirements of the to all programs.) Persons with Appendix A), as contained in the NRCS NRCS local Field Office Technical disabilities who require alternative National Planning Procedures Guide (FOTG). For guidance on CNMP means for communication of program Handbook (NPPH). (See Appendix B.) It plan format and content see Appendix information (braille, large print, audio provides a list of essential elements that C. For a given enterprise to meet this tape, etc.) should contact the USDA’s need to be considered in developing a objective, a significant increase, over Target Center at (202) 720–2600 (voice CNMP. To effectively use this technical current levels, in the intensity and and TDD). guidance, the planner needs a solid comprehensiveness of technical To file a complaint of discrimination understanding of agricultural waste assistance provided to producers may be to USDA, write Director, Office of Civil management systems, nutrient required. Rights, Room 326–W, Whitten Building, management, the NRCS planning Elements to consider: 14th and Independence Avenue, SW, process, and the NRCS Field Office 1. Animal Outputs—Manure and Washington, D.C. 20250–9410, or call Technical Guide. Wastewater Collection, Handling, Storage, (202) 720–5964 (voice and TDD). The Treatment, and Transfer USDA is an equal opportunity provider 2.0 Definition 2. Evaluation and Treatment of Sites and employer. Proposed for Land Application A Comprehensive Nutrient 3. Land Application Signed at Washington, D.C., on December Management Plan (CNMP) is a subset of 4. Records of CNMP Implementation 3, 1999. a conservation plan that is unique to 5. Inputs to Animals Pearlie S. Reed, animal feeding operations. A CNMP is 6. Other Utilization Activities Chief, Natural Resources Conservation a grouping of conservation practices and 4. Elements to Consider Service. management activities which, when 4.1 Animal Outputs—Manure and Table of Contents combined into a system, will help to ensure that both production and natural Wastewater Collection, Handling, 1.0 Introduction resource goals are achieved. It Storage, and Treatment, and Transfer 2.0 Definition incorporates practices to utilize animal A manure and wastewater 3.0 Objective manure and organic by-products as a management system for a given animal 4.0 Elements To Consider 4.1 Animal Outputs—Manure and beneficial resource. A CNMP addresses feeding operation (AFO) should include Wastewater Collection, Handling, natural resource concerns dealing with all the components and management Storage, Treatment, and Transfer nutrient and organic by-products and activities necessary to minimize 4.2 Evaluation and Treatment of Sites their adverse impacts on water quality. degradation of water quality. A system Proposed for Land Application A CNMP is developed to assist may consist of a single component, such 4.3 Land Application landowners/operators with meeting all as a clean water diversion, or as many 4.4 Record of CNMP Implementation applicable local, tribal, State, and components as necessary to meet the 4.5 Inputs to Animals—Feed Federal regulations. For certain unique, production and environmental Management impacted watersheds or water bodies, objectives of the landowner/operator 4.6 Outer Utilization Activities 5.0 Appendices special management activities or while minimizing the environmental A. The Natural Resources Conservation conservation practices may be necessary impacts. An on-site visit(s) is required Service Planning Process to help the landowner/operator meet to identify existing and potential nature B. Technical References, Handbooks, and specific local, tribal, State, or Federal resource concerns, problems, and Policy Directives regulations. opportunities in the siting of manure

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A documented record will be kept methods by which nutrients were treatment that allows application during of the site assessment for each CMU. As part applied, by CMU favorable weather conditions and at of the CNMP, this record will need to address • crops planted and planting and times compatible with crop problems or concerns identified during the harvesting dates, by CMU management on-site assessment of the land application • dates of review, including person • identification of needed water unit. performing the review and control devices around the production 2. The operation and maintenance plan recommendations that resulted from the facility will need to address all structural and review • operational components in the CNMP. disposal of dead animals • results of any plant tissue sampling • disposal of animal medical wastes 3. This planning and assessment process • integrates economic, social, and and testing, when used, by CMU spills and catastrophic events • nutrient application equipment • spoiled feed and other environmental considerations into a system that meets the needs of the natural resources calibration contaminants • • milk house cleanup water and assists the landowner/operator in off-site use of manure • testing of manure and organic meeting Federal, State, tribal and local Notes: Specific record-keeping guidance requirements. sources may be obtained from Land Grant • 4. Technical requirements will be in Universities, Industry, or appropriate others. insect control accordance with the NRCS National Planning • silage leachates In situations where the CNMP is part of a • Procedures Handbook (NPPH) and the FOTG. permitting or other regulating program, it is visual improvement (See Appendix E). • off-site conditions the responsibility of the producer to maintain • identification of operation and 4.3 Land Application any required documentation, including plans maintenance (O&M) practices/activities and implementation records, and make them The potential short- and long-term available to the regulatory organization if Note: The planned manure and wastewater impacts of planned land application of required. management system needs to be in all nutrients and organic by-products conformance with the NRCS Waste (e.g., animal manure, wastewater, 4.5 Inputs to Animals—Feed Management System Standard (Code 312). commercial fertilizers, crop residues, Management (See Appendix D). Components of the legume credits, irrigation water, etc.) Feed management activities may be planned system need to be in conformance with the applicable practice standards. must be evaluated and documented for used to reduce the nutrient content of each CMU. manure, making it easier to manage in 4.2 Evaluation and Treatment of Sites This should include: a land application scenario. Feed Proposed for Land Application • developing a nutrient budget for management is a planning consideration An on-site visit is required to identify nitrogen, phosphorus, and potassium not a technical standard. These existing and potential natural resource that includes all potential sources of activities may include phase feeding, concerns, problems, and opportunities nutrients amino acid supplemented low crude • for the conservation management unit planned crop sequence protein diets, and the use of low phytin • (CMU) 1. This process will be used to current soil test results phosphorus grain and enzymes, such as • identify and assess operations and manure and organic by-product phytase or other additives. Information activities needed to address existing and source testing results and recommendations regarding feed • potential natural resource problems. the realistic yield goals management may be obtained from • CMU assessment will include, but is not crop nutrient use Land Grant Universities, industry, • limited to: form, source, amount, timing and USDA—Agricultural Research Service, • identification of the potential for method of application of nutrients or other appropriate sources. • calibration of application nitrogen or phosphorus transport off-site 4.6 Other Utilization Activities • aerial site photographs or maps equipment • soil features and limitations Using manure and organic by- • Note: Site specific technical requirements identification of sensitive areas will be based on the NRCS Nutrient products to provide for such as sinkholes, streams, springs, Management Standard (Code 590). (See environmentally-safe alternatives lakes, ponds, wells, gullies, and Appendix D). should be an integral part of the overall drinking water sources with setbacks, as CNMP. This is especially true where necessary 4.4 Record of CNMP Implementation past land application of manure and If the landowner/operator is to safely organic by-products is a problem 1 Conservation management unit (CMU)—a field, manage and assess CNMP, it is critical because of residual soil nutrient content group of fields, or other land units of the same land that his/her maintain a record of and where future land application will use and having similar treatment needs and planned management. A CMU has definite activities and the functionality of the make conditions worse. Also, it should boundaries, such as fence, drainage, vegetation, system be maintained. A record-keeping be recognized that most other utilization topography, or soil lines. plan should be implemented that strategies, such as biogas generation or

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BILLING CODE 3410±16±C • There also may be a need for the Appendix B—Technical References, The planning process is straight forward, landowner/operator to revise his objectives Handbooks, and Policy Directives but not necessarily linear (See Figure 1). It is as alternatives are formulated and evaluated. a cycling process—iterative—there is a need • Once the plan is developed, there may be Technical References and Handbooks to cycle back. All three phases and all nine a need to go back through the entire planning The Natural Resource Conservation Service steps are vital for successful conservation process and revise the plan, or that may has numerous technical references and planning. become necessary while the plan is being handbooks it uses to assist in the • The planning process may start with any implemented and evaluated. A revision may development of conservation plans and their of the first three planning steps or planning be necessary because of a change in various components. Listed below are those step nine. objectives, size of the unit, livestock technical references and handbooks generally • There may be a need to cycle back to numbers, economics, weather conditions, etc. associated with the development of step three (inventory resources), while • Based on the results of implementation, comprehensive nutrient management plans. working on step four (analyze resource data), there also may be a need to look at additional if more inventory information is needed. alternatives if the results of plan • Step one (identify problems) and step implementation are not solving the identified two (determine objectives) will not be problems or meeting the landowner’s/ finalized until step four (analyze resource operator’s objectives. data) is completed. The analysis in step four will, at the very least, require a brief review of problem identification and objective determination to make sure they are suitable.

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United States Department of Agriculture, Natural Resources Conservation Service, 6. In some cases, engineering designs may Natural Resources Conservation Service General Manual, Title 450, Technology, be included. However, these designs (NRCS), National Engineering Handbook, Part 401, Technical Guides. This part of generally are kept in the office file under the Part 651, Agricultural Waste the General Manual is available at the landowner’s/operator’s name. Management Field Handbook. This NRCS web site at http:// 7. A conservation plan map. At a handbook is available on the NRCS web policy.nrcs.usda.gov/national/gm/ minimum, each map should include the site at http://www.ncg.nrcs.usda.gov/ title450/part401/index.htm. following: techlref.html and from the National Natural Resources Conservation Service, a. Title block showing: Technical Information Service at the ‘‘General Manual’’, Title 190, Ecological • ‘‘Conservation Plan Map’’ address shown at the end of this Sciences, Part 402, Nutrient • ‘‘Prepared with assistance from Appendix. Management. This part of the General llllllllllll(Name) United States Department of Agriculture, Manual is available at the NRCS web site • Name of the conservation district, county Natural Resource Conservation Service, at http://www.nhq.nrcs.usda.gov/BCS/ and State • National Range and Pasture Handbook. nutri/gm-190.html. Scale of the map • This handbook is available on the NRCS Date prepared • web site at http:// Appendix C—Comprehensive Nutrient North arrow www.ncg.nrcs.usda.gov/techlref.html. Management Plan Format and Content b. Body of map with: • Boundary lines of the planning unit United States Department of Agriculture, Introduction Natural Resource Conservation Service, outlined The conservation plan is developed by the • National Agronomy Manual. This Field boundaries landowner/operator for his/her use to record • manual is presently under revision and Land use and acres for each land unit is scheduled for release in Spring of decisions for natural resource protection, correlating to landowner/operator land use in conservation, and enhancement. the case file 2000. The draft version is available on • the USDA server in Ft. Worth, TX at ftp:/ Decisions and resource information needed Appropriate map symbols and a map symbol legend on the map, or as an /ftp.ftw.nrcs.usda.gov/pub/NAM/. during implementation and maintenance of the plan are recorded. The plan narrative and attachment United States Department of Agriculture, supporting documents provide guidance for c. Land use designations: Natural Resource Conservation Service, implementation and may serve as a basis for • Landowner/operator—specific land use National Planning Procedures Handbook compliance with State and Federal designations (e.g., cropland, grazed range, (NPPH). This handbook is available from regulations and/or program funding through forest, etc.) will be used on the plan map. the NRCS, Conservation Operations 8. A record of the landowner’s/operator’s Division, by contacting: Director, Federal, State, or local financial support initiatives. decisions. Conservation Operations Division, • The recorded decisions will apply to Natural Resources Conservation Service, A comprehensive nutrient management plan (CNMP) is to include all land units, on land units reflecting common land use, 12th and Independence SW, objectives, and treatment needs (referred to Washington, DC 20013. which manure and organic by-products will be generated, handled, or applied, and that as conservation management units). United States Department of Agriculture, • the landowner/operator either owns or has Include the appropriate land unit label, Natural Resource Conservation Service, decision making authority over. official practice name, brief description of the Conservation Planning Course. This The following guidance helps to maintain practice, and schedule of practice application course is available on the NRCS web site quality and provide appropriate in the proper sequence by calendar year. at http://www.ncg.nrcs.usda.gov/ documentation of a plan. The list shows the 9. Available maps, sketches, and designs start.htm. suggested items to be given to the landowner/ resulting from the planning process that will United States Department of Agriculture, operator. However, the plan content should be useful to the landowner/operator in Natural Resource Conservation Service, be tailored to meet the landowner’s/ implementing the plan. Agronomy Technical Notes. These notes operator’s needs. are available on the NRCS web site at The CNMP Case File Will Contain: http://www.ncg.nrcs.usda.gov/ Plan Format and Content 1. Landowner’s/operator’s objectives and l tech notes.html. The plan document provided to the decisions United States Department of Agriculture, landowner/operator should be a quality 2. Assistance notes Natural Resource Conservation Service, document containing meaningful information 3. Engineering notes Soil Quality Information Sheets. These for the landowner/operator. It should include 4. Operation and maintenance agreements sheets are available on the NRCS web the following items: and plans site at http://www.ncg.nrcs.usda.gov/ 1. A folder, binder, or other means to 5. Design documentation l tech notes.html. assemble the contents of the plan. 6. Documentation of applied practices Hard copies of available publications can 2. A soil map with appropriate 7. Forms and worksheets used in developing and evaluating alternatives be purchased from: National Technical interpretations, such as land capability 8. Environmental documentation Information Service, U.S. Department of groupings, woodland suitability groups, pasture and hayland suitability groups, and 9. Maps—conservation plan and soils Commerce, 5285 Port Royal Road, 10. Other appropriate supporting Springfield, VA. 22161; Telephone: 1–800– other interpretive information regarding suitability for specific land uses. documents 553–6847. 3. Appropriate worksheets developed with Appendix D—Conservation Practice Policy Directives the landowner/operator. The worksheets Standards should include such things as resource NRCS policy is contained in Natural impact summaries, forage inventories, Natural Resources Conservation Service Resources Conservation Service, General erosion estimates, and cost estimates. (NRCS) conservation practice standards Manual. The index for the entire manual can 4. Available job sheets and other prepared provide guidance for applying technology on be found at NRCS web site http:// material applicable to the landowner’s/ the land, and set the minimum level for policy.nrcs.usda.gov/national/gm/index.htm. operator’s specific planned practices. acceptable application of the technology. Listed below are those policy directives 5. Operation and maintenance agreements NRCS issues national conservation practice contained in the General Manual generally and procedures. More detailed operation and standards in its National Handbook of associated with the development of maintenance procedures, depending on their Conservation Practices (NHCP). National comprehensive nutrient management plans. extent and complexity, may be contained in standards for each practice are available at a separate document, but must be referenced the NRCS web site http:// in the CNMP in conjunction with the www.ncg.nrcs.usda.gov/nhcpl2.html. State conservation system and practices contained Conservationists determine which national in the plan. standards will be used in his/her State.

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State Conservationists that choose to use standards more restrictive, but not less contacting the appropriate NRCS State Office. national standards, without changes, adapt restrictive. State conservation practice are (See Appendix F.) them for use in their State and issue them as contained in Section IV of the Field Office Following is a listing of the most State conservation practice standards. State Technical Guide. commonly considered conservation practice Conservationists add the technical detail Copies of NRCS State conservation practice standards that may be used when developing needed to effectively use the standards at the standards are not currently available from the field office level. Also, State Conservationists NRCS Homepage, but may be available later. a comprehensive nutrient management plan can make their conservation practiced Copies presently can be obtained by (CNMP):

Presently Practice code Practice name Date of last under revision revision

317 ...... Composting Facility ...... 12/90 • 1 328 ...... Conservation Crop Rotation ...... 6/99 ...... 332 ...... Contour Buffer Strips ...... 3/99 ...... 340 ...... Cover and Green Manure Crop ...... 10/77 • 1 589C ...... Cross Wind Trap Strips ...... 3/99 • 1 362 ...... Diversion ...... 10/85 • 1 382 ...... Fence ...... 4/95 • 393 ...... Filter Strip ...... 3/99 ...... 410 ...... Grade Stabilization Structure ...... 10/85 • 1 412 ...... Grassed Waterway ...... 10/85 • 1 449 ...... Irrigation Water Management ...... 3/99 ...... 590 ...... Nutrient Management ...... 4/99 ...... 595A ...... Pest Management ...... 7/97 • 1 516 ...... Pipeline ...... 10/85 • 521A ...... Pond Sealing or LiningÐFlexible Membrane ...... 6/84 • 1 521C ...... Pond Sealing or LiningÐBentonite Sealant ...... 10/77 • 329A ...... Residue Management, No-till and Strip Till ...... 3/99 ...... 329B ...... Residue Management, Mulch Till ...... 3/99 ...... 558 ...... Roof Runoff Management ...... 6/84 • 574 ...... Spring Development ...... 10/87 • 585 ...... Stripcropping, Contour ...... 10/78 • 600 ...... Terrace ...... 4/82 • 614 ...... Trough or Tank ...... 10/87 • 472 ...... Use Exclusion ...... 6/94 • 312 ...... Waste Management System ...... 4/79 • 1 313 ...... Waste Storage Facility ...... 4/95 • 1 359 ...... Waste Treatment Lagoon ...... 6/84 • 1 633 ...... Waste Utilization ...... 4/99 • XXX ...... Closure of Waste Impoundments ...... Proposed • 1 New release anticipated in 2000.

Appendix E—Field Office Technical Practice Standards and Specifications— Appendix F—State offices Guide Contains standards and specifications for conservation practices used in the field United States Department of Agriculture The Natural Resources Conservation office. Conservation practice standards Natural Resources Conservation Service Service (NRCS) Field Office Technical Guide contain minimum quality criteria for (FOTG) is an essential tool for resource designing and planning each practice; Alabama planning. The FOTG contains five Sections: specifications describe requirements 3381 Skyway Drive, P.O. Box 311, Auburn, necessary to install a practice. General Resource References—References, AL 36830 maps, cost lists, typical crop budgets, Conservation Effects—Contains Conservation Phone: 334/887–4500 Fax: 334/887–4552 Practices Physical Effects matrices that and other information for use in Alaska understanding the field office working outline the impact of practices on area, or in making decisions about various aspects of the five major 949 East 36th Ave., Suite 400, Anchorage, AK resource use and resource management. resources—soil, air, water, plants, and 99508–4302 animals. Soil and Site Information—Soils are Phone: 907/271–2424 Fax: 907/271–3951 described and interpreted to help make The FOTG is a document that is being Arizona decisions about land use and updated continually to reflect changes in 3003 North Central Avenue, Suite 800, management. In most cases, this will be technology, resource information, and agency Phoenix, AZ 85012–2945 an electronic database. policy. The FOTG contains information that Phone: 602/280–8801 Fax: 602/280–8809 Resource Management Systems—Guidance is unique to States and local field offices for developing conservation management within States. To obtain information Arkansas systems. A description of the resource contained within the FOTG, contact a United Federal Building, Room 3416, 700 West considerations and their acceptable States Department of Agriculture, NRCS, Capitol Avenue, Little Rock, AR 72201– levels of quality or criteria are included State Office (See Appendix F for a listing). 3228 in this section. Phone: 501/301–3121 Fax: 501/301–3194 California 430 G Street, Suite 4164, Davis, CA 95616– 4164 Phone: 530/792–5600 Fax: 530/792–5790

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Colorado Massachusetts Oregon 655 Parfet Street, Room E200C, Lakewood, 451 West Street, Amherst, MA 01002–2995 101 SW Main Street, Suite 1300, Portland, CO 80215–5517 Phone: 413/253–4351 Fax: 413/253–4375 OR 97204–3221 Phone: 303/236–2886 x 202 Fax: 303/236– Michigan Phone: 503/414–3221 Fax: 503/414–3277 2896 1405 South Harrison Road, Room 101, East Pennsylvania Connecticut Lansing, MI 48823–5243 1 Credit Union Place, Suite 340, Harrisburg, 16 Professional Park Road, Storrs, CT 06268– Phone: 517/337–6701 x1201 Fax: 517/337– PA 17110–2993 1299 6905 Phone: 717/237–2210 Fax: 717/237–2238 Phone: 860/487–4011 Fax: 860/487–4054 Minnesota Puerto Rico Delaware 375 Jackson Street, Suite 600, St. Paul, MN Director, Caribbean Area, IBM Building, 1203 College Park Drive, Suite 101, Dover, 55101–1854 Suite 604, 654 Munoz Rivera Avenue, DE 19904–8713 Phone: 651/602–7856 Fax: 651/602–7914 Hato Rey, PR 00918–4123 Phone: 302/678–4160 Fax: 302/678–0843 or 7915 Phone: 787/766–5206 Fax: 787/766–5987 Florida Mississippi Rhode Island 2614 N.W. 43d Street, Gainesville, FL 32606– Suite 1321, Federal Building, 100 West 60 Quaker Lane, Suite 46, Warwick, RI 6611 Capitol Street, Jackson, MS 39269 02886–0111 Phone: 352/338–9500 Fax: 352/338–9574 Phone: 601/965–5205 Fax: 601/965–4940 Phone: 401/828–1300 Fax: 401/828–0433 Georgia Missouri South Carolina Federal Building, Stop 200, 355 East Hancock Parkade Center, Suite 250, 601 Business Loop Strom Thurmond Federal Building, 1835 Avenue, Athens, GA 30601–2769 70 West, Columbia, MO 65203–2546 Assembly Street, Room 950, Columbia, Phone: 706/546–2272 Fax: 706/546–2120 Phone: 573/876–0901 Fax: 573/876–0913 SC 29201–2489 Phone: 803/253–2935 Fax: 803/253–3670 Guam Montana South Dakota Director, Pacific Basin Area, FHB Building, Federal Building, Room 443, 10 East Babcock Suite 301, 400 Route 8, Maite, GU 96927 Street, Bozeman, MT 59175–4704 Federal Building, Room 203, 200 Fourth Phone: 671/472–7490 Fax: 671/472–7288 Phone: 406/587–6868 Fax: 406/587–6761 Street, S.W., Huron, SD 57350–2475 Phone: 605/352–1200 Fax: 605/352–1270 Hawaii Nebraska Tennessee 300 Ala Moana Blvd., Room 4–118, P.O. Box Federal Building, Room 152, 100 Centennial 50004, Honolulu, HI 96850–0002 Mall, North, Lincoln, NE 68508–3866 675 U.S. Courthouse, 801 Broadway, Phone: 402/437–5300 Fax: 402/437–5327 Phone: 808/541–2600 x100 Fax: 808/541– Nashville, TN 37203–3878 1335 Nevada Phone: 615/736–5471 Fax: 615/736–7135 Idaho 5301 Longley Lane, Building F, Suite 201, Texas Reno, NV 89511–1805 9173 West Barnes Drive, Suite C, Boise, ID W.R. Poage Building, 101 South Main Street, Phone: 702/784–5863 Fax: 702/784–5939 83709 Temple, TX 76501–7682 Phone: 208/378–5700 Fax: 208/378–5735 New Hampshire Phone: 254/742–9800 Fax: 254/742–9819 Illinois Federal Building, 2 Madbury Road, Durham, Utah NH 03824–2043 W.F. Bennett Federal Building, 125 South 1902 Fox Drive, Champaign, IL 61820–7335 Phone: 603/433–0505 Fax: 603/868–5301 Phone: 217/398–5267 Fax: 217/373–4550 State Street, Room 4402, Salt Lake City, New Jersey UT 84138 Indiana 1370 Hamilton Street, Somerset, NJ 08873– P.O. Box 11340, SLC, UT 84147–0350 6013 Lakeside Blvd., Indianapolis, IN 46278– 3157 Phone: 801/524–5050 Fax: 801/524–4403 2933 Phone: 732/246–1171 Fax: 732/246–2358 Vermont Phone: 317/290–3200 Fax: 317/290–3225 New Mexico 60 Union Street, Winooski, VT 05404–1999 Iowa 6200 Jefferson Street, N.E., Suite 305, Fax: 802/951–6327 693 Federal Building, 210 Walnut Street, Albuquerque, NM 87109–3734 Phone: 802/951–6795 Suite 693, Des Moines, IA 50309–2180 Phone: 505/761–4400 Fax: 505/761–4462 Virginia Phone: 515/284–6655 Fax: 515/284–4394 New York Culpeper Building, Suite 209, 1606 Santa Kansas 441 South Salina Street, Suite 354, Syracuse, Rosa Road, Richmond, VA 23229–5014 760 South Broadway, Salina, KS 67401–4642 NY 13202–2450 Phone: 804/287–1676 Fax: 804/287–1737 Phone: 785/823–4565 Fax: 785/823–4540 Phone: 315/477–6504 Fax: 315/477–6550 Washington Kentucky North Carolina Rock Pointe Tower II, W. 316 Boone Avenue, 771 Corporate Drive, Suite 110, Lexington, 4405 Bland Road, Suite 205, Raleigh, NC Suite 450, Spokane, WA 99201–2348 KY 40503–5479 27609–6293 Phone: 509/323–2900 Fax: 509/323–2909 Phone: 606/224–7350 Fax: 606/224–7399 Phone: 919/873–2102 Fax: 919/873–2156 West Virginia Louisiana North Dakota 75 High Street, Room 301, Morgantown, WV 3737 Government St, Alexandria, LA 71302 220 E. Rosser Avenue, Room 278, P.O. Box 26505 Phone: 318/473–7751 Fax: 318/473–7626 1458, Bismarck, ND 58502–1458 Phone: 304/291–4152 x136 Fax: 304/291– Maine Phone: 701/250–4421 Fax: 701/250–4778 4628 5 Godfrey Drive, Orono, ME 04473 Ohio Wisconsin Phone: 207/866–7241 Fax: 207/866–7262 200 North High Street, Room 522, Columbus, 6515 Watts Road, Suite 200, Madison, WI Maryland OH 43215–2478 53719–2726 Phone: 614/469–6962 Fax: 614/469–2083 Phone: 608/276–8732 x229 Fax: 608/276– John Hanson Business Center, 339 Busch’s 5890 Frontage Road, Suite 301, Annapolis, Oklahoma MD 21401–5534 USDA Agri-Center Bldg., 100 USDA, Suite Wyoming Phone: 410/757–0861 x314 Fax: 410/757– 203, Stillwater, OK 74074–2655 Federal Building, Room 3124, 100 East B 0687 Phone: 405/742–1204 Fax: 405/742–1201 Street, Casper, WY 82601–1911

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Phone: 307/261–6453 Fax: 207/261–6490 Accordingly, pursuant to the default Second, that no person may, directly [FR Doc. 99–31872 Filed 12–8–99; 8:45 am] procedures set forth in § 766.7 of the or indirectly, do any of the following: BILLING CODE 3410±16±M regulations, BXA moved that the A. Export or reexport to or on behalf Administrative Law Judge (hereinafter of the denied person any item subject to the ‘‘ALJ’’) find the facts to be as alleged the Regulations; in the charging letter and render a DEPARTMENT OF COMMERCE B. Take any action that facilitates the Recommended Decision and Order. acquisition or attempted acquisition or Bureau of Export Administration Following BXA’s motion, the ALJ attempted acquisition by the denied issued a Recommended Decision and person of the ownership, possession, or In the Matter of: Macosia International, Order in which he found that service of control of any item subject to the 2004 Baltimore Street, Laredo, Texas the charging letter was made on Macosia Regulations that has been or will be 78041, Respondent on September 10, 1998 and that, exported from the United States, because it filed no answer to the including financing or other support Decision and Order charging letter, Macosia was in default. activities related to a transaction On August 14, 1998, the Office of The ALJ also found the facts to be as whereby the denied person acquires or Export Enforcement, Bureau of Export alleged in the charging letter, and attempts to acquire such ownership, Administration, United States concluded that those facts establish that possession or control; Department of Commerce (hereinafter Macosia committed four violations of C. Take any action to acquire from or ‘‘BXA’’), issued a charging letter the former Regulations, as BXA alleged. to facilitate the acquisition or attempted initiating an administrative proceeding The ALJ also agreed with BXA’s acquisition from the denied person of against Macosia International recommendation that the appropriate any item subject to the Regulations that (hereinafter ‘‘Macosia’’). The charging penalty to be imposed for the violations has been exported from the United letter alleged that Macosia committed is a denial, for a period of seven years, States; four violations of the Export of all of Macosia’s export privileges. As D. Obtain from the denied person in Administration Regulations (currently provided by § 766.22 of the regulations, the United States any item subject to the codified at 15 CFR parts 730–774 the Recommended Decision and Order Regulations with knowledge or reason 1 (1999)) (the Regulations), issued has been referred to me for final action. to know that the item will be, or is Based on my review of the entire pursuant to the Export Administration intended to be, exported from the record, I affirm the findings of fact and Act of 1979, as amended (50 U.S.C.A. United States; or conclusions of law in the Recommended app. secs. 2401–2420 (1991 & Supp. E. Engage in any transaction to service 2 Decision and Order of the ALJ. 1999)) (the Act). any item subject to the Regulations that Specifically, the charging letter Accordingly, it is therefore ordered, has been or will be exported from the alleged that, on four separate occasions First, that, for a period of seven years United States and that is owned, between on or about August 17, 1993 from the date of this Order, Macosia possessed or controlled by the denied and on or about August 18, 1994, International, 2004 Baltimore Street, person, or service any item, of whatever Macosia exported handcuffs and leg Laredo, Texas 78041, and all of its origin, that is owned, possessed or irons from the United States to Mexico successors or assignees, officers, controlled by the denied person if such without obtaining the validated export representatives, agents, and employees service involves the use of any item license required by § 772.1(b) of the when acting for or on behalf of Macosia subject to the Regulations that has been former Regulations. BXA alleged that, International may not, directly or by exporting handcuffs and leg irons to indirectly, participate in any way in any or will be exported from the United any person or destination or for any use transaction involving any commodity, States. For purposes of this paragraph, in violation of or contrary to the terms software or technology (hereinafter servicing means installation, of the Act, or any regulation, order, or collectively referred to as ‘‘item’’) maintenance, repair, modification or license issued thereunder, Macosia exported or to be exported from the testing. violated Section 787.6 of the former United States that is subject to the Third, that, after notice and Regulations in connection with each of Regulations, or in any other activity opportunity for comment as provided in the exports, for a total of four violations. subject to the Regulations, including, § 766.23 of the regulations, any person, Macosia failed to answer or otherwise but not limited to: firm, corporation, or business respond to the charging letter. A. Applying for, obtaining, or using organization related to the denied any license, License Exception, or person by affiliation, ownership, 1 The alleged violations occurred in 1993 and export control document; control, or position of responsibility in 1994. The Regulations governing the violations at B. Carrying on negotiations the conduct of trade or related services issue are found in the 1993 and 1994 versions of concerning, or ordering, buying, may also be made subject to the the Code of Federal Regulations (15 CFR parts 768– 799 (1993 and 1994)). Those Regulations define the receiving, using, selling, delivering, provisions of this Order. violations that BXA alleges occurred and are storing, disposing of, forwarding, Fourth, that this Order does not referred to hereinafter as the former Regulations. transporting, financing, or otherwise prohibit any export, reexport, or other Since that time, the Regulations have been servicing in any way, any transaction transaction subject to the Regulations reorganized and restructured; the restructured Regulations establish the procedures that apply to involving any item exported or to be where the only items involved that are the matters set forth herein. exported from the United States that is subject to the Regulations are the 2 The Act expired on August 20, 1994. Executive subject to the Regulations, or in any foreign-produced direct product of U.S.- Order 12924 (3 CFR, 1994 Comp. 917 (1995)), other activity subject to the Regulations; origin technology. extended by Presidential Notices of August 15, 1995 Fifth, that this Order shall be served (3 CFR, 1995 Comp. 501 (1996)), August 14, 1996 or (3 CFR, 1996 Comp. 298 (1997)), August 13, 1997 C. Benefiting in any way from any on Macosia International and on BXA, (3 CFR, 1997 Comp. 306 (1998)), August 13, 1998 transaction involving any item exported and shall be published in the Federal (3 CFR, 1998 Comp. 294 (1999)) and August 10, or to be exported from the United States Register. 1999 (64 FR 44101, August 13, 1999), continued the Regulations in effect under the International that is subject to the Regulations, or in This Order, which constitutes the Emergency Economic Powers Act (50 U.S.C.A. any other activity subject to the final agency action in this matter, is 1701–1706 (1991 & Supp. 1999)). Regulations. effective immediately.

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Dated: November 29, 1999. published a notice of initiation of this manufacturers and exporters of the William A. Reinsch, new shipper review on May 7, 1999 (64 subject merchandise, Tuberia Nacional Under Secretary for Export Administration. FR 24573). After receiving a waiver of S.A. de C.V. (TUNA) and Hylsa S.A. de [FR Doc. 99–31957 Filed 12–8–99 8:45 am] the normal time limits for a new shipper C.V. (Hylsa). The period of review (POR) BILLING CODE 3510±DT±M review from Cablesa under 19 CFR is November 1, 1997, through October 351.214(j)(3), we decided to publish the 31, 1998. results of this new shipper review EFFECTIVE DATE: December 9, 1999. DEPARTMENT OF COMMERCE simultaneously with the results of the administrative review. See 64 FR 61825 FOR FURTHER INFORMATION CONTACT: John International Trade Administration (November 15, 1999). Drury (TUNA), Charles Rast (Hylsa), or [A±201±806] Extension of Time Limits for Linda Ludwig, Enforcement Group III, Preliminary Results Office 8, Import Administration, Carbon Steel Wire Rope from Mexico: International Trade Administration, US Extension of Time Limit for Preliminary Section 751(a)(3)(A) of the Act directs Department of Commerce, 14th Street Results of Antidumping Administrative the Department to make a preliminary and Constitution Avenue, NW, Room Review and New Shipper Review determination within 245 days for each 7866, Washington, DC 20230; telephone administrative review. The section (202) 482–0195, (202) 482–1324, or AGENCY: Import Administration, provides, however, that ‘‘if it is not (202) 482–3833, respectively. International Trade Administration, practicable to complete the review Department of Commerce. within the foregoing time, the SUPPLEMENTARY INFORMATION: ACTION: Notice of Extension of Time administrative authority may extend The Applicable Statute Limits For Preliminary Results of that 245-day period to 365 days * * * .’’ Antidumping Duty Administrative Due to the reasons enumerated in the Unless otherwise indicated, all Review and New Shipper Review. Memorandum from Joseph A. Spetrini citations to the Tariff Act of 1930, as to Robert S. LaRussa, Extension of Time amended (the Act) are references to the EFFECTIVE DATE: December 9, 1999. Limit for the Preliminary Results of provisions effective January 1, 1995, the FOR FURTHER INFORMATION CONTACT: Review of Steel Wire Rope from Mexico, effective date of the amendments made Mark Hoadley or Maureen Flannery, dated November 30, 1999, the to the Act by the Uruguay Round AD/CVD Enforcement, Import Department has determined that it is not Agreements Act (URAA). In addition, Administration, International Trade practicable to complete this review unless otherwise indicated, all citations Administration, U.S. Department of within the 245-day time limit. to the Department’s regulations are Commerce, 14th Street and Constitution Therefore, in accordance with section references to the provisions codified at Avenue, NW, Washington DC 20230; 751(a)(3)(A) of the Act, the Department 19 CFR Part 351 (April 1998). telephone: (202) 482–0666 or (202) 482– is extending the time limits for the 3020, respectively. preliminary results of the administrative Background review and new shipper review by The Applicable Statute The Department published an seven days to December 8, 1999. antidumping duty order on circular Unless otherwise indicated, all Dated: November 30, 1999. welded non-alloy steel pipe and tube citations to the statute are references to Barbara E. Tillman, from Mexico on November 2, 1992 (57 the provisions effective January 1, 1995, FR 49453). The Department published a the effective date of the amendments Acting Deputy Assistant Secretary for AD/ CVD Enforcement III. notice of ‘‘Opportunity to Request an made to the Tariff Act of 1930 (the Act) Administrative Review’’ of the by the Uruguay Round Agreements Act. [FR Doc. 99–31982 Filed 12–8–99; 8:45 am] antidumping duty order for the 1997/98 In addition, unless otherwise indicated, BILLING CODE 3510±DS±P review period on November 12, 1998 all citations to the Departments’s (63 FR 63287). Respondents TUNA and regulations are to the current DEPARTMENT OF COMMERCE Hylsa requested that the Department regulations, codified at 19 CFR part 351 conduct an administrative review of the (1999). International Trade Administration antidumping duty order on circular Background [A±201±805] welded non-alloy steel pipe and tube In accordance with 19 CFR from Mexico. We initiated this review 351.213(b)(2), Aceros Camesa, S.A. de Circular Welded Non-Alloy Steel Pipe on December 23, 1998. See 63 FR 71091 C.V. (‘‘Camesa’’), a Mexican producer of and Tube From Mexico: Preliminary (December 17, 1998). subject merchandise, requested that we Results of Antidumping Duty Under section 751(a)(3)(A) of the Act, conduct an administrative review of its Administrative Review the Department may extend the sales. Petitioners in the proceeding, the AGENCY: Import Administration, deadline for issuing a preliminary Committee of Domestic Steel Wire Rope International Trade Administration, determination in an administrative and Specialty Cable Manufacturers (‘‘the Department of Commerce. review if it determines that it is not Committee’’) also requested a review of ACTION: Notice of Preliminary Results of practicable to complete the preliminary Camesa’s sales, in accordance with 19 Antidumping Duty Administrative review within the statutory time limit of CFR 351.213(b)(1). We published a Review. 245 days. On August 12, 1999, the notice of initiation of this antidumping Department published a notice of duty administrative review on April 30, SUMMARY: In response to requests from extension of the time limit for the 1999 (64 FR 23269). two respondents, the Department of preliminary results in this case to In accordance with 19 CFR 351.214, Commerce (the Department) is November 30, 1999. See Extension of Cablesa, S.A. de C.V. (‘‘Cablesa’’), a conducting an administrative review of Time Limit: Circular Welded Non-Alloy Mexican producer of subject the antidumping duty order on circular Pipe From Mexico; Antidumping merchandise, requested that we conduct welded non-alloy steel pipe and tube Administrative Review, 64 FR 43982 a new shipper review of its sales. We from Mexico. This review covers two (August 12, 1999).

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The Department is conducting this like product for purposes of determining to unaffiliated purchasers in the United review in accordance with section appropriate product comparisons to US States. Where appropriate, we made 751(a) of the Act. sales of circular welded non-alloy steel deductions from the starting price for pipe and tube. Where there were no foreign inland freight, foreign brokerage Scope of the Review sales of identical merchandise in the and handling, U.S. brokerage and The products covered by these orders home market to compare to US sales, we handling, and U.S. customs duties. In are circular welded non-alloy steel compared US sales to the next most accordance with section 772(d)(1) of the pipes and tubes, of circular cross- similar foreign like product on the basis Act, we deducted those selling expenses section, not more than 406.4 millimeters of the characteristics listed in the associated with economic activities (16 inches) in outside diameter, Department’s December 23, 1998 occurring in the United States, regardless of wall thickness, surface questionnaire, or to constructed value including direct selling expenses (credit finish (black, galvanized, or painted), or (CV). costs, warranty expenses), and indirect end finish (plain end, beveled end, selling expenses. For CEP sales, we also threaded, or threaded and coupled). Normal Value Comparisons made an adjustment for profit in These pipes and tubes are generally To determine whether sales of accordance with section 772(d)(3) of the known as standard pipes and tubes and circular welded non-alloy steel pipe Act. are intended for the low pressure from Mexico to the United States were We determined that the remaining conveyance of water, steam, natural gas, made at less than fair value, we sales were EP sales based on the fact and other liquids and gases in plumbing compared the export price (EP) or that TUNA sold the subject merchandise and heating systems, air conditioning constructed export price (CEP) to the directly to the unaffiliated U.S. units, automatic sprinkler systems, and normal value (NV), as described in the customer prior to importation, and CEP other related uses, and generally meet ‘‘Export Price and Constructed Export treatment was not otherwise indicated. ASTM A–53 specifications. Standard Price’’ and ‘‘Normal Value’’ sections of We calculated EP in accordance with pipe may also be used for light load- this notice, below. In accordance with section 772(a) of the Act. We based EP bearing applications, such as for fence section 777A (d)(2) of the Act, we on packed prices to unaffiliated tubing, and as structural pipe tubing calculated monthly weighted-average customers in the United States. Where used for framing and support members prices for NV and compared these to appropriate, we made deductions from for reconstruction or load-bearing individual US transactions. the starting price for foreign inland purposes in the construction, We have used the date of invoice as freight, foreign brokerage and handling, shipbuilding, trucking, farm equipment, the date of sale for all home market sales U.S. brokerage and handling and U.S. and related industries. Unfinished made by both TUNA and Hylsa during customs duties. conduit pipe is also included in these the POR. For US sales made by TUNA, Normal Value orders. we have also used the date of invoice as Based on a comparison of the All carbon steel pipes and tubes the date of sale. For US sales made by aggregate quantity of home-market and within the physical description outlined Hylsa, we have used the reported U.S. sales, we determined that the above are included within the scope of purchase order date as the date of sale quantity of the foreign like product sold these orders, except line pipe, oil because it is the most accurate on the in the exporting country was sufficient country tubular goods, boiler tubing, record. See Analysis Memorandum for to permit a proper comparison with the mechanical tubing, pipe and tube Hylsa, dated November 30, 1999. hollows for redraws, finished sales of the subject merchandise to the scaffolding, and finished conduit. Export Price and Constructed Export United States, pursuant to section 773(a) Standard pipe that is dual or triple Price of the Act. Therefore, in accordance with section 773(a)(1)(B)(i) of the Act, certified/stenciled that enters the U.S. as Hylsa line pipe of a kind used for oil or gas we based NV on the price at which the pipelines is also not included in these We calculated EP in accordance with foreign like product was first sold for orders. section 772(a) of the Act, because the consumption in the home market. Imports of the products covered by subject merchandise was sold directly to Sales to affiliated customers for these orders are currently classifiable the first unaffiliated purchaser in the consumption in the home market which under the following Harmonized Tariff United States prior to importation. We were determined not to be at arm’s- Schedule (HTS) subheadings: based EP on packed prices to length were excluded from our analysis. 7306.30.10.00, 7306.30.50.25, unaffiliated customers in the United To test whether these sales were made 7306.30.50.32, 7306.30.50.40, States. Where appropriate, we made at arm’s-length, we compared the prices 7306.30.50.55, 7306.30.50.85, and deductions from the starting price for of sales of comparison products to 7306.30.50.90. foreign inland freight, foreign brokerage affiliated and unaffiliated customers, net Although the HTS subheadings are and handling, U.S. brokerage and of all movement charges, direct selling provided for convenience and customs handling and U.S. customs duties. expenses, discounts, and packing. Pursuant to 19 CFR 351.403 and in purposes, our written description of the Tuna scope of these proceedings is accordance with our practice, where the dispositive. For TUNA, we analyzed sales made to prices to the affiliated party were on the United States, and determined that average less than 99.5 percent of the Product Comparisons there are both EP and CEP sales in the prices to unaffiliated parties, we In accordance with section 771(16) of United States during the POR. For determined that the sales made to the the Act, we considered each circular certain sales to the United States, we affiliated party were not at arm’s-length. welded non-alloy steel pipe and tube calculated CEP in accordance with See Notice of Final Results and Partial product produced by the respondents, section 772(b) of the Act, because the Recission of Antidumping Duty covered by the descriptions in the subject merchandise was first sold by Administrative Review: Roller Chain, ‘‘Scope of the Review’’ section of this TUNA’s U.S. affiliate (Acerotex) after Other Than Bicycle, From Japan, 62 FR. notice, supra, and sold in the home having been imported into the United 60472 (November 10, 1997); 62 FR market during the POR, to be a foreign States. We based CEP on packed prices 27295, 27355–56 (May 19, 1997). We

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00013 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 68997 included those sales that passed the Duty Administrative Review (Cement distribution. All sales in the home arm’s-length test in our analysis (see 19 from Mexico), 62 FR 17156 (April 9, market to unaffiliated parties were to CFR 351.403; 62 FR at 27355–56). For 1997), for both EP and CEP the relevant end users. Conversely, sales in the TUNA, we used sales from TUNA transaction for the LOT analysis is the United States were to distributors. directly to unaffiliated customers, and sale from the exporter to the importer. An examination of the selling from affiliated resellers to the first While the starting price for CEP is that functions in both markets indicates that unaffiliated customer, as the basis for of a subsequent resale to an unaffiliated TUNA performs a ‘‘core’’ of selling determining normal value. See TUNA buyer, the construction of the CEP functions in the home market for all Analysis Memorandum, dated results in a price that would have been customers. These functions include November 30, 1999. For Hylsa, we charged by the exporter to the importer inventory maintenance, salesman visits excluded from our analysis downstream if the importer had not been affiliated. to customers, and technical services. sales made by affiliated customers We calculate the CEP by removing from Depending upon the channel of because of their small volumes. See the first resale to an unaffiliated U.S. distribution, TUNA also performs Memorandum to the File, dated October customer the expenses referenced in additional selling functions for certain 20, 1999. section 772(d) of the Act and the profit customers in the home market. TUNA Where appropriate, in accordance allocated to these expenses. These provides just in time (JIT), and other with section 773(a)(6)(A) of the Act, we expenses represent activities undertaken specialized services to one channel of deducted credit expenses, warranties, by the affiliated importer in making the trade, which are not provided to any advertising, insurance, packing, and sale to the unaffiliated customers. other home market customers. In a certain discounts, and we added interest Because the expenses deducted under separate channel of trade, TUNA revenue. section 772(d) of the Act are incurred performs additional selling functions, related principally to affiliated resellers, Level of Trade for selling activities in the United States, the deduction of these expenses which allows the resellers to perform In accordance with section may yield a different LOT for the CEP selling functions for their unaffiliated 773(a)(1)(B)(i) of the Act, to the extent than for the later resale (which we use customers. The selling functions practicable, we determine NV based on for the starting price). Movement provided by TUNA in this channel of sales in the comparison market at the charges, duties, and taxes deducted trade are unique. same level of trade (LOT) as the EP or under section 772(c) of the Act do not Based on our analysis, we CEP transaction. The NV LOT is that of represent activities of the affiliated preliminarily determine that there are the starting price sales in the importer, and we do not remove them three levels of trade in the home market. comparison market or, when NV is to obtain the price on which the CEP Those sales receiving JIT and other based on CV, that of the sales from LOT is based. specialized services constitute one level which we derive selling, general and To determine whether some or all of trade. Downstream sales through administrative expenses and profit. For home market sales are at a different LOT affiliates receive a unique set of selling EP, the U.S. LOT is also the level of the than U.S. sales, we examined the stages functions and thus constitute a separate starting price sale, which is usually of marketing and the selling functions in level of trade. All other sales in the from the exporter to the importer. For both markets. An analysis of the selling home market constitute a third level of CEP, it is the level of the constructed functions substantiates or invalidates trade, in which there exists only the sale from the exporter to the importer. the claimed LOTs. ‘‘core’’ selling functions. To determine whether NV sales are at In the United States, we preliminarily a different LOT than EP or CEP sales, we Hylsa determine that there are two separate examine stages in the marketing process For sales made by Hylsa during the levels of trade. These correspond to EP and selling functions along the chain of POR, the record shows that sales in both and CEP sales, respectively. For CEP distribution between the producer and markets were made at the same LOT. In sales, we found minimal selling the unaffiliated customer. If the the U.S. market, Hylsa sold to functions performed by TUNA for its comparison market sales are at a unaffiliated industrial end-users and U.S. affiliate. Accordingly, the CEP is at different LOT, and the difference affects distributors. In the home market, Hylsa a different LOT than any of those HM price comparability, as manifested in a sold to unaffiliated industrial end-users, LOTs. For EP sales, we found that pattern of consistent price differences distributors, and employees. Based on TUNA performs certain selling between the sales on which NV is based Hylsa’s questionnaire responses, selling functions consistent with the ‘‘core’’ and comparison market sales at the LOT functions performed for customers in functions performed for sales in the of the export transaction, we make a either market generally did not vary home market. Therefore, the selling LOT adjustment under section according to customer category or functions are the same, and we 773(a)(7)(A) of the Act. Finally, for CEP channel of distribution. Accordingly, we preliminarily determine that EP sales in sales, if the NV level is more remote preliminary find that all sales in the the U.S. are at the same level of trade from the factory than the CEP level and home market and the U.S. market were as those sales in the home market which there is no basis for determining made at the same level of trade, and we do not receive JIT services, or services whether the differences in the levels are not making a LOT adjustment. provided on downstream sales (i.e. the between NV and CEP affects price third level of trade in the home market). comparability, we adjust NV under TUNA Section 773(a)(7)(A) of the Act directs section 773(A)(7)(B) of the Act (the CEP Our analysis of the data submitted by us to make an adjustment for differences offset provision). (See e.g., Notice of TUNA indicates that sales to the United in LOTs where such differences affect Final Determination of Sales at Less States were made through two channels price comparability. For CEP, because Than Fair Value: Certain Cut-to-Length of distribution, and sales in the home there is insufficient data to perform an Carbon Steel Plate from South Africa, 62 market were through multiple channels analysis of the affect on price FR 61731 (November 19, 1997).) of distribution. Furthermore, there were comparability, and each home market As the Department explained in Gray differences in selling functions between LOT is more advanced than the CEP Portland Cement and Clinker from certain types of customers in both LOT, the Department must make a CEP Mexico: Final Results of Antidumping markets, depending upon the channel of offset. Therefore, regarding those sales

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 68998 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices to the United States which are classified compared the COP to the home-market 1998), and Policy Bulletin 96–1: as CEP sales, in accordance with section prices, less any applicable movement Currency Conversions, 61 FR 9434 773(a)(7)(B) of the Act, a CEP offset is charges, discounts, and rebates. (March 8, 1996). The benchmark is warranted. defined as the rolling average of rates for C. Results of COP Test As we have determined that TUNA’s the past 40 business days. When we home market sales at the third LOT are In accordance with section determine a fluctuation exists, we at the same level of trade as the EP sales 773(b)(2)(C), where less than 20 percent substitute the benchmark for the daily in the United States, we have made no of Hylsa’s and TUNA’s sales of a given rate. LOT adjustment when TUNA’s EP sales product were at prices less than the matched sales at this LOT. See TUNA COP, we do not disregard any below- Preliminary Results of the Review Analysis Memorandum, dated cost sales of that product because we As a result of this review, we November 30, 1999. determine that the below-cost sales were preliminarily determine that the not made in ‘‘substantial quantities.’’ Cost-of-Production Analysis following weighted-average dumping Where 20 percent or more of a TUNA’s margin exists: Because the Department disregarded and Hylsa’s sales during the POR were sales below cost for both Hylsa and at prices less than the COP, we CIRCULAR WELDED NON-ALLOY STEEL TUNA in the comparison market during determine such sales to have been made PIPES AND TUBES the last completed segment of the in ‘‘substantial quantities’’ within an proceeding, we initiated a cost of extended period of time in accordance Weight- production analysis in accordance with with section 773(b)(2)(B) of the Act. ed-aver- section 773(b) of the Act. We conducted Furthermore, because we compared Producer/Manufacturer/Exporter age mar- the COP analysis as described below. prices to POR average COPs, we gin (per- determined that below-cost prices do cent) A. Calculation of COP not permit recovery of all costs within TUNA ...... 1.92 We calculated the COP based on the a reasonable period of time, in Hylsa ...... 10.38 sum of Hylsa’s and TUNA’s cost of accordance with section 773(b)(2)(D) of materials and fabrication for the foreign the Act. Therefore, we disregarded such The Department will disclose to any like product, plus amounts for home- below-cost sales of TUNA and Hylsa. party to the proceeding, within ten days market selling, general, and Where all contemporaneous sales of of publication of this notice, the administrative expenses (‘‘SG&A’’), and comparison products were disregarded, calculations performed (19 CFR packing costs in accordance with we calculated NV based on CV. 351.224). Any interested party may section 773(b)(3) of the Act. We relied request a hearing within 30 days of on the submitted COPs for TUNA, D. Calculation of CV publication. Any hearing, if requested, except as follows. Our analysis of the In accordance with section 773(e) of will be held 37 days after the date of most recently submitted data by TUNA the Act, we calculated CV based on the publication, or the first working day indicated that certain home market sales sum of TUNA’s and Hylsa’s cost of thereafter. Interested parties may submit were not assigned a cost. As facts materials, fabrication, SG&A, U.S. case briefs and/or written comments no available, we assigned an average cost, packing costs, interest expenses as later than 30 days after the date of by size and finish, to sales which might reported in the U.S. sales database and publication. Rebuttal briefs and match to United States sales. We will profit. In accordance with section rebuttals to written comments, limited request supplemental information on 773(e)(2)(A) of the Act, we based SG&A to issues raised in such briefs or these certain home market sales and and profit on the amounts incurred and comments, may be filed no later than 35 consider responsive submission prior to realized by the respondent in days after the date of publication. The the publication of the final connection with the production and sale Department will publish the final determination. of the foreign like product in the For Hylsa, we adjusted COPs to reflect ordinary course of trade, for results of this administrative review, similar physical characteristics for consumption in the foreign country. which will include the results of its certain products. We subsequently analysis of issues raised in any such Currency Conversion weight-averaged the reported costs by written comments or at a hearing, control number. See Hylsa Analysis For purposes of the preliminary within 120 days after the publication of Memorandum. results, we made currency conversions this notice. in accordance with section 773A of the The Department shall determine, and B. Test of Home-Market Prices Act, based on the official exchange rates Customs shall assess, antidumping We used the respondents’ weighted- in effect on the dates of the U.S. sales duties on all appropriate entries. The average COPs for the period November as certified by the Federal Reserve Bank Department will issue appraisement 1, 1997 through October 31, 1998. We of New York. Section 773A(a) of the Act instructions directly to Customs. The compared the weighted-average COP directs the Department to use a daily final results of this review shall be the figures to home-market sales of the exchange rate in order to convert foreign basis for the assessment of antidumping foreign like product as required under currencies into U.S. dollars, unless the duties on entries of merchandise section 773(b) of the Act. In determining daily rate involves a ‘‘fluctuation.’’ In covered by the determination and for whether to disregard home-market sales accordance with the Department’s future deposits of estimated duties. For made at prices below the COP, we practice, we have determined as a duty assessment purposes, we examined whether (1) Within an general matter that a fluctuation exists calculated an importer-specific extended period of time, such sales when the daily exchange rate differs assessment rate by dividing the total were made in substantial quantities, and from a benchmark by 2.25 percent. See, dumping margins calculated for the U.S. (2) Such sales were made at prices e.g., Certain Stainless Steel Wire Rods sales to the importer by the total entered which permitted the recovery of all from France; Preliminary Results of value of these sales. This rate will be costs within a reasonable period of time. Antidumping Duty Administrative used for the assessment of antidumping On a product-specific basis, we Review, 61 FR 8915, 8918 (March 6, duties on all entries of the subject

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 68999 merchandise by that importer during the DEPARTMENT OF COMMERCE amended (the Act), are references to the POR. provisions effective January 1, 1995, the International Trade Administration Furthermore, the following deposit effective date of the amendments made requirements will be effective upon [A±570±840] to the Act by the Uruguay Round Agreements Act (URAA). In addition, all completion of the final results of these references to the Department’s administrative reviews for all shipments Manganese Metal from the People's Republic of China; Preliminary Results regulations are to 19 CFR part 351 (April of circular welded-non-alloy steel pipe and Partial Rescission of Antidumping 1998). from Mexico entered, or withdrawn Administrative Review from warehouse, for consumption on or Background after the publication date of the final AGENCY: Import Administration, On February 6, 1996, the Department results of these administrative reviews, International Trade Administration, of Commerce (the Department) as provided by section 751(a)(1) of the Department of Commerce. published in the Federal Register the Act: (1) The cash deposit rate for ACTION: Notice of Preliminary Results antidumping duty order on manganese reviewed firms will be the rate and Partial Rescission of Antidumping metal from the People’s Republic of established in the final results of Duty Administrative Review of China (PRC). See Notice of Amended administrative review, except if the rate Manganese Metal from the People’s Final Determination and Antidumping is less than 0.50 percent, and therefore, Republic of China. Duty Order: Manganese Metal from the de minimis within the meaning of 19 People’s Republic of China, 61 FR 4415 SUMMARY: We have preliminarily (February 6, 1996) (LTFV Investigation). CFR 351.106(c), in which case the cash determined that sales by China deposit rate will be zero; (2) For In accordance with 19 CFR Metallurgical Import & Export Hunan 351.213(b)(2), on February 25, 1999, merchandise exported by manufacturers Corporation/Hunan Nonferrous Metals China Hunan International Economic or exporters not covered in this review Import & Export Associated Corporation Development (Group) Corporation but covered in the original less-than- have been made below normal value (HIED), China Metallurgical Import & fair-value (LTFV) investigation or a during the period of review of February Export Hunan Corp./Hunan Nonferrous previous review, the cash deposit will 1, 1998, through January 31, 1999. Metals Import & Export Associate Corp. continue to be the most recent rate China Hunan International Economic (CMIECHN/CNIECHN), and Minmetals published in the final determination or Development (Group) Corporation did Precious & Rare Minerals Import & final results for which the manufacturer not respond to our questionnaire and Export (Minmetals) requested that we or exporter received a company-specific has been assigned a dumping margin conduct an administrative review of this rate; (3) If the exporter is not a firm based on adverse facts available. If these order. On February 26, 1999, Elkem covered in this review, or the original preliminary results are adopted in our Metals Company 1 (Elkem/Eramet) investigation, but the manufacturer is, final results of review, we will instruct requested that we conduct an the cash deposit rate will be that the U.S. Customs Service to assess administrative review of this order established for the manufacturer of the antidumping duties based on the covering HIED, CMIECHN/CNIECHN, merchandise in the final results of these difference between the export price and Minmetals, and China National normal value on all appropriate entries. reviews, or the LTFV investigation; and Electronics Import & Export Hunan We have also determined that the Company (CEIEC). On February 26, (4) If neither the exporter nor the review of China National Electronics manufacturer is a firm covered in this or 1999, Kerr-McGee Chemical, LLC (Kerr- Import & Export Hunan Company and McGee) requested that we conduct an any previous review or the original fair Minmetals Precious & Rare Minerals value investigation, the cash deposit administrative review of this order Import & Export Corporation should be covering HIED. rate will be 36.62%, the ‘‘all other’’ rate rescinded. Furthermore, neither On March 29, 1999, in accordance from the original investigation. Shieldalloy Metallurgical Corporation with 19 CFR 351.213(c)(3), we This notice also serves as a nor London & Scandinavian published a notice of initiation of this preliminary reminder to importers of Metallurgical Co., Limited, subsidiaries antidumping duty administrative their responsibility under 19 CFR of Metallurg, Inc., submitted a timely review. See 64 FR 14860. On April 20, 351.402(f)(2) to file a certificate request for review. Therefore, sales by 1999, Sumitomo Canada, Limited, regarding the reimbursement of these companies have not been (SCL), submitted an entry of appearance antidumping duties prior to liquidation reviewed. and requested that it receive a of the relevant entries during this We invite interested parties to questionnaire so that it could establish comment on these preliminary results. review period. Failure to comply with the identity of its Chinese supplier and this requirement could result in the EFFECTIVE DATES: December 9, 1999. that its sales were made to U.S. Secretary’s presumption that FOR FURTHER INFORMATION CONTACT: Greg customers not below normal value. reimbursement of antidumping duties Campbell or Paul Stolz, Office I, The Department is conducting this occurred and the subsequent assessment Antidumping/Countervailing Duty administrative review in accordance with section 751 of the Act. The period of double antidumping duties. Enforcement, Import Administration, International Trade Administration, of review (POR) is February 1, 1998 This administrative review and notice U.S. Department of Commerce, 14th through January 31, 1999. are in accordance with sections Street and Constitution Avenue NW., Scope of Review 751(a)(1) and 777(i)(1) of the Act. Washington, DC 20230; telephone (202) The merchandise covered by this Dated: November 30, 1999. 482–2239 or (202) 482–4474, review is manganese metal, which is Richard W. Moreland, respectively. SUPPLEMENTARY INFORMATION: Acting Assistant Secretary for Import 1 Subsequent to this request, on June 30, 1999, the Administration. Applicable Statute manganese metal production operations of Elkem [FR Doc. 99–31983 Filed 12–8–99; 8:45 am] Metals Company were acquired by Eramet Marietta Unless otherwise indicated, all Inc. Thus, this petitioner is referred to in this notice BILLING CODE 3510±DS±P citations to the Tariff Act of 1930, as as ‘‘Elkem/Eramet.’’

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All we intend to instruct Customs to retains the proceeds from its export compositions, forms and sizes of liquidate these entries collecting the sales and makes independent decisions manganese metal are included within antidumping duties posted at the time regarding the disposition of profits or the scope of this administrative review, of entry. This is consistent with the financing of losses; (3) has the authority including metal flake, powder, Department’s consideration of SCL’s to negotiate and sign contracts and other compressed powder, and fines. The entries during the last review. See agreements; and (4) has autonomy from subject merchandise is currently Manganese Metal from the People’s the government regarding the selection classifiable under subheadings Republic of China; Final Results of of management. See Silicon Carbide at 8111.00.45.00 and 8111.00.60.00 of the Antidumping Duty Administrative 22587; see also Sparklers at 20589. Harmonized Tariff Schedule of the Review, 64 FR 49447 (September 13, In our final LTFV determination, we United States (HTSUS). Although the 1999). determined that there was de jure and HTSUS subheadings are provided for de facto absence of government control Verification convenience and customs purposes, our of each company’s export activities and written description of the scope of this As provided in section 782(i) of the determined that each company proceeding is dispositive. Act, we verified factor information warranted a company-specific dumping provided by a supplier, Xiang Tan margin. See LTFV Investigation. For this Partial Rescission Manganese Mine (XTMM). We also period of review, CMIECHN/CNIECHN CEIEC notified the Department that it conducted a sales verification at responded to the Department’s request had not made any U.S. sales of subject CMIECHN/CNIECHN. Our verification for information regarding separate rates. merchandise during the POR. Entry data at each of these companies consisted of We have found that the evidence on the provided by the U.S. Customs Service standard verification procedures, record is consistent with the final confirms that there were no POR entries including the examination of relevant determination in the LTFV Investigation from CEIEC of manganese metal. Also, sales and financial records and the and CMIECHN/CNIECHN continues to on May 7, 1999, Minmetals informed selection of original documentation demonstrate an absence of government the Department that although it had containing relevant information. Our control, both in law and in fact, with made two shipments of subject verification results are detailed in the respect to this company’s exports, in merchandise to the United States at the verification reports on file in the Central accordance with the criteria identified end of the POR, it believes these Records Unit (CRU) in room B–099 of in Sparklers and Silicon Carbide. shipments did not enter the United the Department’s main building. States during the POR. The Department Use of Facts Otherwise Available Separate Rates has not identified any customs entries of Section 776(a)(2) of the Act provides subject merchandise from Minmetals It is the Department’s standard policy that if an interested party (1) withholds during the POR. to assign all exporters of the information that has been requested by Therefore, consistent with the merchandise subject to review in the Department, (2) fails to provide such Department’s regulations and practice, nonmarket economy (NME) countries a information in a timely manner or in the we are rescinding this review with single rate unless an exporter can form requested, (3) significantly respect to CEIEC and Minmetals. See 19 demonstrate an absence of government impedes a proceeding under the CFR 351.213(d)(3); Silicon Metal from control, both in law and in fact, with antidumping statute, or (4) provides Brazil; Final Results of Antidumping respect to exports. To establish whether information that cannot be verified, the Duty Administrative Review, 61 FR an exporter is sufficiently independent Department shall use, subject to section 46763 (September 5, 1996). of government control to be entitled to 782(d), facts available in reaching the a separate rate, the Department analyzes applicable determination. Untimely Requests for Review the exporter in light of the criteria On April 20, 1999, 22 days after established in the Final Determination 1. Application of Facts Available initiation of this administrative review, of Sales at Less Than Fair Value: We preliminarily determine that, in SCL submitted an entry of appearance, Sparklers from the People’s Republic of accordance with sections 776(a)(2)(A) a request for access to business China, 56 FR 20588 (May 6, 1991) and (C) of the Act, the use of facts proprietary information and a request (Sparklers), as amplified in the Final otherwise available is appropriate for that it receive a questionnaire. On April Determination of Sales at Less Than HIED because it did not submit a 28, 1999, Shieldalloy Metallurgical Fair Value: Silicon Carbide from the response to our questionnaire issued to Corporation (SMC) and London & People’s Republic of China, 59 FR 22585 it on April 20, 1999. Scandinavian Metallurgical Co., (May 2, 1994) (Silicon Carbide). Limited, (LSM), subsidiaries of Evidence supporting, though not 2. Use of Adverse Facts Available Metallurg, Inc., submitted a request that requiring, a finding of de jure absence In selecting from among the facts the Department extend the time limit for of government control over export available, section 776(b) of the Act requesting an administrative review of activities includes: (1) An absence of authorizes the Department to use an LSM and that the Department initiate a restrictive stipulations associated with adverse inference if the Department review of its U.S. sales. The Department an individual exporter’s business and finds that a party has failed to cooperate declined to extend the time limit for export licenses; (2) Any legislative by not acting to the best of its ability to requesting an administrative review and enactments decentralizing control of comply with requests for information. did not initiate a review of LSM. companies; and (3) Any other formal See Statement of Administrative Action Although these companies were not measures by the government (SAA), H.R. Doc. 316, Vol. 1, 103rd reviewed, based upon SCL’s July 15, decentralizing control of companies. See Cong., 2d sess. 870 at 870 (1994). To 1999 submission, and upon LSM’s Sparklers at 20589. A de facto analysis examine whether the respondent

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‘‘cooperated’’ by ‘‘acting to the best of Review, 64 FR 49447 (September 13, authority. None of the parties to this its ability’’ under section 776(b) of the 1999). We have no new information that proceeding has contested such Act, the Department considers, inter would lead us to reconsider that treatment in this review. Furthermore, alia, the accuracy and completeness of decision. available information does not permit submitted information and whether the the calculation of NV using home- Export Price respondent has hindered the calculation market prices, third-country prices or of accurate dumping margins. See, e.g., For U.S. sales made by CMIECHN/ constructed value under section 773(a) Certain Welded Carbon Steel Pipes and CNIECHN we calculated an export of the Act. Therefore, we treated the Tubes From Thailand: Final Results of price, in accordance with section 772(a) PRC as a NME country for purposes of Antidumping Duty Administrative of the Act, because the subject this review and calculated NV by Review, 62 FR 53808, 53819–53820 merchandise was sold to unaffiliated valuing the factors of production in a (October 16, 1997). purchasers in the United States prior to comparable market-economy country As discussed above, HIED failed to importation into the United States and which is a significant producer of respond to the Department’s constructed export price treatment was comparable merchandise. questionnaire. Thus, we have not otherwise indicated. 2. Surrogate-Country Selection determined that HIED withheld For these sales, we calculated export information we requested and price based on the price to unaffiliated In accordance with section 773(c)(4) significantly impeded the antidumping purchasers. We deducted an amount, of the Act and section 351.408(b) of our proceeding. where appropriate, for foreign inland regulations, we preliminarily determine We have, therefore, determined that freight, ocean freight, and marine that India is the most comparable HIED has not acted to the best of its insurance. The costs for these items surrogate to the PRC. (See Memorandum ability to comply with our requests for were valued in the surrogate country to Susan Kuhbach from Jeff May; ‘‘Non- information. Accordingly, consistent (see discussion below). Market-Economy Status and Surrogate with section 776(b) of the Act, we have U.S. Customs entry data for the POR Country Selection’’ dated July 13, 1999, applied adverse facts available to this indicate that CMIECHN/CNIECHN was a public copy of which is available in company. the direct exporter for many more the Central Records Unit.) In addition, India is a significant producer of 3. Corroboration of Secondary shipments of manganese metal than comparable merchandise. Therefore, for Information could be accounted for by CMIECHN/ CNIECHN’s verified U.S. sales. Based this review, we have selected India as In this review, we are using as adverse upon our verification of CMIECHN/ the surrogate country and have used facts available the PRC-wide rate CNIECHN’s total U.S. sales, we have publicly available information relating (143.32 percent) determined for non- preliminarily determined that these to India, unless otherwise noted, to responding exporters involved in the additional entries are not U.S. sales by value the various factors of production. LTFV Investigation. This margin CMIECHN/CNIECHN for the purposes of represents the highest margin in the 3. Factors-of-Production Valuation this review. petition, as modified by the Department For purposes of calculating NV, we Given our preliminary finding that for the purposes of initiation. See valued PRC factors of production in these additional entries are not Initiation of Antidumping Duty accordance with section 773(c)(1) of the CMIECHN/CNIECHN sales for the Investigation: Manganese Metal from the Act. Factors of production include but purposes of this review, and consistent PRC, 59 FR 61869 (December 2, 1994) are not limited to the following with our methodology adopted in the (LTFV Initiation). elements: (1) hours of labor required; (2) previous review, we have not calculated Information derived from the petition quantities of raw materials employed; an export price for these entries. Also, constitutes secondary information (3) amounts of energy and other utilities for the reasons enumerated in the Use within the meaning of the SAA. See consumed; and (4) representative capital of Facts Otherwise Available section SAA at 870. Section 776(c) of the Act cost, including depreciation. In below, we likewise have not calculated provides that the Department shall, to examining potential surrogate values, an export price for HIED’s sales. the extent practicable, corroborate we selected, where possible, the secondary information from Normal Value publicly available value which was: (1) independent sources reasonably at its an average non-export value; (2) 1. Nonmarket-Economy Status disposal. The SAA provides that representative of a range of prices ‘‘corroborate’’ means that the For the calculation of dumping within the POR or most Department will satisfy itself that the margins for merchandise originating in contemporaneous with the POR; (3) secondary information to be used has NME countries, section 773(c)(1) of the product-specific; and (4) tax-exclusive. probative value. The SAA at 870, Act provides that the Department shall Where we could not obtain a POR- however, states further that ‘‘the fact determine normal value (NV) using a representative price for an appropriate that corroboration may not be factors-of-production methodology if (1) surrogate value, we selected a value in practicable in a given circumstance will the merchandise is exported from an accordance with the remaining criteria not prevent the agencies from applying NME country, and (2) the information mentioned above and which was the an adverse inference.’’ In addition, the does not permit the calculation of NV closest in time to the POR. In SAA, at 869, emphasizes that the using home-market prices, third-country accordance with this methodology, we Department need not prove that the prices, or constructed value under have valued the factors as described facts available are the best alternative section 773(a) of the Act. below. information. The Department has treated the PRC We valued manganese ore using a The PRC-wide rate being used in this as an NME country in all previous June 1998 export price quote (in U.S. proceeding as adverse facts available antidumping cases. In accordance with dollars) from a Brazilian manganese was previously corroborated. See section 771(18)(c)(i) of the Act, any mine for manganese carbonate ore. We Manganese Metal from the People’s determination that a foreign country is adjusted this price further to account for Republic of China; Final Results of a NME country shall remain in effect the reported manganese content of the Antidumping Duty Administrative until revoked by the administering ore used in the PRC manufacture of the

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69002 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices subject merchandise and to account for Conference Association. To value truck assess these rates on those entries which the differences in transportation freight, we used a price quotation from correspond to sales verified by the distances. an Indian freight provider. Department as having been made To value various process chemicals For a more detailed explanation of the directly by CMIECHN/CNIECHN. With used in the production of manganese methodology used in calculating various respect to SCL and LSM, third country metal, we used prices obtained from the surrogate values, see Memorandum to resellers which established the identity following Indian sources: Indian the File from Case Team; ‘‘Calculations of their suppliers, the Department will Chemical Weekly (March, 1998 through for the Preliminary Results’’ (December instruct Customs to liquidate these March, 1999) and the Monthly Statistics 2, 1999). entries at the cash deposit rate in effect of Foreign Trade of India, Volume II— Preliminary Results of the Review for their supplier(s) at the time of entry. Imports (March, 1998) (Import We hereby determine that the As discussed in the Export Price Statistics). Where necessary, we section above, however, the Customs adjusted these values to reflect inflation following weighted-average margins exist for the period February 1, 1998, entry data for the POR indicates that up to the POR using an Indian many more shipments of manganese wholesale price index (WPI) published through January 31, 1999: metal listing CMIECHN/CNIECHN as by the International Monetary Fund the manufacturer/exporter were entered (IMF). Additionally, we adjusted these Margin Manufacturer/exporter (percent) into the United States than the number values, where appropriate, to account of POR sales reported by CMIECHN/ for differences in chemical content and CMIECHN/CNIECHN ...... 2.00 CNIECHN. On those entries listing to account for freight costs incurred PRC-wide ...... 143.32 CMIECHN/CNIECHN as the direct between the suppliers and manganese exporter but for which there are no metal producers. Because we are rescinding the review corresponding verified sales, the To value the labor input, consistent with respect to CEIEC and Minmetals, Department will instruct the Customs with 19 CFR 351.408(c)(3), we used the the respective company-specific rates Service to assess the PRC-wide rate of regression-based estimated wage rate for for these companies remain unchanged. 143.32 percent. This is consistent with the PRC as calculated by the Likewise, because SMC and LSM the Department’s practice as applied Department. submitted an untimely request for during the last review. See Manganese For selling, general, and review, LSM’s sales of subject administrative expenses (SG&A), factory merchandise during the POR were not Metal from the People’s Republic of overhead, and profit values, we used reviewed. Moreover, an administrative China; Final Results of Antidumping information from the Reserve Bank of review was not initiated with respect to Duty Administrative Review, 64 FR India Bulletin (January, 1997) for the SCL for this POR, and, therefore, SCL’s 49449 (September 13, 1999). The Indian industrial grouping ‘‘Processing U.S. sales were not reviewed. Department will likewise instruct the and Manufacturing: Metals, Chemicals, Any interested party may request a Customs Service to assess the PRC-wide and Products Thereof.’’ To value factory hearing within 30 days of publication of rate on all POR entries from HIED and overhead, we calculated the ratio of this notice. Any hearing, if requested, on all other PRC exporters that do not factory overhead expenses to the cost of will be held approximately 37 days after have separate rates. materials and energy. Using the same the publication of this notice. Interested Furthermore, the following cash source, we also calculated the SG&A parties may submit written comments deposit requirements will be effective expense as a percentage of the cost of (case briefs) within 30 days of the date upon publication of the final results of materials, energy and factory overhead, of publication of this notice. Rebuttal this administrative review for all and profit as a percentage of the cost of comments (rebuttal briefs), which must shipments of the subject merchandise production (i.e., materials, energy, labor, be limited to issues raised in the case entered, or withdrawn from warehouse, factory overhead and SG&A). briefs, may be filed not later than 35 for consumption on or after the For most packing materials values, we days after the date of publication. The publication date, as provided for by used per-unit values based on the data Department will issue a notice of final section 751(a)(1) of the Act: (1) for in the Import Statistics. For iron drums, results of this administrative review, CMIECHN/CNIECHN, the cash deposit however, we used a price quote from an including the results of its analysis of rate will be the rates established in the Indian manufacturer rather than a value issues raised in any such written final results of this review for this firm; from the Import Statistics because the comments, within 120 days of (2) for Minmetals and CEIEC, which we quoted price was for the appropriate publication of these preliminary results. determined to be entitled to a separate type of container used, whereas the Assessment and Cash Deposit Rates rate in the LTFV Investigation but which Import Statistics were aggregated over did not have shipments or entries to the various types of containers. We made The Department shall determine, and United States during the POR, the rates further adjustments to account for the Customs Service shall assess, will continue to be 5.88 percent and freight costs incurred between the PRC antidumping duties on all appropriate 11.77 percent, respectively (these are supplier and manganese metal entries. The Department will issue the rates which currently apply to these producers. appraisement instructions directly to companies); (3) for sales made by LSM To value electricity, we used the the Customs Service. and SCL, the cash deposit rates will be average rate applicable to large In order to assess duties on those cash deposit rates in effect at the industrial users throughout India as appropriate entries as a result of this time of entry for their respective PRC reported in the 1995 Confederation of review, we have calculated entry- supplier(s); 2 (4) for other non-PRC Indian Industries Handbook of specific duty assessment rates based on Statistics. We adjusted the March 1, the ratio of the amount of duty 2 See e.g., Manganese Metal from the People’s 1995, value to reflect inflation up to the calculated for each of CMIECHN/ Republic of China; Final Results of Antidumping POR using the WPI published by the CNIECHN’s verified sales during the Duty Administrative Review, 64 FR 49447 POR to the total entered value of the (September 13, 1999); Fresh Garlic from the PRC; IMF. Final Results of Antidumping Duty Administrative To value rail freight, we relied on rate corresponding entry. The Department Review and Partial Termination of Administrative tables published by the Indian Railway will instruct the Customs Service to Review, 62 FR 23758, 23760; Sparklers from the

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69003 exporters of subject merchandise from FOR FURTHER INFORMATION CONTACT: Average Hours Per Response: 4 hours. the PRC, the cash deposit rate will be Requests for additional information or Affected Public: Researchers in the rate applicable to the PRC supplier copies of the information collection academic, public and business settings. of that exporter; and (5) for all other instrument(s) and instructions should Respondent’s Obligation: Voluntary. PRC exporters, including HIED, the cash be directed to: Sharon Laskowski, Ph.D., IV. Request for Comments deposit rate will be 143.32 percent. National Institute of Standards and These deposit requirements, when Technology (NIST), 100 Bureau Drive, Comments are invited on: (a) Whether imposed, shall remain in effect until Stop 8940, Gaithersburg, MD 20899– the proposed collection of information publication of the final results of the 8940. is necessary for the proper performance next administrative review. SUPPLEMENTARY INFORMATION: of the functions of the agency, including This notice also serves as a whether the information shall have preliminary reminder to importers of I. Abstract practical utility; (b) the accuracy of the their responsibility under 19 CFR The Common Industry Format (CIF) agency’s estimate of the burden of the 351.402(f) to file a certificate regarding has been developed as part of the IUSR proposed collection of information; (c) the reimbursement of antidumping (Industry USability Reporting: http:// ways to enhance the quality, utility, and duties prior to liquidation of the www.nist.gov/iusr) Project. The goal of clarity of the information to be relevant entries during this review that project is to find ways to highlight collected; and (d) ways to minimize the period. Failure to comply with this the importance of usability in software burden of the collection of information requirement could result in the development. Companies that make on respondents, including through the Secretary’s presumption that software can now use the CIF to use of automated collection techniques reimbursement of antidumping duties communicate their findings on or other forms of information occurred and the subsequent assessment usability; the CIF can be used by technology. of double antidumping duties. companies that buy software to help Comments submitted in response to We are issuing and publishing this make more informed decisions. the notice will be summarized and/or determination in accordance with CIFter (Common Industry Format— included in the request for OMB sections 751(a)(1) and 777(i)(1) of the Testing of Usability Evaluation Reports) approval of the information collection; Act. is a project that seeks to determine they also will become a matter of public Dated: December 2, 1999. whether the extent of the variability in record. Richard W. Moreland, usability test results can be minimized Dated: December 3, 1999. by using a common format for reporting Acting Assistant Secretary for Import Linda Engelmeier, Administration. results. CIFter participants will use the Departmental Forms Clearance Officer, Office CIF (developed in the NIST IUSR [FR Doc. 99–31984 Filed 12–8–99; 8:45 am] of the Chief Information Officer. project) in the context of an [FR Doc. 99–31963 Filed 12–8–99; 8:45 am] BILLING CODE 3510±DS±P experimental setting to report on results BILLING CODE 3510±13±P of user testing of a web site to be DEPARTMENT OF COMMERCE designated by CIFter. In order to validate the use of the CIF DEPARTMENT OF COMMERCE National Institute of Standards and for reporting usability results, the CIFter Technology project team plans to identify a website National Oceanic and Atmospheric and 5 or more evaluation teams. These Administration Evaluation of the Common Industry teams will be recruited from Format (CIF) for Reporting the Results professional usability practitioners, the [I.D. 120399B] of Usability Tests software industry, and academic Endangered Species; Permits institutions. Each of the teams will ACTION: Proposed collection; comment perform testing of the website and will AGENCY: National Marine Fisheries request. report the results of their evaluation in Service (NMFS), National Oceanic and SUMMARY: The Department of Commerce the recommended format (CIF). Atmospheric Administration (NOAA), (DOC), as part of its continuing effort to Alternatively, NIST expects that Commerce. reduce paperwork and respondent members of the IUSR project, both in ACTION: Issuance of a modification to burden, invites the general public and the U.S. and Europe, might submit scientific research permit 1159. other Federal agencies to take this completed CIF forms to facilitate SUMMARY: Notice is hereby given that opportunity to comment on proposed comparison of reports from a variety of NMFS has issued a modification to information collection, as required by companies. NIST’s role in such cases scientific research permit 1159 to Dr. the Paperwork Reduction Act of 1995, would be to facilitate sharing of the Robert Brownell of NMFS Southwest Public Law 104–13 (44 U.S.C. results among its industrial participants. Fisheries Science Center (SWFSC). 3506(c)(2)(A)). II. Method of Collection ADDRESSES: The application and related DATES: Written comments must be After performing a usability analysis submitted on or before February 7, 2000. documents are available for review by of a software product, participants will appointment in the Office of Protected ADDRESSES: Direct all written comments complete the CIF form and return it to Resources, Endangered Species to Linda Engelmeier, Departmental NIST. All elements of the CIF are free- Division, F/PR3, 1315 East-West Forms Clearance Officer, Department of form text rather than checklists. Highway, Silver Spring, MD 20910 Commerce, Room 5027, 14th and (301–713–1401). Constitution Avenue, NW, Washington, III. Data FOR FURTHER INFORMATION CONTACT: DC 20230 or via the Internet at OMB Approval Number: None. [email protected]. Agency Form Number: None. Terri Jordan, Silver Spring, MD (ph: Type of Request: New collection. 301–713–1401, fax: 301–713–0376, e- PRC; Final Results of Antidumping Duty Burden: 120 hours. mail: [email protected]). Administrative Review, 61 FR 39630, 39631. Number of Respondents: 30. SUPPLEMENTARY INFORMATION:

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Authority issued on November 23, 1999, see 64 FR 6050, published on February Issuance of permits and permit authorizing take of listed species and is 8, 1999. modifications, as required by the valid for the duration of the permit, Troy H. Cribb, Endangered Species Act of 1973 (16 which expires December 31, 2000. Chairman, Committee for the Implementation U.S.C. 1531–1543) (ESA), is based on a Dated: December 6, 1999. of Textile Agreements. finding that such permits/modifications: Wanda L. Cain, Committee for the Implementation of Textile (1) Are applied for in good faith; (2) Agreements Chief, Endangered Species Division, Office would not operate to the disadvantage of Protected Resources, National Marine December 6, 1999. of the listed species which are the Fisheries Service. Commissioner of Customs, subject of the permits; and (3) are Department of the Treasury, Washington, DC [FR Doc. 99–31970 Filed 12–8–99; 8:45 am] consistent with the purposes and 20229. policies set forth in section 2 of the BILLING CODE 3510±22±F Dear Commissioner: This directive ESA. Authority to take listed species is amends, but does not cancel, the directive subject to conditions set forth in the issued to you on February 1, 1999, by the permits. Permits and modifications are Chairman, Committee for the Implementation COMMITTEE FOR THE issued in accordance with and are of Textile Agreements. That directive concerns imports of certain cotton, wool and subject to the ESA and NMFS IMPLEMENTATION OF TEXTILE AGREEMENTS man-made fiber textile products, produced or regulations governing listed fish and manufactured in Cambodia and exported wildlife permits (50 CFR parts 222–226). Adjustment of Import Limits for Certain during the twelve-month period which began All statements and opinions Cotton and Man-Made Fiber Textile on January 1, 1999 and extends through contained in the permit action summary December 31, 1999. are those of the applicant and do not Products Produced or Manufactured in Effective on December 9, 1999, you are necessarily reflect the views of NMFS. Cambodia directed to adjust the current limits for the following categories, as provided for under Species Covered in this Notice December 6, 1999. the terms of the current bilateral textile The following species are covered in AGENCY: Committee for the agreement between the Governments of the United States and Cambodia: this notice: endangered green turtle Implementation of Textile Agreements (Chelonia mydas), endangered (CITA). Adjusted twelve-month hawksbill turtle (Eretmochelys Category 1 ACTION: Issuing a directive to the limit imbricata), endangered leatherback Commissioner of Customs adjusting turtle (Dermochelys coriacea), 334/634 ...... 190,400 dozen. threatened loggerhead turtle (Caretta limits. 338/339 ...... 2,900,000 dozen. caretta), and endangered olive ridley 347/348/647/648 ...... 3,600,000 dozen. turtle (Lepidochelys olivacea). EFFECTIVE DATE: December 9, 1999. 645/646 ...... 158,624 dozen. FOR FURTHER INFORMATION CONTACT: Roy 1 The limits have not been adjusted to ac- Modification Issued count for any imports exported after December Unger, International Trade Specialist, 31, 1998. SWFSC currently possesses a 3-year Office of Textiles and Apparel, U.S. scientific research permit (1159) to take Department of Commerce, (202) 482– The Committee for the Implementation of listed sea turtles opportunistically Textile Agreements has determined that 4212. For information on the quota during marine mammal research these actions fall within the foreign affairs status of these limits, refer to the Quota surveys in the eastern tropical Pacific. exception of the rulemaking provisions of 5 Status Reports posted on the bulletin Authorization was granted to take up to U.S.C. 553(a)(1). 400 turtles over the three year period to boards of each Customs port, call (202) Sincerely, include the following species: olive 927–5850, or refer to the U.S. Customs Troy H. Cribb, ridley, green, leatherback, hawksbill, website at http:// Chairman, Committee for the Implementation and loggerhead. The turtles would be www.customs.ustreas.gov. For of Textile Agreements. weighed, photographed, flipper tagged, information on embargoes and quota re- [FR Doc. 99–32015 Filed 12–8–99; 8:45 am] blood sampled, and tissue sampled. openings, call (202) 482–3715. BILLING CODE 3510±DR±F Additionally, stomach lavage would be SUPPLEMENTARY INFORMATION: performed on captured turtles to identify prey items and up to 30 turtles Authority: Section 204 of the Agricultural DEPARTMENT OF DEFENSE would be outfitted with satellite Act of 1956, as amended (7 U.S.C. 1854); transmitters. The purpose of the Executive Order 11651 of March 3, 1972, as Department of the Air Force research is to obtain data on the amended. HQ USAF Scientific Advisory Board geographic distribution and stock The current limits for certain Meeting assessment, migratory and dive categories are being adjusted for swing behavior, and habitat needs and primary and special carryforward. The C2 Advisory Group will meet at foraging areas of turtles at sea. On Langley AFB, VA from January 13–14, November 10, 1999, SWFSC applied for A description of the textile and 2000 from 8 a.m. to 5 p.m. an emergency modification to permit apparel categories in terms of HTS The purpose of the meeting is to 1159 as a result of unexpectedly high numbers is available in the provide advice to the Commander of the numbers of olive ridley turtles CORRELATION: Textile and Apparel Aerospace Command and Control encountered during survey efforts. Categories with the Harmonized Tariff Intelligence, Surveillance, and Modification #2 authorizes increased Schedule of the United States (see Reconnaissance Center on their take of olive ridley turtles from 330 to Federal Register notice 63 FR 71096, Technology Programs. 500. No additional stomach lavage or published on December 23, 1998). Also The meeting will be closed to the satellite tagging is authorized. public in accordance with section Modification #2 to Permit 1159 was 552b(c) of Title 5, United States Code,

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69005 specifically subparagraphs (1) and (4) FOR FURTHER INFORMATION CONTACT: Dr. Dated: November 2, 1999. thereof. Neil Robison, U.S. Army Corps of For further information, contact the Engineers, U.S. Army Engineer District, L.M. Bynum, HQ USAF Scientific Advisory Board Mobile (CESAM–PD), 109 St. Joseph Alternate OSD Federal Register Liaison Secretariat at (703) 697–8404. Street, Mobile, AL 36602; phone (334) Officer, Department of Defense. Janet A. Long, 690–3018 and telefax (334) 690–2605. A0350-6 FORSCOM Air Force Federal Register Liaison Officer. Dated: December 1, 1999. SYSTEM NAME: [FR Doc. 99–31956 Filed 12–8–99; 8:45 am] Raymond J. Fatz, BILLING CODE 5001±05±U U.S. Army Marksmanship Unit Data Deputy Assistant Secretary of the Army, System (AMUDS) (February 22, 1993, 58 Environment, Safety and Occupational FR 10002). Health OASA(I&E). DEPARTMENT OF DEFENSE Reason: This system is obsolete. [FR Doc. 99–31828 Filed 12–8–99; 8:45 am] Records have been destroyed. Department of the Army BILLING CODE 3710±08±M A0351 DAMO Withdrawal of Notice of Intent To SYSTEM NAME: Prepare an Environmental Impact DEPARTMENT OF DEFENSE Statement (EIS) for the Disposal, USAWC Cooperative Degree Program Transfer, or Retention of the Family Department of the Army Files (February 22, 1993, 58 FR 10002). Housing and Announcement of Intent Reason: Records are no longer being To Prepare an Environmental Privacy Act of 1974; System of maintained by the Department of the Assessment (EA) for the Revitalization Records Army, but by the civilian universities of the Family Housing at Fort participating in the master’s degree Buchanan, Puerto Rico AGENCY: Department of the Army, DoD. program. [FR Doc. 99–31759 Filed 12–8–99; 8:45 am] ACTION: Notice to Delete Systems of AGENCY: Department of the Army, DoD. Records. BILLING CODE 5001±10±F ACTION: Notice of intent. SUMMARY: The Department of the Army DEPARTMENT OF EDUCATION SUMMARY: On January 28, 1999, the is deleting two systems of records Department of the Army announced in notices in its existing inventory of Notice of Proposed Information the Federal Register (64 FR 4399) its record systems subject to the Privacy Collection Requests intent to prepare an EIS for the disposal, Act of 1974, (5 U.S.C. 552a), as transfer or retention of the family amended. AGENCY: Department of Education. housing at Fort Buchanan, Puerto Rico. The proposed action was intended to DATES: This proposed action will be SUMMARY: The Leader, Information implement the recommendation of the effective without further notice on Management Group, Office of the Chief 1995 Defense Base Closure and January 10, 2000, unless comments are Information Officer, invites comments Realignment Commission to dispose of received which result in a contrary on the proposed information collection the family housing. determination. requests as required by the Paperwork Subsequent to the Commission’s ADDRESSES: Privacy Act Officer, Records Reduction Act of 1995. recommendation, the Secretary of Management Program Division, Army DATES: Interested persons are invited to Defense was authorized by Section 8142 Records Management and submit comments on or before February of the 1999 DoD Appropriations Act Declassification Agency, ATTN: TALC- 7, 2000. (Pub. L. 105–262) to retain all or a PAD-RP, Stop C, Ft. Belvoir, VA 22060– SUPPLEMENTARY INFORMATION: Section portion of the family housing to meet 5576. 3506 of the Paperwork Reduction Act of military family housing needs arising 1995 (44 U.S.C. Chapter 35) requires FOR FURTHER INFORMATION CONTACT: Ms. out of the relocation of elements of the that the Office of Management and United States Army South (USARSO) to Janice Thornton at (703) 806–4390 or Budget (OMB) provide interested Fort Buchanan. That relocation was due DSN 656–4390. Federal agencies and the public an early to the requirements of the Panama Canal SUPPLEMENTARY INFORMATION: The opportunity to comment on information Treaty between the United States and Department of the Army systems of collection requests. OMB may amend or Panama. On May 17, 1999, acting on records notices subject to the Privacy waive the requirement for public behalf of the Secretary of Defense, the Act of 1974, (5 U.S.C. 552a), as consultation to the extent that public Secretary of the Army decided to retain amended, have been published in the participation in the approval process 215 housing units. Additionally, the 146 Federal Register and are available from would defeat the purpose of the remaining units will be used as ‘‘swing the address above. information collection, violate State or space’’ until they are no longer required Federal law, or substantially interfere The specific changes to the record and then will be demolished. ‘‘Swing with any agency’s ability to perform its system being amended are set forth space’’ is housing for military families statutory obligations. The Leader, awaiting revitalization of their housing. below followed by the notice, as Information Management Group, Office Since the scope of the proposed action amended, published in its entirety. The of the Chief Information Officer, has changed, an EIS is no longer proposed amendments are not within publishes that notice containing required under the National the purview of subsection (r) of the proposed information collection Environmental Policy Act. Instead, the Privacy Act of 1974, (5 U.S.C. 552a), as requests prior to submission of these Army will prepare an EA for the amended, which requires the requests to OMB. Each proposed revitalization of the family housing as a submission of a new or altered system information collection, grouped by result of the USARSO move to Puerto report. office, contains the following: (1) Type Rico. of review requested, e.g. new, revision,

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69006 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices extension, existing or reinstatement; (2) to the internet address extension, existing or reinstatement; (2) title; (3) summary of the collection; (4) [email protected] or should title; (3) summary of the collection; (4) description of the need for, and be faxed to 202–708–9346. description of the need for, and proposed use of, the information; (5) Written comments or questions proposed use of, the information; (5) respondents and frequency of regarding burden and/or the collection respondents and frequency of collection; and (6) reporting and/or activity requirements should be directed collection; and (6) reporting and/or recordkeeping burden. OMB invites to Sheila Carey at (202) 708–6287 or via recordkeeping burden. OMB invites public comment. her internet address public comment. l The Department of Education is Sheila [email protected]. Individuals who Dated: December 3, 1999. especially interested in public comment use a telecommunications device for the William E. Burrow, addressing the following issues: (1) Is deaf (TDD) may call the Federal Leader, Information Management Group, this collection necessary to the proper Information Relay Service (FIRS) at 1– Office of the Chief Information Officer. functions of the Department; (2) will 800–877–8339. this information be processed and used [FR Doc. 99–31834 Filed 12–8–99; 8:45 am] Office of Elementary and Secondary in a timely manner; (3) is the estimate BILLING CODE 4000±01±P Education of burden accurate; (4) how might the Type of Review: Reinstatement. Department enhance the quality, utility, and clarity of the information to be DEPARTMENT OF EDUCATION Title: Goals 2000 Comprehensive collected; and (5) how might the Local Reform Assistance. Department minimize the burden of this Submission for OMB Review; Frequency: Annually. collection on the respondents, including Comment Request Affected Public: State, local, or tribal through the use of information AGENCY: Department of Education. government, SEAs or LEAs. technology. SUMMARY: The Leader, Information Reporting and Recordkeeping Hour Dated: December 3, 1999. Management Group, Office of the Chief Burden: Responses: 400. Burden Hours: William Burrow, Information Officer invites comments 12,000. Leader, Information Management Group, on the submission for OMB review as Abstract: Section 304(e) of the Goals Office of the Chief Information Officer. required by the Paperwork Reduction 2000: Educate America Act authorizes Office of Special Education and Act of 1995. the Secretary to award direct grants to Rehabilitative Services DATES: Interested persons are invited to LEAs in States that were not submit comments on or before January participating in Goals 2000 as of Type of Review: New. 10, 2000. October 20, 1995, if the applicable SEA Title: State and local implementation approves the LEAs’ participation in of the Individuals with Disabilities ADDRESSES: Written comments should be addressed to the Office of Goals 2000 as of that date. Both the Education Act (IDEA) ’97. Oklahoma and Montana SEAs have Frequency: One time. Information and Regulatory Affairs, Attention: Danny Werfel, Desk Officer, approved LEA participation in this Affected Public: State, local, or tribal direct grant program. The Goals 2000 government, SEAs or LEAs. Department of Education, Office of Management and Budget, 725 17th Act is designed to help States and Reporting and Recordkeeping Hour communities develop and implement Burden: Responses: 5,995. Burden Street, N.W., Room 10235, New Executive Office Building, Washington, their own education reforms focused on Hours: 4,709. challenging academic standards in order Abstract: The Office of Special DC 20503 or should be electronically mailed to the internet address to increase student academic Education Programs (OSEP) is achievement. conducting a five-year study to evaluate [email protected]. This information collection is being the state and local impact and SUPPLEMENTARY INFORMATION: Section implementation of the Individuals with 3506 of the Paperwork Reduction Act of submitted under the Streamlined Disabilities Education Act (IDEA) of 1995 (44 U.S.C. Chapter 35) requires Clearance Process for Discretionary 1997. The evaluation will provide that the Office of Management and Grant Information Collections (1890– information on the types and impacts of Budget (OMB) provide interested 0001). Therefore, the 30-day public policies and practices engaged in by Federal agencies and the public an early comment period notice will be the only states, school districts, and schools to opportunity to comment on information public comment notice published for implement the provisions of IDEA ’97, collection requests. OMB may amend or this information collection. particularly with regard to nine key waive the requirement for public Requests for copies of the proposed issues identified by the law. OSEP is consultation to the extent that public information collection request should be engaging in this evaluation to report to participation in the approval process addressed to Vivian Reese, Department Congress, in accordance with the would defeat the purpose of the of Education, 400 Maryland Avenue, provisions of IDEA ’97 (Sec. 674). information collection, violate State or SW, Room 5624, Regional Office Clearance is sought for multiple Federal law, or substantially interfere Building 3, Washington, DC 20202– instruments. Respondents will be state with any agency’s ability to perform its 4651, or should be electronically mailed special education directors, district statutory obligations. The Leader, to the internet address special education directors, and school Information Management Group, Office [email protected] or should principals. of the Chief Information Officer, be faxed to 202–708–9346. Requests for copies of the proposed publishes that notice containing Questions regarding burden and/or information collection request should be proposed information collection the collection activity requirements addressed to Vivian Reese, Department requests prior to submission of these should be directed to Kathy Axt at (703) of Education, 400 Maryland Avenue, requests to OMB. Each proposed 426–9692 or via her internet address SW, Room 5624, Regional Office information collection, grouped by [email protected]. Individuals who Building 3, Washington, DC 20202– office, contains the following: (1) Type use a telecommunications device for the 4651, or should be electronically mailed of review requested, e.g. new, revision, deaf (TDD) may call the Federal

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Information Relay Service (FIRS) at 1– Room. This filing may be viewed on the DEPARTMENT OF ENERGY 800–877–8339. web at http://www.ferc.fed.us/online/ rims.htm (call 202–208–2222 for Federal Energy Regulatory [FR Doc. 99–31833 Filed 12–8–99; 8:45 am] Commission BILLING CODE 4000±01±P assistance). Linwood A. Watson, Jr., [Docket No. RP00±90±000] Acting Secretary. DEPARTMENT OF ENERGY Colorado Interstate Gas Company; [FR Doc. 99–31846 Filed 12–8–99; 8:45 am] Notice of Tariff Filing BILLING CODE 6717±01±M Federal Energy Regulatory December 3, 1999. Commission Take notice that on November 30, [Docket No. RP00±88±000] DEPARTMENT OF ENERGY 1999, Colorado Interstate Gas Company (CIG), tendered for filing as part of its ANR Pipeline Company; Notice of Federal Energy Regulatory FERC Gas Tariff, First Revised Volume Proposed Changes In FERC Gas Tariff Commission No. 1, Twenty-ninth Revised Sheet No. December 3, 1999. 11, with an effective date of January 1, Take notice that on November 30, [Docket No. RP00±89±000] 2000. CIG states that the filing was made 1999, ANR Pipeline Company (ANR) pursuant to CIG’s FERC Gas Tariff, First tendered for filing as part of its FERC ANR Pipeline Company; Notice of Revised Volume No. 1, General Terms Gas Tariff, Second Revised Volume No. Proposed Changes in FERC Gas Tariff and Conditions, Article 21.5 (Account 1, the following tariff sheets proposed to December 3, 1999. No. 858 Stranded Costs). become effective December 1, 1999: Take notice that on November 30, CIG states that copies of the filing Fortieth Revised Sheet No. 8 were served upon the company’s Fortieth Revised Sheet No. 9 1999, ANR Pipeline Company (ANR) tendered for filing as part of its FERC jurisdictional firm customers and Thirty-ninth Revised Sheet No. 13 interested state commissions. Forty-eighth revised Sheet No. 18 Gas Tariff, Second Revised Volume No. Any person desiring to be heard or to ANR states that the above-referenced 1, the following tariff sheet proposed to protest said filing should file a motion tariff sheets are being filed to implement become effective January 1, 2000: to intervene or a protest with the recovery of approximately $1.8 million 1st Revised Twenty-Fifth Revised Sheet No. Federal Energy Regulatory Commission, of above-market costs that are associated 17 888 First Street, NE., Washington, DC with its obligations to Dakota 20426, in accordance with sections Gasification Company (Dakota). ANR ANR states that the purpose of this 385.214 or 385.211 of the Commission’s proposes a reservation surcharge filing is to establish the revised Gas Rules and Regulations. All such motions applicable to its part 284 firm Research Institute surcharges approved or protests must be filed in accordance transportation customers to collect in the Commission’s September 29, with section 154.210 of the ninety percent (90%) of the Dakota 1999 order at Docket No. RP99–323– Commission’s Regulations. Protests will costs, and an adjustment to the 000. be considered by the Commission in maximum base tariff rates of Rate Any person desiring to be heard or to determining the appropriate action to be Schedule ITS and overrun rates protest said filing should file a motion taken, but will not serve to make applicable to Rate Schedule FTS–2, so to intervene or a protest with the protestants parties to the proceedings. as to recover the remaining ten percent Federal Energy Regulatory Commission, Any person wishing to become a party (10%). ANR also advises that the 888 First Street, NE., Washington, DC must file a motion to intervene. Copies proposed changes would decrease of this filing are on file with the current quarterly Above-Market Dakota 20426, in accordance with sections 385.214 or 385.211 of the Commission’s Commission and are available for public Cost recoveries from $2,156,641 to inspection in the Public Reference rules and regulations. All such motions $1,796,681, based primarily on a one- Room. This filing may be viewed on the or protests must be filed in accordance time refund from Northern Natural Gas web at http://www.ferc.fed.us/online/ Company. with section 154.210 of the rims.htm (call 202–208–2222 for Any person desiring to be heard or to Commission’s regulations. Protests will assistance). be considered by the Commission in protest said filing should file a motion Linwood A. Watson, Jr., determining the appropriate action to be to intervene or a protest with the Acting Secretary. Federal Energy Regulatory Commission, taken, but will not serve to make [FR Doc. 99–31848 Filed 12–8–99; 8:45 am] 888 First Street, NE, Washington, DC protestants parties to the proceedings. 20426, in accordance with sections Any person wishing to become a party BILLING CODE 6717±01±M 385.214 or 385.211 of the Commission’s must file a motion to intervene. Copies rules and regulations. All such motions of this filing are on file with the DEPARTMENT OF ENERGY or portests must be filed in accordance Commission and are available for public with section 154.210 of the inspection in the Public Reference Federal Energy Regulatory Commission’s regulations. Protests will Room. This filing may be viewed on the Commission be considered by the Commission in web at http://www.ferc.fed.us/online/ [Docket No. RP00±102±000] determining the appropriate action to be rims.htm (call 202–208–2222 for taken, but will not serve to make assistance). Columbia Gas Transmission protestants parties to the proceedings. Linwood A. Watson, Jr., Corporation; Notice of Proposed Any person wishing to become a party Changes in FERC Gas Tariff must file a motion to intervene. Copies Acting Secretary. of this filing are on file with the [FR Doc. 99–31847 Filed 12–8–99; 8:45 am] December 3, 1999. Commission and are available for public BILLING CODE 6717±01±M Take notice that on December 1, 1999, inspection in the Public Reference Columbia Gas Transmission Corporation

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(Columbia) tendered for filing as part of DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY its FERC Gas Tariff, Second Revised Volume No. 1, the following revised Federal Energy Regulatory Federal Energy Regulatory tariff sheets to become effective January Commission Commission 1, 2000: [Docket No. PR00±5±000] [Docket No. RP00±103±000] Fortieth Revised Sheet No. 25 Fortieth Revised Sheet No. 26 Columbia Gulf Transmission Coral Mexico Pipeline, LLC; Notice of Fortieth Revised Sheet No. 27 Company; Notice of Proposed Petition for Rate Approval Thirty-seventh Revised Sheet No. 28 Changes in FERC Gas Tariff December 3, 1999. Columbia states that this filing is December 3, 1999. Take notice that on November 29, being submitted in accordance with the 1999, Coral Mexico Pipeline, LLC Take notice that on December 1, 1999, Federal Energy Regulatory (Coral), a new intrastate pipeline Columbia Gulf Transmission Company Commission’s (Commission) order company, filed a Petition for Rate (Columbia Gulf) tendered for filing as issued on September 29, 1999 in Gas Approval (Petition) pursuant to Section part of this FERC Gas Tariff, Second 284.123(b)(2) of the Commission’s Research Institute’s (GRI) Docket No. Revised Volume No. 1, the following RP99–323–000 (Order Approving regulations, 18 CFR 284.123(b)(2). In the revised tariff sheets, to become effective Petition, Coral requests the Commission Settlement) (88 FERC 61,293), and in January 1, 2000: accordance with Section 33 of the to approve: (1) a two-part maximum General Terms and Conditions of its Twenty-second Revised Sheet No. 18 firm transportation rate consisting of a Twelfth Revised Sheet No. 18A demand charge of $6.5612 per MMBtu FERC Gas Tariff, Columbia is submitting Twenty-third Revised Sheet No. 19 revised tariff sheets to reflect the 2000 of reserved Maximum Daily Transportation Quantity, and a GRI funding mechanism. Columbia Gulf states that this filing is being submitted in accordance with the commodity charge of $0.00 per MMBtu Columbia states further that copies of Federal Energy Regulatory of gas transported; and (2) a maximum this filing have been mailed to all of its Commission’s (Commission) order interruptible rate of $0.2157 per MMBtu customers and affected state regulatory issued on September 29, 1999 in Gas of gas transported. Coral further commissions. Research Institute’s (GRI) Docket No. proposes to retain as reimbursement for Any person desiring to be heard or to RP99–323–000 (Order Approving compressor fuel varying amounts protest said filing should file a motion Settlement) (88 FERC ¶ 61,293), and in ranging between 0.57% to 1.55%, to intervene or a protest with the accordance with Section 33 of the depending on the Points of Redelivery Federal Energy Regulatory Commission, General Terms and Conditions of its used. 888 First Street, NE, Washington, DC FERC Gas Tariff, Columbia Gulf is Coral states that the foregoing postage 20426, in accordance with sections submitting revised tariff sheets to reflect stamp rates will, if approved by the Commission, be applicable to firm and 385.214 or 385.211 of the Commission’s the 1999 GRI funding mechanism. interruptible transportation services to Rules and Regulations. All such motions Columbia Gulf states further that copies of this filing have been mailed to be provided by Coral pursuant to or protests must be filed in accordance section 311(a)(2) of the Natural Gas with section 154.210 of the all of its customers and affected state regulatory commissions. Policy Act through a new pipeline to be Commission’s Regulations. Protests will constructed, owned and operated by be considered by the Commission in Any person desiring to be heard or to Coral (the Import/Export Facility), and determining the appropriate action to be protest said filing should file a motion through pipeline capacity to be leased taken, but will not serve to make to intervene or a protest with the by Coral (the Leased Capacity). The protestants parties to the proceedings. Federal Energy Regulatory Commission, Import/Export Facility will consist of Any person wishing to become a party 888 First Street, NE, Washington, DC approximately 97 miles of 24-inch must file a motion to intervene. Copies 20426, in accordance with sections pipeline that extend from the of this filing are on file with the 385.214 or 385.211 of the Commission’s International border between the United Commission and are available for public Rules and Regulations. All such motions States and Mexico to a point of inspection in the Public Reference or protests must be filed in accordance interconnection with the existing Room. This filing may be viewed on the with section 154.210 of the intrastate pipeline facilities of Tejas Gas Commission’s Regulations. Protests will web at http://www.ferc.fed.us/online/ Pipeline, L.L.C. (Tejas) located in King be considered by the Commission in rims.htm (call 202–208–2222 for Ranch, Kleberg County, Texas. The determining the appropriate action to be Leased Capacity will be capacity leased assistance). taken, but will not serve to make Linwood A. Watson, Jr., on the existing inrastate pipeline protestants parties to the proceedings. facilities of Tejas, Tejas Gas Operating, Acting Secretary. Any person wishing to become a party LLC, Gulf Energy Pipeline, LLC, and [FR Doc. 99–31860 Filed 12–8–99; 8:45 am] must file a motion to intervene. Copies Corpus Christi Transmission Company, BILLING CODE 6717±01±M of this filing are on file with the L.P. Commission and are available for public Pursuant to section 284.123(b)(2)(ii) of inspection in the Public Reference the Commission’s regulations, if the Room. This filing may be viewed on the Commission does not act within 150 web at http://www.ferc.fed.us/online/ days of the Petition’s filing date, the rims.htm (call (202) 208–2222 for rates proposed therein will be deemed assistance). to be fair and equitable and not in Linwood A. Watson, Jr., excess of an amount that interstate Acting Secretary. pipelines would be permitted to charge [FR Doc. 99–31861 Filed 12–8–99; 8:45 am] for similar services. The Commission BILLING CODE 6717±01±M may, prior to the expiration of the 150-

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69009 day period, extend the time for action or 385.214 or 385.211 of the Commission’s interruptible rates and to the usage institute a proceeding. Rules and Regulations. All such motions portion of two-part rates. In addition, Any person desiring to participate in or protests must be filed in accordance the 2000 funding mechanism includes a this rate proceeding must file a motion with section 154.210 of the volumetric charge of 1.60 cents per to intervene with the Federal Energy Commission’s Regulations. Protest will MMBtu to be applicable to all one-part Regulatory Commission, 888 First be considered by the Commission in small customer rates. This funding Street, NE, Washington, DC 20426 in determining the appropriate action to be mechanism provides for a decrease in accordance with Section 385.211 and taken, but will not serve to make GRI charges as compared to the 385.214 of the Commission’s Rules of protestants parties to the proceedings. currently effective 1999 GRI charges. Practice and Procedures. All motions Any person wishing to become a party Any person desiring to be heard or to must be filed with the Secretary of the must file a motion to intervene. Copies protest said filing should file a motion Commission on or before December 18, of this filing are on file with the to intervene or a protest with the 1999. Copies of this filing are on file Commission and are available for public Federal Energy Regulatory Commission, with the Commission and are available inspection in the Public Reference 888 First Street, NE, Washington, DC for public inspection in the Public Room. This filing may be viewed on the 20426, in accordance with sections Reference Room. This filing may be web at http://www.ferc.fed.us/online/ 385.214 or 385.211 of the Commission’s viewed on the web at http:// rims.htm (call 202–208–2222 for Rules and Regulations. All such motions www.ferc.fed.us/online/rims.htm (call assistance). or protests must be filed in accordance 202–208–2222 for assistance). Linwood A. Watson, Jr., with section 154.210 of the Commission’s Regulations. Protests will Linwood A. Watson, Jr., Acting Secretary. be considered by the Commission in Acting Secretary. [FR Doc. 99–31852 Filed 12–8–99; 8:45 am] [FR Doc. 99–31842 Filed 12–8–99; 8:45 am] determining the appropriate action to be BILLING CODE 6717±01±M BILLING CODE 6717±01±M taken, but will not serve to make protestants parties to the proceedings. Any person wishing to be become a DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY party must file a motion to intervene. Federal Energy Regulatory Copies of this filing are on file with the Federal Energy Regulatory Commission Commission and are available for public Commission inspection in the Public Reference [Docket No. RP00±91±000] Room. This filing may be viewed on the [Docket No. RP00±94±000] web at http://www.ferc.fed.us/online/ Florida Gas Transmission Company; East Tennessee Natural Gas Company; rims.htm (call 202–208–2222 for Notice of Proposed Changes in FERC assistance). Notice of Tariff Filing Gas Tariff Linwood A. Watson, Jr., December 3, 1999. December 3, 1999. Acting Secretary. Take notice that on November 30, Take notice that on November 30, [FR Doc. 99–31849 Filed 12–8–99; 8:45 am] 1999, East Tennessee Natural Gas 1999, Florida Gas Transmission BILLING CODE 6717±01±M Company (East Tennessee), tendered for Company (FGT) tendered for filing as filing as part of its FERC Gas Tariff, part of its FERC Gas Tariff, Third Second Revised Volume No. 1, Revised Volume No. 1, the following DEPARTMENT OF ENERGY Sixteenth Revised Sheet No. 4. East tariff sheets, with an effective date of Tennessee requests an effective date of January 1, 2000: Federal Energy Regulatory January 1, 2000. Commission East Tennessee states that the revised Thirty-Sixth Revised Sheet No. 8A tariff sheet is being filed in compliance Twenty-Seventh Revised Sheet No. 8A.01 [Docket No. RP00±85±000] with the March 10, 1998 Stipulation and Twenty-Eighth Revised Sheet No. 8A.02 Thirty-Second Revised Sheet No. 8B Great Lakes Gas Transmission Limited Agreement filed in Docket No. RP97– Partnership; Notice of Tariff Filing 149, et al., and approved by the Twenty-Fifth Revised Sheet No. 8B.01 Commission on April 29, 1998 (the GRI FGT states that it is filing the December 3, 1999. Settlement), and the Commission’s referenced tariff sheets pursuant to the Take notice that on November 30, ‘‘Order Approving the Gas Research January 21, 1998, Stipulation and 1999, Great Lakes Gas Transmission Institute’s Year 2000 Research, Agreement Concerning GRI Funding Limited Partnership (Great Lakes) Development and Demonstration (GRI Settlement) as approved by the tendered for filing as part of its FERC Program and 2000–2004 Five-Year Federal Energy Regulatory Commission Gas Tariff, Second Revised Volume No. Plan’’ issued on September 29, 1999 in Order issued April 29, 1998 in Docket 1, Tenth Revised Sheet No. 7 and Fifth Docket No. RP99–323. Gas Research No. RP97–199–003. The funding Revised Sheet No. 48, proposed to be Institute, 83 FRCC ¶61,093 (1998), order mechanism includes the approved GRI effective January 1, 2000. on reh’g, 83 FERC ¶61,331 (1998); Gas demand charges of 20 cents per MMBtu Great Lakes states that the tariff sheets Research Institute, 88 FERC ¶61, 293 per month (.66¢ per MMBtu stated on a described above reflect the revised (1999). East Tennessee further states daily basis underlying FGT’s reservation funding surcharges for the Gas Research that the revised tariff sheet revises the charges) to be applicable to firm Institute (GRI) for the year 2000. These Gas Research Institute surcharges for shippers with load factors exceeding surcharges were approved by the 2000. 50%, 12.3 cents per MMBtu per month Commission in its order issued Any person desiring to be heard or to (.40¢ MMBtu stated on a daily basis September 29, 1999, in which it also protest said filing should file a motion underlying FGT’s reservation charges) to approved GRI’s funding for its year 2000 to intervene or a protest with the be applicable to firm shippers with load research, development, and Federal Energy Regulatory Commission, factors of 50% or less and a volumetric demonstration (RD&D) program and its 888 First Street NE, Washington, DC charge of 0.72 cents per MMBtu to be 2000—2004 five-year RD&D plan. 88 20426, in accordance with sections applicable to all non-discounted FERC ¶61,293 (1999).

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Any person desiring to be hard or to 385.214 or 385.211 of the Commission’s determining the appropriate action to be protest said filing should file a motion Rules and Regulations. All such motions taken, but will not serve to make to intervene or a protest with the or protests must be filed in accordance protestants parties to the proceedings. Federal Energy Regulatory Commission, with section 154.210 of the Any person wishing to become a party 888 First Street, NE, Washington, DC Commission’s Regulations. Protests will must file a motion to intervene. Copies 20426, in accordance with sections be considered by the Commission in of this filing are on file with the 385.214 or 385.211 of the Commission’s determining the appropriate action to be Commission and are available for public Rules and Regulations. All such motions taken, but will not serve to make inspection in the Public Reference or protests must be filed in accordance protestants parties to the proceedings. Room. This filing may be viewed on the with section 154.210 of the Any person wishing to become a party web at http://www.ferc.fed.us/online/ Commission’s Regulations. Protests will must file a motion to intervene. Copies rims.htm (call 202–208–222 for be considered by the Commission in of this filing are on file with the assistance). determining the appropriate action to be Commission and are available for public Linwood A. Watson, Jr., taken, but will not serve to make inspection in the Public Reference Acting Secretary. protestants parties to the proceedings. Room. This filing may be viewed on the [FR Doc. 99–31863 Filed 12–8–99; 8:45 am] Any person wishing to become a party web at http://www.ferc.fed.us/online/ BILLING CODE 6717±01±M must file a motion to intervene. Copies rims.htm (call 202–208–2222 for of this filing are on file with the assistance). Commission and are a available for Linwood A. Watson, Jr., DEPARTMENT OF ENERGY public inspection in the Public Acting Secretary. Reference Room. This filing may be [FR Doc. 99–31844 Filed 12–8–99; 8:45 am] Federal Energy Regulatory viewed on the web at http:// Commission www.ferc.fed.us/online/rims.htm (call BILLING CODE 6717±01±M 202– 208–2222 for assistance). [Docket No. RP00±106±000] Linwood A. Watson, Jr., DEPARTMENT OF ENERGY Acting Secretary. KN Wattenberg Transmission LLC; [FR Doc. 99–31843 Filed 12–8–99; 8:45 am] Federal Energy Regulatory Notice of Tariff Filing Commission BILLING CODE 6717±01±M December 3, 1999. [Docket No. RP00±105±000] Take notice that on December 1, 1999, DEPARTMENT OF ENERGY KN Wattenberg Transmission LLC KN Interstate Gas Transmission Co.; (KNW) tendered for filing to become a Notice of Tariff Filing Federal Energy Regulatory part of its FERC Gas Tariff, First Revised Commission December 3, 1999. Volume No. 1, the following tariff sheet to be effective January 1, 2000. [Docket No. RP00±86±000] Take notice that on December 1, 1999, KN Interstate Gas Transmission (Co. Second Revised Sheet No. 6 Iroquois Gas Transmission System, (KNI) tendered for filing to become a KNW states that this filing is being L.P.; Notice of Proposed Changes in part of its FERC Gas Tariff, Third submitted in compliance with the FERC Gas Tariff Revised Volume No. 1–A and First Commission Letter Order in Docket No. Revised Volume No. 1–C, the following December 3, 1999. RP99–323–000 granting the new tariff sheet(s) to be effective January 1, settlement GRI surcharge rates for year Take notice that on November 30, 2000: 1999, Iroquois Gas Transmission 2000. System, L.P. (Iroquois) tendered for Third Revised Volume No. 1–A KNW states that copies of this filing filing to become part of its FERC Gas Ninth Revised Sheet No. 4–D have been served upon all affected firm Tariff, First Revised Volume No. 1, First Revised Volume No. 1–C customers of KNW and applicable state Twenty-sixth Revised Sheet No. 4. The Fourteenth Revised Sheet No. 4 agencies. proposed effective date of this revised KNI states that this filing is being Any person desiring to be heard or to tariff sheet is January 1, 2000. submitted in compliance with the protest said filing should file a motion Iroquois states that, pursuant to Part Commission Letter Order in Docket No. to intervene or a protest with the 154 of the Commission’s regulations and RP99–323–00 granting the new Federal Energy Regulatory Commission, section 12.1 of the General Terms and settlement GRI surcharge rates for year 888 First Street, NE, Washington, DC Conditions of its tariff, it is filing 2000. 20426, in accordance with section Twenty-sixth Revised Sheet No. 4 to KNI states that copies of this filing 385.214 or 385.211 of the Commission’s reflect the GRI surcharge for calendar have been served upon all affected firm Rules and Regulations. All such motions year 2000, which the Commission customers of KNI and applicable state or protests must be filed in accordance approved in an order issued on agencies. with section 154.210 of the September 29, 1999 in Docket No. Any person desiring to be heard or to Commission’s Regulations. Protests will RP99–323. protest said filing should file a motion be considered by the Commission in Iroquois states that copies of its filing to intervene or a protest with the determining the appropriate action to be were served on all jurisdictional Federal Energy Regulatory Commission, taken, but will not serve to make customers and interested state 888 First Street, NE, Washington, DC protestant parties to the proceedings. commissions. 20426, in accordance with sections Any person wishing to become a party Any person desiring to be heard or to 385.214 or 385.211 of the Commission’s must file a motion to intervene. Copies protest said filing should file a motion Rules and Regulations. All such motions of this filing are on file with the to intervene or a protest with the or protests must be filed in accordance Commission and are available for public Federal Energy Regulatory Commission, with section 154.210 of the inspection in the Public Reference 888 First Street, NE, Washington, DC Commission’s Regulations. Protests will Room. This filing may be viewed on the 20426, in accordance with section be considered by the Commission in web at http://www.ferc.fed.us/online/

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Sixteenth Revised Sheet Number 156 [FR Doc. 99–31864 Filed 12–8–99; 8:45 am] [FR Doc. 99–31853 Filed 12–8–99; 8:45 am] Fifteenth Revised Sheet Number 157 BILLING CODE 6717±01±M BILLING CODE 6717±01±M Northern Border proposes to increase the Maximum Rate from 3.643 cents per DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY 100 Dekatherm-Miles to 4.095 cents per 100 Dekatherm-Miles and to increase Federal Energy Regulatory Federal Energy Regulatory the Minimum Revenue Credit from Commission Commission 1.527 cents per 100 Dekatherm-Miles to Midwestern Gas Transmission [Docket No. ER99±2012±000] 3.095 cents per 100 Dekatherm-Miles. Company; Notice of Tariff Filing The Maximum Rate reflects Northern North American Electric Reliability Border’s rate case at Docket No. RP99– [Docket No. RP00±95±000] Council; Notice of Filing 322–000, which was suspended by the Commission in its order dated June 30, December 3, 1999. December 3, 1999. 1999 to become effective December 1, Take notice that on December 1, 1999, Take notice that on November 30, 1999. Thus, a portion of this Maximum 1999, Midwestern Gas Transmission North American Electric Reliability Rate will be billed subject to refund. In Company (Midwestern), tendered for Council (NERC), tendered for filing its accordance with the computational filing as part of its FERC Gas Tariff, Final Report on the NERC Market Second Revised Volume No. 1, Eleventh Redispatch Pilot. terms of Rate Schedule IT–1, the Revised Sheet No. 5. Midwestern Any person desiring to be heard or to increase in the Minimum Revenue requests an effective date of January 1, protest such filing should file a motion Credit (MRC) is due primarily to long 2000. to intervene or protest with the Federal term debt payments made during the Midwestern states that Eleventh Energy Regulatory Commission, 888 last six months that were not incurred Revised Sheet No. 5 is being filed in First Street, NE, Washington DC 20426, in the previous six month time-period. compliance with the March 10, 1998 in accordance with Rules 211 and 214 The revised Maximum Rate and Stipulation and agreement filed in of the Commission’s Rules of Practice Minimum Revenue Credit are being Docket No. RP97–149, et al., and and Procedure (18 CFR 385.211 and filed in accordance with Northern approved by the Commission on April 385.214). All such motions and protests Border’s Tariff provisions under Rate 29, 1998 (the GRI Settlement), and the should be filed on or before December Schedule IT–1. Commission’s ‘‘Order Approving the 21, 1999. Protests will be considered by Northern Border states that copies of Gas Research Institute’s Year 2000 the Commission to determine the this filing have been sent to all of Research, Development and appropriate action to be taken, but will Northern Border’s contracted shippers Demonstration Program and 2000–2004 not serve to make protestants parties to an interested state regulatory the proceedings. Any person wishing to Five-Year Plan’’ issued on September commissions. 29, 1999 in Docket No. RP99–323. Gas become a party must file a motion to Research Institute, 83 FERC ¶ 61,093 intervene. Copies of this filing are on Any person desiring to be heard or to (1998), order on reh’g, 83 FERC ¶ 61,331 file with the Commission and are protest said filing should file a motion (1998); Gas Research Institute, 88 FERC available for public inspection. This to intervene or a protest with the ¶ 61,293 (1999). Midwestern further filing may also be viewed on the Federal Energy Regulatory Commission, states that the revised tariff sheet revises Internet at http://www.ferc.fed.us/ 888 First Street, NE, Washington, DC the Gas Research Institute surcharges for online/rims.htm (call 202–208–2222 for 20426, in accordance with section 2000. assistance). 385.214 or 385.211 of the Commission’s Any person desiring to be heard or to Linwood A. Watson, Jr., Rules and Regulations. All such motions protest said filing should file a motion Acting Secretary. or protests must be filed in accordance to intervene or a protest with the [FR Doc. 99–31836 Filed 12–8–99; 8:45 am] with section 154.210 of the Federal Energy Regulatory Commission, BILLING CODE 6717±01±M Commission’s Regulations. Protests will 888 First Street, NE, Washington, DC be considered by the Commission in 20426, in accordance with sections determining the appropriate action to be 385.214 or 385.211 of the Commission’s DEPARTMENT OF ENERGY taken, but will not serve to make Rules and Regulations. All such motions protestants parties to the proceedings. or protests must be filed in accordance Federal Energy Regulatory Any person wishing to become a party with section 154.210 of the Commission must file a motion to intervene. Copies Commission’s Regulations. Protests will [Docket No. RP00±92±000] of this filing are on file with the be considered by the Commission in Commission and are available for public determining the appropriate action to be Northern Border Pipeline Company; inspection in the Public Reference taken, but will not serve to make Notice of Proposed Changes in FERC Room. This filing may be viewed on the protestants parties to the proceedings. Gas Tariff web at http://www.ferc.fed.us/online/ Any person wishing to become a party rims.htm (call 202–208–2222 for must file a motion to intervene. Copies December 3, 1999. assistance). of this filing are on file with the Take notice that on November 30, Commission and are available for public 1999, Northern Border Pipeline Linwood A. Watson, Jr., inspection in the Public Reference Company (Northern Border) tendered Acting Secretary. Room. This filing may be viewed on the for filing to become part of Northern [FR Doc. 99–31850 Filed 12–8–99; 8:45 am] web at http://www.ferc.fed.us/online/ Border Pipeline Company’s FERC Gas BILLING CODE 6717±01±M

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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY Second Revised Sheet No. 114 Questar’s tariff Sheet No. 5A.1 Federal Energy Regulatory Federal Energy Regulatory provides for Questar to recover certain Commission Commission take-or-pay buyout/buydown costs from [Docket No. ER99±4548±000] Questar Gas Company, formerly [Docket No. PR00±4±000] Mountain Fuel Supply Company, under PJM Interconnection L.L.C.; Notice of Account No. 191, in accordance with PG&E Gas Transmission Teco, Inc.; Filing the provisions of FERC Order No. 528 Notice of Petition for Rate Approval and 18 CFR 2.104. Questar has December 3, 1999. recovered these costs and does not December 3, 1999. Take notice that on November 30, anticipate future take-or-pay buyout/ Take notice that on November 23, 1999, PJM Interconnection, L.L.C. (PJM), buydown costs from Questar Gas 1999, PG&E Gas Transmission Teco, Inc. pursuant to the Commission’s letter Company. Therefore, this provision is (Teco) filed, pursuant to section order issued on October 28, 1999, proposed to be omitted from Questar’s 284.123(b)(2) of the Commission’s tendered for filing a letter advising the tariff. In addition, a correction has been regulations, a petition for rate approval Commission that the effective date of made to accommodate the name change requesting that the Commission approve the Interconnection Service Agreement of Mountain Fuel Supply Company to rates for interruptible parking and between PJM and Sithe Power Questar Gas Company. lending services pursuant to Section Marketing, L.P., is the date service Questar states that a copy of this filing 311(a)(2) of the Natural Gas Policy Act commences under aid Agreement. has been served upon its customers, the of 1978. Teco requests approval to Any person desiring to be heard or to Public Service Commission of Utah and protest such filing should file a motion charge a maximum rate for $0.2136 per the Public Service Commission of to intervene or protest with the Federal MMBtu, which is equal to the existing Wyoming. Energy Regulatory Commission, 888 maximum rate of interruptible Any person desiring to be heard or to First Street, NE., Washington, DC 20426, transportation recently approved by a protest said filing should file a motion in accordance with Rules 211 and 214 Commission order issued October 27, to intervene or a protest with the of the Commission’s Rules of Practice Federal Energy Regulatory Commission, 1999, in Docket No. PR99–6. Teco and Procedure (18 CFR 385.211 and proposes that the rate for parking and 888 First Street, NE, Washington, DC 385.214). All such motions and protests 20426, in accordance with sections lending service be made effective should be filed on or before December December 1, 1999. 385.214 or 385.211 of the Commission’s 20, 1999. Protests will be considered by Rules and Regulations. All such motions Pursuant to section 284.123(b)(2)(ii) of the Commission to determine the or protests must be filed in accordance the Commission’s regulations, if the appropriate action to be taken, but will with Section 154.210 of the Commission does not act within 150 not serve to make protestants parties to Commission’s Regulations. Protests will days of the filing date, the proposed rate the proceedings. Any person wishing to be considered by the Commission in for parking and lending service will be become a party must file motion to determining the appropriate action to be deemed to be fair and equitable and not intervene. Copies of this filing are on taken, but will not serve to make in excess of an amount which interstate file with the Commission and are protestants parties to the proceedings. pipelines would be permitted to charge available for public inspection. This Any person wishing to become a party for similar service. The Commission filing may also be viewed on the must file a motion to intervene. Copies may, prior to the expiration of the 150- Internet at http://www.ferc.fed.us/ of this filing are on file with the day period, extend the time for action or online/rims.htm (call 202–208–2222 for Commission and are available for public institute a proceeding in which all assistance). inspection in the Public Reference interested parties will be afforded an Linwood A. Watson, Jr., Room. This filing may be viewed on the opportunity for written comments and Acting Secretary. web at http://www.ferc.fed.us/online/ for the oral presentation of views, data [FR Doc. 99–31837 Filed 12–8–99; 8:45 am] rims.htm (call 202–208–2222 for and arguments. BILLING CODE 6717±01±M assistance). Any person desiring to participate in Linwood A. Watson, Jr., this rate proceeding must file a motion Acting Secretary. to intervene or protest with the Federal DEPARTMENT OF ENERGY [FR Doc. 99–31845 Filed 12–8–99; 8:45 am] Energy Regulatory Commission, 888 Federal Energy Regulatory BILLING CODE 6717±01±M First Street, NE., Washington, DC 20426, Commission in accordance with sections 385.211 and 385.214 of the Commission’s Rules of [Docket No. RP00±87±000] DEPARTMENT OF ENERGY Practice and Procedure. All motions must be filed with the Secretary of the Questar Pipeline Company; Notice of Federal Energy Regulatory Commission on or before December 18, Tariff Filing Commission 1999. This petition for rate approval is December 3, 1999. [Docket No. PR00±96±000] on file with the Commission and is available for public inspection. This Take notice that on November 30, Southern Natural Gas Company; filing may be viewed on the web at 1999, Questar Pipeline Company Notice of Revised Tariff Sheets http://www.ferc.fed.us/online/rims.htm tendered for filing of its FERC Gas Tariff, First Revised Volume No. 1, the December 3, 1999. (call 202–208–2222 for assistance). following tariff sheets, to be effective Take notice that on November 30, Linwood A. Watson, Jr., December 30, 1999: 1999, Southern Natural Gas Company Acting Secretary. Third Revised Sheet No. 5A.1 (Southern) tendered for filing as part of [FR Doc. 99–31840 Filed 12–8–99; 8:45 am] Eleventh Revised Sheet No. 40 its FERC Gas Tariff, Seventh Revised BILLING CODE 6717±01±M Second Revised Sheet No. 97 Volume No. 1, the following tariff

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00029 Fmt 4703 Sfmt 4700 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69013 sheets, to become effective January 1, DEPARTMENT OF ENERGY must file a motion to intervene. Copies 2000: of this filing are on file with the Federal Energy Regulatory 4th Revised Forty Eighth Revised Sheet No. Commission and are available for public 14 Commission inspection in the Public Reference 5th Revised Thirty Fourth Revised Sheet No. [Docket No. RP00±97±000] Room. This filing may be viewed on the 14a web at http://www.ferc.fed.us/online/ 4th Revised Sixty Ninth Revised Sheet No. 15 Southern Natural Gas Company; rims.htm (call 202–208–2222 for 5th Revised Fortieth Revised Sheet No. 15a Notice of Settlement Compliance Filing assistance). 4th Revised Forty Eighth Revised Sheet No. Linwood A. Watson, Jr., 16 December 3, 1999. Acting Secretary. 5th Revised Thirty Fourth Revised Sheet No. Take notice that on November 30, 16a 1999, Southern Natural Gas Company [FR Doc. 99–31855 Filed 12–8–99; 8:45 am] 4th Revised Sixty Ninth Revised Sheet No. 17 (Southern) tendered for filing as part of BILLING CODE 6717±01±M 5th Revised Fortieth Revised Sheet No. 17a 2nd Revised Thirty Fourth Revised Sheet No. its FERC Gas Tariff, Seventh Revised 18 Volume No. 1, the following tariff sheets DEPARTMENT OF ENERGY 3rd Revised Sixteenth Revised Sheet No. 18a to become effective January 1, 2000: Federal Energy Regulatory Section 14.2 of Southern’s Tariff Fourth Revised Thirty-Fourth Revised Sheet No. 14A Commission provides for an annual reconciliation of Fourth Revised Fortieth Revised Sheet No. Southern storage costs to reflect 15A [Docket No. RP00±98±000] differences between the cost to Southern Fourth Revised Thirty-fourth Revised Sheet of its storage gas inventory and the No. 16A Southern Natural Gas Company; amount Southern receives for such gas Fourth Revised Fortieth Revised Sheet No. Notice of Proposed Changes to FERC arising out of (i) the purchase and sale 17A Gas Tariff of such gas in order to resolve shipper Second Revised Sixteenth Revised Sheet No. 18A December 3, 1999. imbalances; and (ii) the purchase and Take notice that on November 30, sale of gas as inventory to maintain an Southern asserts that the purpose of 1999, Southern Natural Gas Company appropriate level of storage gas this filing is to comply with the (Southern) tendered for filing to become inventory for system management Commission’s Order issued on part of its FERC Gas Tariff, Seventh purposes. In the instant filing, Southern September 29, 1995, which approved Revised Volume No. 1, the following submits the rate surcharge to the the Stipulation and Agreement tariff sheets: transportation component of its rates (Settlement) filed by Southern on March under Rate Schedules FT, FT–NN, and 15, 1995 in Docket Nos. RP89–224–012, Tariff Sheets Applicable to Contesting IT resulting from the fixed and realized et al. In accordance with Article VII of Parties losses it has incurred from the purchase the Settlement, Southern has made this Second Revised Forty-eighth Revised Sheet and sale of its storage gas inventory. filing to recover a GSR volumetric No. 14 surcharge based on amounts not Second Revised Sixty-ninth Revised Sheet Southern states that copies of the No. 15 filing were served upon Southern’s received during 1999. Second Revised Forty-eighth Revised Sheet customers and interested state Paragraph 17 of Article VII of the No. 16 commissions. Settlement provides for Southern to file Second Revised Sixty-ninth Revised Sheet Any person desiring to be heard or to by December 1 of each year to collect No. 17 protest said filing should file a motion unrecovered gas supply realignment First Revised Thirty-fourth Revised Sheet No. 18 to intervene or a protest with the (GSR) costs through its GSR volumetric Federal Energy Regulatory Commission, surcharge, to be effective for the parties Tariff Sheets Applicable to Settling Parties 888 First Street, NE, Washington, DC supporting the Settlement beginning January 1 of the following year. The Second Revised Thirty-fourth Revised Sheet 20426, in accordance with sections No. 14a 385.214 or 385.211 of the Commission’s proposed GSR volumetric surcharge of Second Revised Fortieth Revised Sheet No. Rules and Regulations. All such motions $.0004/Dth reflects an increase from the 15a or protests must be filed in accordance $.0002/Dth surcharge currently in effect. Second Revised Thirty-fourth Revised Sheet Southern states that copies of the with section 154.210 of the No. 16a filing were served upon Southern’s Second Revised Fortieth Revised Sheet No. Commission’s Regulations. Protests will customers, intervening parties and 17a be considered by the Commission in interested state commissions. First Revised Sixteenth Revised Sheet No. determining the appropriate action to be Any person desiring to be heard or to 18a taken but will not serve to make protest said filing should file a motion First Revised Sixth Revised Sheet No. 22 protestants parties to the proceedings. to intervene or a protest with the Southern states that the proposed Any person wishing to become a party Federal Energy Regulatory Commission, tariff sheets implement the Gas Research must file a motion to intervene. Copies 888 First Street, NE, Washington, DC Institute’s (GRI) revised surcharges for of this filing are on file with the 20426, in accordance with sections 2000. The 2000 GRI Funding Formula Commission and are available for public 385.214 or 385.211 of the Commission’s consists of surcharges (i) .72¢ per Dth inspection in the Public Reference Rules and Regulations. All such motions applicable to the commodity/usage Room. This filing may be viewed on the or protests must be filed in accordance portion of firm service rates and to web at http://www.ferc.fed.us/online/ with section 154.210 of the interruptible rates and (ii) either 20.0¢ rims.htm (call 202–208–2222 for Commission’s Regulations. Protests will per Dth for high load factor customers assistance). be considered by the Commission in or 12.3¢ per Dth for low load factor Linwood A. Watson, Jr., determining the appropriate action to be customers on the demand/reservation Acting Secretary. taken, but will not serve to make component of firm service rates. The [FR Doc. 99–31854 Filed 12–8–99; 8:45 am] protestants parties to the proceedings. 2000 GRI Funding Formula provides for BILLING CODE 6717±01±M Any person wishing to become a party a surcharge of 1.6¢ per Dth on service

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69014 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices rates for small customers. The Southern sets forth in the filing its the Commission’s rules of practice and Commission authorized these revised demand surcharges for the procedure (18 CFR 385.211 and surcharges in Docket No. RP99–323–000 recovery of Order No. 636 transition 385.214). All such motions and protests to be effective January 1, 2000. Gas costs associated with Southern LNG Inc. should be filed on or before December Research Institute, 88 FERC 61,293 from the period August 1, 1999 through 20, 1999. Protests will be considered by (1999). Consistent with the October 31, 1999. These costs have the Commission to determine the Commission’s order, Southern has arisen as a direct result of restructuring appropriate action to be taken, but will proposed these tariff sheets to be under Order No. 636. not serve to make protestants parties to effective January 1, 2000. Southern states that copies of the the proceedings. Any person wishing to Any person desiring to be heard or to filing were served upon Southern’s become a party must file a motion to protest said filing should file a motion customers and interested state intervene. Copies of this filing are on to intervene or a protest with the commissions. file with the Commission and are Federal Energy Regulatory Commission, Any person desiring to be heard or to available for public inspection. This 888 First Street, NE, Washington, DC protest said filing should file a motion filing may also be viewed on the 20426, in accordance with sections to intervene or a protest with the Internet at http://www.ferc.fed.us/ 385.214 or 385.211 of the Commission’s Federal Energy Regulatory Commission, online/rims.htm (call 202–208–2222 for Rules and Regulations. Protests will be 888 First Street, NE, Washington, DC assistance). considered by the Commission in 20426, in accordance with sections Linwood A. Watson, Jr., 385.214 or 385.211 of the Commission’s determining the appropriate action to be Acting Secretary. taken, but will not serve to make Rules and Regulations. All such motions or protests must be filed in accordance [FR Doc. 99–31835 Filed 12–8–99; 8:45 am] protestants parties to the proceedings. BILLING CODE 6717±01±M Any person wishing to become a party with section 154.210 of the must file a motion to intervene. Copies Commission’s Regulations. Protests will be considered by the Commission in of this filing are on file with the DEPARTMENT OF ENERGY Commission and are available for public determining the appropriate action to be inspection in the Public Reference taken, but will not serve to make Federal Energy Regulatory Room. This filing may be viewed on the protestants parties to the proceedings. Commission Any person wishing to become a party web at http://www.ferc.fed.us/online/ [Docket No. RP00±104±000] rims.htm (call 202–208–222 for must file a motion to intervene. Copies of this filing are on file with the assistance). TCP Gathering Company; Notice of Commission and are available for public Linwood A. Watson, Jr., inspection in the Public Reference Tariff Filing Acting Secretary. Room. This filing may be viewed on the December 3, 1999. [FR Doc. 99–31856 Filed 12–8–99; 8:45 am] web at http://www.ferc.fed.us/online/ Take notice that on December 1, 1999, BILLING CODE 6717±01±M rims.htm (call 202–208–2222 for TCP Gathering Company (TCP) tendered assistance). for filing to become a part of its FERC Linwood A. Watson, Jr., DEPARTMENT OF ENERGY Gas Tariff, Original Volume No. 1, the Acting Secretary. following tariff sheets to be effective Federal Energy Regulatory [FR Doc. 99–31857 Filed 12–8–99; 8:45 am] January 1, 2000. Commission BILLING CODE 6717±01±M Fourth Revised Sheet No. 6 TCP states that this filing is being [Docket No. RP00±99±000] DEPARTMENT OF ENERGY submitted in compliance with the Southern Natural Gas Company; Commission Letter Order in Docket No. Notice of Cost Recovery Filing Federal Energy Regulatory RP99–323–000 granting the new Commission settlement GRI surcharge rates for year December 3, 1999. 2000. [Docket No. EL99±95±000] Take notice that on November 30, TCP states that copies of this filing 1999, Southern Natural Gas Company Southwest Power Pool, Inc.; Notice of have been served upon all affected firm (Southern) tendered for filing as part of Filing customers of TCP and applicable state its FERC Gas Tariff, Seventh Revised agencies. Volume No. 1, the following tariff sheets December 3, 1999. Any person desiring to be heard or to with the proposed effective date of Take notice that on November 29, protest said filing should file a motion January 1, 2000. 1999, Southwest Power Pool, Inc. filed to intervene or a protest with the Federal Energy Regulatory Commission, Third Revised Forty-Eighth Revised Sheet a letter notifying the Commission that No. 14 SPP seeks to withdraw its request to 888 First Street, NE, Washington, DC Third Revised Thirty-Fourth Revised Sheet terminate its service agreements with 20426, in accordance with sections No. 14A UtiliCorp United, Inc. and Sunflower 385.214 or 385.211 of the Commission’s Third Revised Sixty-Ninth Revised Sheet No. Electric Corporation (individually, Rules and Regulations. All such motions 15 UtiliCorp and Sunflower, and or protests must be filed in accordance Third Revised Fortieth Revised Sheet No. collectively Respondents), contained in with section 154.210 of the 15A Section VI of its Complaint submitted in Commission’s Regulations. Protests will Third Revised Forty-Eighth Revised Sheet this proceeding on September 30, 1999. be considered by the Commission in No. 16 Any person desiring to be heard or to determining the appropriate action to be Third Revised Thirty-Fourth Revised Sheet No. 16A protest such filing should file a motion taken, but will not serve to make Third Revised Sixty-Ninth Revised Sheet No. to intervene or protest with the Federal protestants parties to the proceedings. 17 Energy Regulatory Commission, 888 Any person wishing to become a party Third Revised Fortieth Revised Sheet No. First Street, NE, Washington DC 20426, must file a motion to intervene. Copies 17A in accordance with rules 211 and 214 of of this filing are on file with the

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Commission and are available for public web at http://www.ferc.fed.us/online/ DEPARTMENT OF ENERGY inspection in the Public Reference rims.htm (call 202–208–2222 for Room. This filing may be viewed on the assistance). Federal Energy Regulatory web at http://www.ferc.fed.us/online/ Linwood A. Watson, Jr., Commission rims.htm (call 202–208–2222 for Acting Secretary. assistance). [FR Doc. 99–31851 Filed 12–8–99; 8:45 am] [Docket No. RP00±101±000] Linwood A. Watson, Jr., Acting Secretary. BILLING CODE 6717±01±M Williams Gas Pipelines Central, Inc.; [FR Doc. 99–31862 Filed 12–8–99; 8:45 am] Notice of Proposed Changes in FERC BILLING CODE 6717±01±M DEPARTMENT OF ENERGY Gas Tariff December 3, 1999. Federal Energy Regulatory DEPARTMENT OF ENERGY Commission Take notice that on November 30, 1999, Williams Gas Pipelines Central, Federal Energy Regulatory Commission [Docket No. RP00±100±000] Inc. (Williams), tendered for filing to become part of its FERC Gas tariff, [Docket No. RP00±93±000] Tennessee Gas Pipeline Company; Original Volume No. 1, the following tariff sheet, with the proposed effective Tennessee Gas Pipeline Company; Notice of Cashout Report date of January 1, 2000: Notice of Tariff Filing December 3, 1999. Fifteenth Revised Sheet No. 6A December 3, 1999. Take notice that on November 30, Take notice that on November 30, 1999, Tennessee Gas Pipeline Company Williams states that pursuant to Order 1999, Tennessee Gas Pipeline Company (Tennessee) tendered for filing its sixth Approving Settlement, issued April 29, (Tennessee), tendered for filing as part annual cashout report for the September 1998, in Docket No. RP97–391–002, et of its FERC Gas Tariff, the revised tariff 1998 through August 1999 period. al. and Williams FERC Gas Tariff, sheets listed on Appendix A to the Original Volume No. 1, Article 25, Tennessee states that the cashout filing. Tennessee requests an effective Williams is filing to reflect the new GRI report is the first filed by Tennessee date of January, 1, 2000. surcharges to be collected on under the new cashout reconciliation Tennessee states that the revised tariff nondiscounted transportation services. sheets are being filed in compliance methodology established pursuant to with the March 10, 1998 Stipulation and the March 25, 1999 cashout settlement Williams states that a copy of its filing Agreement filed in Docket No. RP97– on the Tennessee system. The cashout was served on all of Williams’ 149, et al., and approved by the report reflects a net cashout loss during jurisdictional customers and interested Commission on April 29, 1998 (the GRI the period of $1,580,009. Pursuant to state commissions. Settlement), and the Commission’s the cashout settlement, there is no Any person desiring to be heard or to ‘‘Order Approving the Gas Research cumulative loss carryforward from prior protest said filing should file a motion Institute’s Year 2000 Research, cashout operations. to intervene or a protest with the Development and Demonstration Any person desiring to be heard or to Federal Energy Regulatory Commission, Program and 2000–2004 Five-Year 888 First Street, NE, Washington, DC Plan’’ issued on September 29, 1999 in protest said filing should file a motion 20426, in accordance with sections Docket No. RP99–323. Gas Research to intervene or a protest with the 385.214 or 385.211 of the Commission’s Institute, 83 FERC ¶61,093 (1998), order Federal Energy Regulatory Commission, on reh’g, 83 FERC ¶61,331 (1998); Gas 888 First Street, NE, Washington, DC Rules and Regulations. All such motions Research Institute, 88 FERC ¶61,293 20426, in accordance with sections or protests must be filed in accordance (1999). Tennessee further states that the 385.214 or 385.211 of the Commission’s with section 154.210 of the revised tariff sheets revise the Gas Rules and Regulations. All such motions Commission’s Regulations. Protests will Research Institute surcharges for 2000. or protests must be filed on or before be considered by the Commission in Any person desiring to be heard or to December 10, 1999. Protests will be determining the appropriate action to be protest said filing should file a motion considered by the Commission in taken, but will not serve to make to intervene or a protest with the determining the appropriate action to be protestants parties to the proceedings. Federal Energy Regulatory Commission, taken, but will not serve to make Any person wishing to become a party 888 First Street, NE, Washington, DC protestants parties to the proceedings. must file a motion to intervene. Copies 20426, in accordance with sections Any person wishing to become a party of this filing are on file with the 385.214 or 385.211 of the Commission’s must file a motion to intervene. Copies Commission and are available for public Rules and Regulations. All such motions of this filing are on file with the inspection in the Public Reference or protests must be filed in accordance Commission and are available for public Room. This filing may be viewed on the with section 154.210 of the inspection in the Public Reference web at http//www.ferc.fed.us/online/ Commission’s Regulations. Protests will Room. This filing may be viewed on the rims.htm (call 202–208–2222 for be considered by the Commission in assistance). determining the appropriate action to be web at http://www.ferc.fed.us/online/ taken, but will not serve to make rims.htm (call 202–208–2222 for Linwood A. Watson, Jr., protestants parties to the proceedings. assistance). Acting Secretary. Any person wishing to become a party Linwood A. Watson, Jr., [FR Doc. 99–31859 Filed 12–8–99; 8:45 am] must file a motion to intervene. Copies Acting Secretary. BILLING CODE 6717±01±M of this filing are on file with the [FR Doc. 99–31858 Filed 12–8–99; 8:45 am] Commission and are available for public BILLING CODE 6717±01±M inspection in the Public Reference Room. This filing may be viewed on the

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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY

Federal Energy Regulatory Federal Energy Regulatory Federal Energy Regulatory Commission Commission Commission Notice of Application and Applicant [Docket No. RP00±107±000] [Project No. 2232±383, North and South Prepared Environmental Assessment Carolina] Williston Basin Interstate Pipeline Accepted for Filing; Requesting Interventions and Protests; Company; Notice of Proposed Duke Energy Corporation; Notice of Establishing Procedural Schedule and Changes in FERC Gas Tariffs Availability of Final Environmental Final Amendment Deadline; Assessment December 3, 1999. Requesting Comments, Final Terms December 3, 1999. and Conditions, Recommendations Take notice that on December 1, 1999, and Prescriptions; Requesting Reply Williston Basin Interstate Pipeline In accordance with the National Comments Company (Williston Basin), tendered for Environmental Policy Act of 1969 and filing revised tariff sheets to its FERC the Federal Energy Regulatory December 3, 1999. Gas Tariff, Second Revised Volume No. Commission’s regulations, 18 CFR part Take notice that the following 1 and Original Volume No. 2 to become 380 (Order No. 486, 52 FR 47910), the hydroelectric application has been filed effective January 1, 2000. Office of Hydropower Licensing has with the Commission. An Applicant- Prepared Environmental Assessment Williston Basin states that the base prepared a final environmental (APEA) for the Upper Menominee River tariff rates reflected on the proposed assessment (FEA) for a proposal to grant an easement to Sailview Properties, LLC Basin Projects, which includes the tariff sheets listed on Appendix A to the project below, has been filed with the filing, are based on a cost of service for to construct and use commercial/ residential piers and a community Commission. Both documents are the twelve months ended July 31, 1999, available for public inspection. as adjusted for changes which are marina with a total of 186 boat slips. The proposed action would be located a. Type of Application: Surrender of known and measurable with reasonable License. at the existing Sailview Subdivision in accuracy during a nine month b. Project No.: 2471–005. Catawba Springs Township along the adjustment period ending April 30, c. Date filed: October 1, 1999. 2000. Williston Basin further states that western shoreline of Lake Norman near d. Applicant: Wisconsin Electric the proposed base tariff rates, when the intersection of NC State Road 1377 Power Company (Wisconsin Electric). compared with the rates filed on and NC State Road 1376 in Lincoln e. Name of Project: Sturgeon. November 12, 1999, in Docket Nos. County, North Carolina. f. Location: The project is located on RP92–236–000, et al., are designed to The FEA is attached to a Commission the Sturgeon River, a tributary of the produce an annual jurisdictional order issued on November 30, 1999 for Menominee River, in Dickinson County, revenue increase of approximately $13.4 the above application. Copies of the Michigan. The project does not utilize million. FEA can be obtained by calling the Federal or tribal lands. Commission’s Public Reference Room at g. Filed Pursuant to: Federal Power Any person desiring to be heard or to Act 16 U.S.C. 791(a)–825(r). protest said filing should file a motion (202) 208–1371. This filing may be viewed on http://www.ferc.fed.us/ h. Applicant Contacts: Ms. Rita L. to intervene or a protest with the Hayen, P.E., Project Manager, Hydro Federal Energy Regulatory Commission, online/rims.htm (call (202) 208–2222 for assistance). In the FEA, staff concludes Licensing, Wisconsin Electric Power 888 First Street, NE, Washington, DC Company, 231 West Michigan Street, that approval of the licensee’s proposal 20426, in accordance with section P.O. Box 2046, Milwaukee, WI 53201– would not constitute a major Federal 385.214 or 385.211 of the Commission’s 2046, (414) 221–2413, action significantly affecting the quality Rules and Regulations. All such motions rita.hayen@wepco. com or David K. or protests must be filed in accordance of the human environment. For further Porter, Senior Vice President, Wisconsin with section 154.210 of the information, please contact the project Electric Power Company, 231 West Commission’s Regulations. Protests will manager, Brian Romanek at (202) 219– Michigan Street, P.O. Box 2046, be considered by the Commission in 3076. Milwaukee, WI 53201–2046, (414) 221– determining the appropriate action to be Linwood A. Watson, Jr., 2500. taken, but will not serve to make Acting Secretary. i. FERC Contact: Any questions on protestants parties to the proceedings. [FR Doc. 99–31841 Filed 12–8–99; 8:45 am] this notice should be addressed to Tom Any person wishing to become a party BILLING CODE 6717±01±M Papsidero at (202) 219–2715, or e-mail must file a motion to intervene. Copies address: Thomas. [email protected]. of this filing are on file with the j. Deadline for filing motions to Commission and are available for public intervene, protests, comments, final inspection in the Public Reference terms and conditions, Room. This filing may be viewed on the recommendations, and prescriptions: 60 days from the issuance date of this web at http://www.ferc.fed.us/online/ notice. rims.htm (call 202–208–2222 for All documents (original and eight assistance). copies) should be filed with: David P. Linwood A. Watson, Jr., Boergers, Secretary, Federal Energy Acting Secretary. Regulatory Commission, 888 First St. [FR Doc. 99–31865 Filed 12–8–99; 8:45 am] NE, Washington, DC 20426. Please BILLING CODE 6717±01±M include the project number (2471–005) on any filings.

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The Commission’s Rules of Practice 2A, Washington, DC 20426, or by calling required by the Commission’s and Procedure require all interveners (202) 208–1371. The application may be regulations to: Secretary, Federal Energy filing documents with the Commission viewed on the web at www.ferc.fed.us. Regulatory Commission, 888 First to serve a copy of that document on Call (202) 208–2222 for assistance. A Street, NE, Washington, DC 20426. An each person whose name appears on the copy is also available for inspection and additional copy must be sent to: official service list for the project. reproduction at the address in item h Director, Division of Licensing and Further, if an intervenor files comments above. Compliance, Office of Hydropower or documents with the Commission o. Protests or Motions to Intervene— Licensing, Federal Energy Regulatory Anyone may submit a protest or a relating to the merits of an issue that Commission, at the above address. Each motion to intervene in accordance with may affect the responsibilities of a filing must be accompanied by proof of particular resource agency, the the requirements of the Rules of Practice service on all persons listed on the intervenor must also serve a copy of the and Procedures, 18 CFR 385.210, document on that resource agency. 385.211, 385.214. In determining the service list prepared by the Commission k. Status of Environmental Analysis: appropriate action to take, the in this proceeding, in accordance with On March 25, 1996, the Director, Office Commission will consider all protests 18 CFR 4.34(b) and 385.2010. of Hydropower Licensing, approved filed, but only those who file a motion r. Individuals desiring to be included Wisconsin Electric’s use of the to intervene in accordance with the on the Commission’s mailing list should Alternative Licensing Process. Scoping, Commission’s Rules may become a so indicate by writing to the Secretary pursuant to the National Environmental party to the proceeding. Any protests or of the Commission. Policy Act of 1969 as amended, for the motions to intervene must be received Comments, Protests, or Motions to project was conducted through scoping on or before the specified deadline date documents issued in July 1996 and for the particular application and APEA. Intervene—Anyone may submit January 1997, and in public scoping p. Filing and Service of Responsive comments, a protest, or a motion to meetings on September 16 and 17, 1996. Documents—The Commission is intervene in accordance with the The draft license application and APEA requesting comments, requirements of Rules of Practice and were distributed by the applicant for recommendations, terms and Procedure, 18 CFR 385.210, 385.211, comment on October 20, 1998. conditions, prescriptions, and reply 385.214. In determining the appropriate The Commission staff has reviewed comments. action to take, the Commission will the license application and APEA and The Commission directs, pursuant to consider all protests or other comments has determined that the application is 18 CFR 4.34(b) of the regulations, that filed, but only those who file a motion acceptable for processing and no all comments, recommendations, terms to intervene in accordance with the additional information or studies are and conditions, and prescriptions Commission’s Rules may become a needed to prepare the Commission’s concerning the application and APEA party to the proceeding. Any comments, environmental assessment. Comments be filed with the Commission within 60 protests, or motions to intervene must as indicated above, are being requested days from the issuance date of this be received on or before the specified from interested parties. The applicant notice. All reply comments must be comment date for the particular filed with the Commission within 105 will have 45 days following the end of application. this period to respond to those days from the date of this notice. comments, or may elect to seek a waiver Anyone may obtain an extension of Filing and Service of Responsive of this deadline. time for these deadlines from the Documents—Any filings must bear in l. Description of Project: The project Commission only upon a showing of all capital letters the title consists of the following: (1) a 217-foot- good cause or extraordinary ‘‘COMMENTS’’, RECOMMENDATIONS long, 53-foot-high concrete arch dam, a circumstances in accordance with 18 FOR TERMS AND CONDITIONS’’, 14-foot-wide pen stock intake, and a 7.5 CFR 385.2008. ‘‘PROTEST’’, or ‘‘MOTION TO -foot-wide trash gate; (2) a reservoir of q. All filings must: (1) bear in all INTERVENE’’, as applicable, and the 248 acres; (3) a 240-foot-long, 7-foot- capital letters the title ‘‘PROTEST,’’ Project Number of the particular diameter tunnel which connects to a 48- ‘‘MOTION TO INTERVENE,’’ application to which the filing refers. foot-long, 7-foot-diameter penstock; (4) a ‘‘COMMENTS,’’ Any of the above-named documents 34-foot long by 21-foot-wide power ‘‘RECOMMENDATIONS,’’ ‘‘TERMS must be filed by providing the original AND CONDITIONS,’’ house with an installed capacity of and the number of copies provided by ‘‘PRESCRIPTIONS,’’ or ‘‘REPLY 800kW; (5) a transmission line the Commission’s regulations to: The connection; and (6) appurtenant COMMENTS;’’ (2) set forth in the heading the name of the applicant and Secretary, Federal Energy Regulatory facilities. Commission, 888 First Street, NE, m. Description of Action: Wisconsin the project number of the application Electric requests to surrender the license and APEA to which the filing responds; Washington, DC 20426. A copy of any for this constructed project for economic (3) furnish the name, address, and motion to intervene must also be served reasons and as an enhancement of river telephone number of the person upon each representative of the resources, as part of a negotiated submitting the filing; and (4) otherwise Applicant specified in the particular settlement concerning resource comply with the requirements of 18 CFR application. management and power generation 385.2001 through 385.2005. All Agency Comments—Federal, state issues in the Upper Menominee River comments, recommendations, terms and and local agencies are invited to file Basin. The licensee is also requesting an conditions or prescriptions must set comments on the described application. order directing the removal of the forth their evidentiary basis and A copy of the application may be Sturgeon Project within seven years. otherwise comply with the requirements obtained by agencies directly from the n. Locations of the application: A of 18 CFR 4.34(b). Agencies may obtain Applicant. If an agency does not file copy of the application is available for copies of the application and APEA comments within the time specified for inspection and reproduction at the directly from the applicant. Any of these filing comments, it will be presumed to Commission’s Public Reference Room, documents must be filed by providing have no comments. One copy of an located at 888 First Street, N.E., Room the original and the number of copies

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69018 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices agency’s comments must also be sent to the FPA, whichever comes first. If Exempt off-the-record the Applicant’s representatives. issuance of a new license (or other communications will be included in the Linwood A. Watson, Jr., disposition) does not take place on or decisional record of the proceeding, Acting Secretary. before November 30, 2000, notice is unless the communication was with a [FR Doc. 99–31838 Filed 12–8–99; 8:45 am] hereby given that, pursuant to 18 CFR cooperating agency as described by 40 BILLING CODE 6717±01±M 16.18(c), an annual license under CFR 1501.6, made under 18 CFR section 15(a)(1) of the FPA is renewed 385.2201(e)(1)(v). automatically without further order or The following is a list of exempt and DEPARTMENT OF ENERGY notice by the Commission, unless the prohibited off-the-record Commission orders other otherwise. communications received in the Office Federal Energy Regulatory If the project is not subject to Section of the Secretary within the preceding 14 Commission 15 of the FPA, notice is hereby given days. The documents may be viewed on that Merrimac Paper Company Inc. is [Project No. 2928] the Internet at http://www.ferc.fed.us/ authorized to continue operation of the online/rims.htm (call 202–208–2222 for Merrimac Paper Company Inc.; Notice Merrimac Project No. 2928 until such assistance). time as the Commission acts on its of Authorization for Continued Project Exempt Operation application for subsequent license. Linwood A. Watson, Jr., 1. CP98–150–000 and CP98–151–000: December 3, 1999. Acting Secretary. 11/23/99, Jeff Shenot. On September 29, 1997, Merrimac [FR Doc. 99–31839 Filed 12–8–99; 8:45 am] 2. Project Nos. 2699 and 2019: 11/22/ Paper Company Inc., licensee for the BILLING CODE 6717±01±M 99, Don L. Klima. Merrimac Project No. 2928, filed an 3. Project No. 1962: 11/29/99, Robert application for a new or subsequent J. Baiocchi. license pursuant to the Federal Power DEPARTMENT OF ENERGY 4. CP99–94–000: 11/22/99, Carol Ann Act (FPA) and the Commission’s Reed. regulations thereunder. Project No. 2928 Federal Energy Regulatory 5. CP98–150–000: 11/22/99, John is located along the South Canal on the Commission Lacey. Merrimack River within the City of [Docket No. RM98±1±000] Linwood A. Watson, Jr., Lawrence, Essex County, Massachusetts. Acting Secretary. The license for Project No. 2928 was Regulations Governing Off-the-Record [FR Doc. 99–31866 Filed 12–8–99; 8:45 am] issued for a period ending November 30, Communications; Public Notice 1999. Section 15(a)(1) of the FPA, 16 BILLING CODE 6717±01±M U.S.C. 808(a)(1), requires the December 3, 1999. Commission, at the expiration of a This constitutes notice, in accordance DEPARTMENT OF ENERGY license term, to issue from year to year with 18 CFR 385.2201(h), of the receipt an annual license to the then licensee of exempt and prohibited off-the-record Western Area Power Administration under the terms and conditions of the communications. prior license until a new license is Order No. 607 (64 FR 51222, Applications for the 2005 Resource issued, or the project is otherwise September 22, 1999) requires Pool Power Allocations, Central Valley disposed of as provided in section 15 or Commission decisional employees, who Project any other applicable section of the FPA. make or receive an exempt or a If the project’s prior license waived the prohibited off-the-record AGENCY: Western Area Power applicability of Section 15 of the FPA, communication relevant to the merits of Administration, DOE. then, based on section 9(b) of the a contested on-the-record proceeding, to ACTION: Notice of Extension. Administrative Procedure Act, 5 U.S.C. deliver a copy of the communication, if 558(c), and as set forth at 18 CFR written, or a summary of the substance SUMMARY: The Western Area Power 16.21(a), if the licensee of such project of any oral communication, to the Administration (Western), a Federal has filed an application for a subsequent Secretary. power marketing administration of DOE, license, the licensee may continue to Prohibited communications will be published a Call for 2005 Resource Pool operate the project in accordance with included in a public, non-decisional file Applications in the Federal Register the terms and conditions of the license associated with, but not part of, the pursuant to the 2004 Power Marketing after the minor or minor part license decisional record of the proceeding. Plan (Marketing Plan) for the Sierra expires, until the Commission acts on Unless the Commission determines that Nevada Customer Service Region (Sierra its application. If the licensee of such a the prohibited communication and any Nevada Region). This notice extends the project has not filed an application for responses thereto should become part of filing date for applications for a a subsequent license, then it may be the decisional record, the prohibited off- percentage of the Sierra Nevada required, pursuant to 18 CFR 16.21(b), the-record communication will not be Region’s 2005 Resource Pool by 30 days. to continue project operations until the considered by the Commission in DATES: Entities interested in applying Commission issues someone else a reaching its decision. Parties to a for an allocation of Western power must license for the project or otherwise proceeding may seek the opportunity to submit applications to Western’s Sierra orders disposition of the project. respond to any facts or contentions Nevada Customer Service Regional If the project is subject to section 15 made in a prohibited off-the-record Office at the address below. of the FPA, notice is hereby given that communication, and may request that Applications must be received by 4 an annual license for Project No. 2928 the Commission place the prohibited p.m., PST, on January 19, 2000. is issued to Merrimac Paper Company communication and responses thereto Applicants are encouraged to hand- Inc. for a period effective December 1, in the decisional record. The deliver or use certified mail to deliver 1999, through November 30, 2000, or Commission will grant such requests applications. Applications will be until the issuance of a new license for only when it determines that fairness so accepted via regular mail through the the project or other disposition under requires. United States Postal Service if

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69019 postmarked at least 3 days before Applications. Procedures for applying [email protected]. January 19, 2000, and received no later for power from the Sierra Nevada Electronic comments must be submitted than January 21, 2000. Western will not Region are also provided in the Call for in an ASCII file avoiding the use of consider applications that are not 2005 Resource Pool Applications. special characters and any form of received by the prescribed dates. Existing customers’ conditional encryption. EPA will print electronic Western will publish a Notice of resource extension percentages are comments in hard-copy paper form for Proposed Allocations in the Federal listed in the Marketing Plan. Existing the official administrative record. EPA Register after evaluating all customers do not need to submit will attempt to clarify electronic applications. applications for resource extensions. comments if there is an apparent error Application dates and procedures However, if an existing customer wishes in transmission. Comments provided applicable to first preference customers/ to apply for a new allocation of power electronically will be considered timely entities are provided in the Marketing in addition to its resource extension, it if they are submitted electronically by Plan. must meet the eligibility criteria and 11:59 p.m. (Eastern time) January 24, ADDRESSES: Applications must be submit an application. 2000. submitted to the Power Marketing Dated: November 22, 1999. FOR FURTHER INFORMATION CONTACT: Manager, Western Area Power Michael S. Hacskaylo, Mery Jackson-Willis, Standards and Administration, Sierra Nevada Administrator. Applied Sciences Branch (WT–15J), Customer Service Region, 114 Parkshore Water Division, U.S. Environmental [FR Doc. 99–31948 Filed 12–8–99; 8:45 am] Drive, Folsom, CA 95630. Protection Agency, Region 5, 77 West BILLING CODE 6450±01±P FOR FURTHER INFORMATION CONTACT: Jackson Boulevard, Chicago, Illinois Howard Hirahara, Power Marketing 60604, or telephone her at (312) 886– Manager, at (916) 353–4421 or by 3717. electronic mail at [email protected]. ENVIRONMENTAL PROTECTION Copies of the November 12, 1999 Optional application forms are AGENCY letter described above are available available. [FRL±6504±7] upon request by contacting Ms. Jackson- SUPPLEMENTARY INFORMATION: Willis. Those letters and materials Notice of Availability of Letter from submitted by the State in support of Authorities EPA to the State of Illinois Pursuant to their submission that EPA relied upon The Marketing Plan for marketing Section 118 of the Clean Water Act and in preparing this letter (i.e., the docket) power by the Sierra Nevada Region after the Water Quality Guidance for the are available for review by appointment 2004, published in the Federal Register Great Lakes System at: EPA, Region 5, 77 W Jackson (64 FR 34417) on June 25, 1999, Boulevard, Chicago, Illinois (telephone AGENCY: Environmental Protection including the subsequent Call for 2005 312–886–3717); the Illinois Agency (EPA). Resource Pool Applications, published Environmental Protection Agency, 1021 in the Federal Register (64 FR 56343) on ACTION: Notice of availability. North Grand Avenue East, Springfield, October 19, 1999, was established Illinois (telephone 217–782–1654). To SUMMARY: Notice is hereby given of a pursuant to the Department of Energy access the docket material in Chicago, letter written from Region 5 of the Organization Act (42 U.S.C. 7101–7352); call Ms. Mery Jackson-Willis at (312) Environmental Protection Agency (EPA) the Reclamation Act of June 17, 1902 886–3717 between 8 a.m. and 4:30 p.m. to the State of Illinois finding that (ch. 1093, 32 Stat. 388) as amended and (central time) (Monday-Friday); in certain provisions adopted as part of the supplemented by subsequent Illinois, call Mr. Toby Frevert at (217) State’s water quality standards and enactments, particularly section 9(c) of 782–1654 between 8:30 a.m. and 4:30 National Pollutant Discharge the Reclamation Project Act of 1939 (43 p.m. (central time). Elimination System (NPDES) permits U.S.C. 485(c)); and other acts SUPPLEMENTARY INFORMATION: On March programs are inconsistent with section specifically applicable to the projects 23, 1995, EPA published the Final 118(c) of the Clean Water Act (CWA) involved. Water Quality Guidance for the Great and 40 CFR part 132. EPA’s findings are Lakes System (Guidance) pursuant to Background described in a letter dated November 12, section 118(c)(2) of the Clean Water Act, This notice provides an extension of 1999. EPA invites public comment on 33 U.S.C. 1268(c)(2). (March 23, 1995, time to file an application for the 2005 all aspects of this letter, particularly on 60 FR 15366). The Guidance, which was Resource Pool from December 20, 1999, the findings in the letter and on the codified at 40 CFR part 132, requires the to January 19, 2000. course of action that EPA proposes to Great Lakes States to adopt and submit The Marketing Plan describes how the take if the State fails to adequately to EPA for approval water quality Sierra Nevada Region will market its address EPA’s findings. criteria, methodologies, policies and power resources from the Central Valley DATES: Comments must be received in procedures that are consistent with the Project, Washoe Project, and other writing by January 24, 2000. Guidance. 40 CFR 132.4 and 132.5. EPA sources beginning January 1, 2005, ADDRESSES: Written comments on EPA’s is required to approve of the State’s through December 31, 2024. The 2005 findings as described in the November submission within 90 days or notify the Resource Pool is available for new 12, 1999 letters may be submitted to State that EPA has determined that all power allocations to qualified entities. Mery Jackson-Willis, Standards and or part of the submission is inconsistent Preference entities who wish to apply Applied Sciences Branch (WT–15J), with the Clean Water Act or the for a new allocation of power from Water Division, U.S. Environmental Guidance and identify any necessary Western’s Sierra Nevada Region must Protection Agency, Region 5, 77 West changes to obtain EPA approval. If the submit formal applications conforming Jackson Boulevard., Chicago, Illinois, State fails to make the necessary to the procedures in the Dates Section 60604. In the alternative, EPA will changes within 90 days, EPA must above. Eligibility and allocation criteria accept comments electronically. publish a notice in the Federal Register are defined in the Marketing Plan and Comments should be sent to the identifying the approved and the Call for 2005 Resource Pool following Internet E-mail address: disapproved elements of the submission

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00036 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69020 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices and a final rule identifying the FEDERAL ELECTION COMMISSION PERSON TO CONTACT FOR INFORMATION: provisions of Part 132 that shall apply Mr. Ron Harris, Press Officer, for discharges within the State. Sunshine Act Meeting Telephone: (202) 694–1220. Mary W. Dove, EPA reviewed the submittal from PREVIOUSLY ANNOUNCED DATE & TIME: Acting Secretary of the Commission. Illinois for consistency with the Thursday, December 9, 1999, 10:00 a.m., Guidance in accordance with 40 CFR meeting open to the public. [FR Doc. 99–32054 Filed 12–7–99; 12:21 pm] 131 and 132.5. EPA determined that BILLING CODE 6715±01±M The following item was added to the certain parts of Illinois’ submittal are agenda: inconsistent with the requirements of the CWA or 40 CFR part 132 and will Future Meeting Dates FEDERAL MARITIME COMMISSION be subject to EPA disapproval if not DATE AND TIME: Tuesday, December 14, corrected. On November 12, 1999, in a Ocean Transportation Intermediary 1999, 10:00 a.m. letter from EPA Region 5 to the Illinois License; Applicants Environmental Protection Agency, EPA PLACE: 999 E Street, NW., Washington, described in detail those provisions DC. Notice is hereby given that the determined to be inconsistent with the following applicants have filed with the STATUS: This meeting will be closed to Federal Maritime Commission Guidance and subject to disapproval if the public. not remedied by the State. The applications for licenses as Non-Vessel ITEMS TO BE DISCUSSED: inconsistencies relate to the following Operating Common Carrier and Ocean components of the State’s submittals in Compliance matters pursuant to 2 Freight Forwarder—Ocean Transportation Intermediaries pursuant conformance with section 118(c) of the U.S.C. § 437g. to section 19 of the Shipping Act of CWA and 40 CFR part 132: the equation Audits conducted pursuant to 2 1984 as amended (46 U.S.C. app. 1718 for calculation of wildlife criteria, the U.S.C. § 437g, § 438(b), and Title 26, and 46 CFR part 515). procedures for implementing U.S.C. Matters concerning participation Persons knowing of any reason why antidegradation, site-specific in civil actions or proceedings or any of the following applicants should modifications to protect threatened and arbitration. not receive a license are requested to endangered species, variances, total Internal personnel rules and contact the Office of Freight Forwarders, maximum daily loads, chemical specific procedures or matters affecting a Federal Maritime Commission, and whole-effluent toxicity reasonable particular employee. Washington, DC 20573. potential, mixing zone demonstrations, DATE AND TIME: Wednesday, December Non-Vessel Operating Common Carrier intake pollutants, determination of 15, 1999, 10:00 a.m. reasonable potential using fish tissue and Ocean Freight Forwarder data, water quality based limitations PLACE: 999 E Street, NW., Washington, Transportation Intermediary Applicants DC. (Ninth Floor). below quantification levels, and Arrow Worldwide Logistics, Inc., 137 compliance schedules. Based on our STATUS: This hearing will be open to the Eucalyptus Drive, Suite #202, El review to date, EPA believes that with public. Segundo, CA 90245, Officers: the above exceptions, the submission by MATTER BEFORE THE COMMISSION: Sugyung Kim, President, (Qualifying the State of Illinois is consistent with Oral Hearing: Dole for President, Inc. Individual); Hakern J. Lee, Secretary the Guidance. Today, EPA is soliciting L.G. Diamond International Shipping, public comment regarding all aspects of (Primary Committee); Dole/Kemp ’96, Inc. (General Committee). Inc., d/b/a Diamond International this letter. In particular, EPA solicits Shipping, 12619 Crenshaw Blvd., comments on the provisions identified DATE AND TIME: Thursday, December 16, Hawthorne, CA 90250, Officer: Lester in the November 12, 1999 letter as being 1999 at 10:00 a.m. Gatewood, President (Qualifying inconsistent with the CWA and the PLACE: 999 E Street, NW., Washington, Individual) Guidance, on EPA’s proposed course of DC. (Ninth Floor). action if a State fails to remedy those Ocean Freight Forwarders—Ocean inconsistencies, and on EPA’s belief that STATUS: This meeting will be open to the Transportation Intermediary Applicants the remainder of the State’s submissions public. Sea, Air & Truck Forwarding, 10262 are consistent with the Guidance. ITEMS TO BE DISCUSSED: Briar Forest Drive, Houston, TX During the next 90 days, EPA intends Correction and Approval of Minutes. 77042; Maria R. Bahena, Sole to continue working with Illinois to Election of Officers. Proprietor address the inconsistencies identified in Advisory Opinion 1999–33: Media Dated: December 3, 1999. the November 12, 1999 letter. If Illinois One PAC by its treasurer, Rahn Porter. Bryant L. VanBrakle, fails to remedy any of the Advisory Opinion 1999–34: Secretary. inconsistencies identified in the letter, Representative, Michael Bilirakis. [FR Doc. 99–31824 Filed 12–8–99; 8:45 am] EPA will publish a notice in the Federal BILLING CODE 6730±01±P Register identifying the disapproved Advisory Opinion 1999–35: elements and the corresponding Associated Builders and Contractors, portions of Part 132 that will apply to Inc., the Associated Builders and waters within the Great Lakes Basin in Contractors Political Action Committee, FEDERAL RESERVE SYSTEM Illinois. and ABC North Texas and its Chapter nonfederal PAC, by counsel, Jan Witold Change in Bank Control Notices; Dated: November 24, 1999. Baran. Acquisitions of Shares of Banks or Bank Holding Companies Francis X. Lyons, Notice of Proposed Rulemaking on Regional Administrator, Region 5. political activities of U.S. Subsidiaries The notificants listed below have [FR Doc. 99–31770 Filed 12–8–99; 8:45 am] of Foreign Corporations. applied under the Change in Bank BILLING CODE 6560±50±U Administrative matters. Control Act (12 U.S.C. 1817(j)) and §

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225.41 of the Board’s Regulation Y (12 standards in section 4 of the BHC Act banks and nonbanking companies CFR 225.41) to acquire a bank or bank (12 U.S.C. 1843). Unless otherwise owned by the bank holding company, holding company. The factors that are noted, nonbanking activities will be including the companies listed below. considered in acting on the notices are conducted throughout the United States. The applications listed below, as well set forth in paragraph 7 of the Act (12 Unless otherwise noted, comments as other related filings required by the U.S.C. 1817(j)(7)). regarding each of these applications Board, are available for immediate The notices are available for must be received at the Reserve Bank inspection at the Federal Reserve Bank immediate inspection at the Federal indicated or the offices of the Board of indicated. The application also will be Reserve Bank indicated. The notices Governors not later than January 3, available for inspection at the offices of also will be available for inspection at 2000. the Board of Governors. Interested the offices of the Board of Governors. A. Federal Reserve Bank of New persons may express their views in Interested persons may express their York (Betsy Buttrill White, Senior Vice writing on the standards enumerated in views in writing to the Reserve Bank President) 33 Liberty Street, New York, the BHC Act (12 U.S.C. 1842(c)). If the indicated for that notice or to the offices New York 10045-0001: proposal also involves the acquisition of of the Board of Governors. Comments 1. Banco Santander Central Hispano a nonbanking company, the review also must be received not later than S.A., Madrid, Spain; to acquire shares includes whether the acquisition of the December 27, 1999. and to control more than 5 percent but nonbanking company complies with the A. Federal Reserve Bank of Dallas less than 10 percent of The Royal Bank standards in section 4 of the BHC Act (W. Arthur Tribble, Vice President) 2200 of Scotland Group plc, Edinburgh, (12 U.S.C. 1843). Unless otherwise North Pearl Street, Dallas, Texas 75201- Scotland, and Citizens Financial Group, noted, nonbanking activities will be 2272: Providence, Rhode Island, and their conducted throughout the United States. 1. Fredrick Children’s Investments II, banking and nonbanking subsidiaries Unless otherwise noted, comments LTD., Irving, Texas; to retain voting including Citizens Bank of Connecticut, regarding each of these applications shares of Irving National Bancshares, New London, Connecticut; Citizens must be received at the Reserve Bank Inc., Irving, Texas, and thereby Bank of Massachusetts, Boston, indicated or the offices of the Board of indirectly retain voting shares of Massachusetts; Citizens Bank of New Governors not later than January 3, Independent National Bank, Irving, Hampshire, Manchester, New 2000. Texas. Hampshire; and Citizens Bank of Rhode A. Federal Reserve Bank of St. Louis Board of Governors of the Federal Reserve Island, Providence, Rhode Island. (Randall C. Sumner, Vice President) 411 System, December 6, 1999. Citizens Financial Group also has Locust Street, St. Louis, Missouri 63102- Robert deV. Frierson, received approval to acquire US Trust, 2034: Associate Secretary of the Board. Boston, Massachusetts, and its banking 1. Maries County Bancorp, Inc., [FR Doc. 99–31974 Filed 12–8–99; 8:45 am] and nonbanking subsidiaries, including Vienna, Missouri; to acquire 9.33 United States Trust Company, Boston, BILLING CODE 6210±01±F percent of the voting shares of Branson Massachusetts. Bancshares, Inc., Branson, Missouri (in B. Federal Reserve Bank of organization), and thereby indirectly FEDERAL RESERVE SYSTEM Philadelphia (Michael E. Collins, Senior acquire voting shares of Branson Bank, Vice President) 100 North 6th Street, Branson, Missouri, a de novo bank. Formations of, Acquisitions by, and Philadelphia, Pennsylvania 19105-1521: 1. Harleysville Savings Financial Board of Governors of the Federal Reserve Mergers of Bank Holding Companies System, December 6, 1999. Corporation, Harleysville, Pennsylvania; The companies listed in this notice to become a bank holding company by Robert deV. Frierson, have applied to the Board for approval, acquiring 100 percent of the voting Associate Secretary of the Board. pursuant to the Bank Holding Company shares of Harleysville Savings Bank, [FR Doc. 99–31975 Filed 12–8–99; 8:45 am] Act of 1956 (12 U.S.C. 1841 et seq.) Harleysville, Pennsylvania. BILLING CODE 6210±01±F (BHC Act), Regulation Y (12 CFR Part 225), and all other applicable statutes Board of Governors of the Federal Reserve System, December 3, 1999. and regulations to become a bank Robert deV. Frierson, DEPARTMENT OF HEALTH AND holding company and/or to acquire the HUMAN SERVICES assets or the ownership of, control of, or Associate Secretary of the Board. the power to vote shares of a bank or [FR Doc. 99–31823 Filed 12–8–99; 8:45 am] Health Care Financing Administration bank holding company and all of the BILLING CODE 6210±01±F [HCFA±R±143] banks and nonbanking companies owned by the bank holding company, FEDERAL RESERVE SYSTEM Agency Information Collection including the companies listed below. Activities: Proposed Collection; The applications listed below, as well Formations of, Acquisitions by, and Comment Request as other related filings required by the Mergers of Bank Holding Companies Board, are available for immediate AGENCY: Health Care Financing inspection at the Federal Reserve Bank The companies listed in this notice Administration, HHS. indicated. The application also will be have applied to the Board for approval, In compliance with the requirement available for inspection at the offices of pursuant to the Bank Holding Company of section 3506(c)(2)(A) of the the Board of Governors. Interested Act of 1956 (12 U.S.C. 1841 et seq.) Paperwork Reduction Act of 1995, the persons may express their views in (BHC Act), Regulation Y (12 CFR Part Health Care Financing Administration writing on the standards enumerated in 225), and all other applicable statutes (HCFA), Department of Health and the BHC Act (12 U.S.C. 1842(c)). If the and regulations to become a bank Human Services, is publishing the proposal also involves the acquisition of holding company and/or to acquire the following summary of proposed a nonbanking company, the review also assets or the ownership of, control of, or collections for public comment. includes whether the acquisition of the the power to vote shares of a bank or Interested persons are invited to send nonbanking company complies with the bank holding company and all of the comments regarding this burden

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69022 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices estimate or any other aspect of this Dated: December 1, 1999. normal business hours at the above collection of information, including any John Parmigiani, address. of the following subjects: (1) The Manager, HCFA Office of Information Background necessity and utility of the proposed Services, Security and Standards Group, information collection for the proper Division of HCFA Enterprise Standards. Under section 9 of the Endangered performance of the agency’s functions; [FR Doc. 99–31958 Filed 12–8–99; 8:45 am] Species Act and its implementing regulations, taking of threatened and (2) the accuracy of the estimated BILLING CODE 4120±03±P endangered wildlife species is burden; (3) ways to enhance the quality, prohibited. Under the Act, the term utility, and clarity of the information to ‘‘take’’ means to harass, harm, pursue, be collected; and (4) the use of DEPARTMENT OF THE INTERIOR hunt, shoot, wound, kill, capture or automated collection techniques or Fish and Wildlife Service collect listed wildlife, or attempt to other forms of information technology to engage in such conduct. Harm includes minimize the information collection Availability of an Environmental habitat modification that kills or injures burden. Assessment and Receipt of wildlife by significantly impairing Type of Information Collection Application for an Incidental Take essential behavioral patterns, including Request: Extension of a currently Permit for the Globenet/Worldcom breeding, feeding, or sheltering. Under limited circumstances, the Service may approved collection; Parking Lot Expansion in Los Osos, San Luis Obispo County, CA issue permits to take threatened or Title of Information Collection: endangered wildlife species if such Analysis of Malpractice Premium Data; AGENCY: Fish and Wildlife Service, taking is incidental to, and not the Form No.: HCFA–R–143 (OMB# Interior purpose of, otherwise lawful activities. 0938–0575); ACTION: Notice of availability. Regulations governing permits for threatened and endangered species are Use: This form is used for computing SUMMARY: MFS Globenet, Incorporated/ found at 50 CFR 17.22 and 17.32. the Medicare physician fee schedule Worldcom Network Services, Globenet/Worldcom needs an Malpractice Geographic Practice Cost Incorporated (Globenet/Worldcom) has incidental take permit to expand a Index (MGPCI) and the Medicare applied for an incidental take permit parking lot at its telecommunication Economic Index (MEI). The data from the Fish and Wildlife Service building located at 10th and Los Olivos collected will be used to update the pursuant to section 10(a)(1)(B) of the Avenue in the city of Los Osos. To MGPCI and the new resource-based Endangered Species Act of 1973, as obtain a Certificate of Occupancy for the malpractice relative value units amended. Globenet/Worldcom requests building, Globenet/Worldcom must (MRVUs) component of the physician a 5-year permit to allow the incidental expand the parking lot for fire truck fee schedule. The malpractice data are take of the federally endangered Morro access. Globenet/Wordlcom proposes to critical to the accuracy of the Medicare shoulderband snail (Helminthoglypta expand the parking lot in areas of physician fee schedule; walkeriana) associated with occupied snail habitat that were previously avoided during siting of the Frequency: Other: every 3 years; construction of an expanded parking lot (0.4 acre) in the community of Los Osos, building. Globenet/Worldcom may be Affected Public: State, Local or Tribal San Luis Obispo County, CA. The able to avoid impacts to the Morro Gov., Business or other for-profit, and permit application includes a Habitat shoulderband snail during future Not-for-profit institutions; Conservation Plan and an construction and operation of a fiber Number of Respondents: 50; Implementation Agreement, both of optic cable originating at the telecommunication facility. If take of the Total Annual Responses: 50; which are available for public review and comment. The Service also snail can not be avoided during Total Annual Hours: 150. announces the availability of an construction and operation of the cable, To obtain copies of the supporting Environmental Assessment for the Globenet/Worldcom will apply for a statement and any related forms for the proposed issuance of the incidental take permit amendment. proposed paperwork collections permit. All comments received will The proposed construction of an referenced above, access HCFA’s Web become part of the administrative record expanded parking lot would result in Site address at http://www.hcfa.gov/ and may be released to the public. the permanent loss of 0.4 acre of habitat that supports the endangered Morro regs/prdact95.htm, or E-mail your DATES: Written comments should be request, including your address, phone received on or before January 10, 2000. shoulderband snail. The permit application includes a Habitat number, OMB number, and HCFA ADDRESSES: Comments should be Conservation Plan (Plan) and an document identifier, to addressed to Diane Noda, Field Implementation Agreement which [email protected], or call the Reports Supervisor, Fish and Wildlife Service, define the responsibilities of all of the Clearance Office on (410) 786–1326. 2493 Portola Road, Suite B, Ventura, CA parties under the Plan. The Plan Written comments and 93003; facsimile (805) 644–3958. addresses impacts to the Morro recommendations for the proposed FOR FURTHER INFORMATION CONTACT: shoulderband snail that are associated information collections must be mailed Laura Hill or Heather Hollis, Fish and with the proposed parking lot expansion within 60 days of this notice directly to Wildlife Biologists, at (503) 231–6241. and the future cable project. The Plan the HCFA Paperwork Clearance Officer SUPPLEMENTARY INFORMATION: provides for implementation of designated at the following address: measures to minimize and mitigate Document Availability HCFA, Office of Information Services, adverse impacts to the Morro Security and Standards Group, Division Individuals wishing copies of the shoulderband snail. of HCFA Enterprise Standards, documents for review should To minimize the effects of the parking Attention: Dawn Willinghan, Room N2– immediately contact the office listed lot expansion, the boundaries of the 14–26, 7500 Security Boulevard, above. Documents also will be available work area will be clearly marked and Baltimore, Maryland 21244–1850. for inspection, by appointment, during enforced by a Service approved

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To compensate for DEPARTMENT OF THE INTERIOR breaking sealed bids must be within 15 unavoidable habitat loss from the minutes following the sale official’s parking lot expansion, and for future Bureau of Land Management announcement at the sale that identical impacts from fiber optic cable [NM±932±1320±05; NMNM 99144] sealed bids have been received. construction should a permit Coal Tract To Be Offered amendment be needed, Globenet/ Notice of Coal Lease Offering Worldcom proposes to provide funds to The coal resources to be offered AGENCY: Bureau of Land Management, consist of all recoverable reserves in the acquire, restore, monitor and manage in Interior. following described lands located in perpetuity 3.78 acres of high quality, San Juan County, New Mexico and are Morro shoulderband snail habitat off- ACTION: Notice of competitive coal lease described as follows: site and adjacent to Montana de Oro sale. State Park. This land would be deeded T. 30 N., R. 14 W., NMPM SUMMARY: Notice is hereby given that Sec. 17, ALL; to and managed by the California certain coal resources in the tract Sec. 18, ALL; Department of Parks and Recreation or described below in San Juan County, Sec. 19, ALL; another land manager approved by the New Mexico, will be offered for Sec. 20, ALL; Service. competitive lease by sealed bid in Sec. 29, ALL; The Plan and the Environmental accordance with the provisions of the Sec. 30, ALL; Sec. 31, Lot 1–4, N1⁄2, N1⁄2, S1⁄2. Assessment consider two alternatives to Mineral Leasing Act of 1920, as the proposed parking lot expansion amended (30 U.S.C. 181 et. seq.) Containing 4,483.88 acres, more or project, as well as additional DATES: The lease sale will be held at less. alternatives to the future cable project. 10:00 a.m., Wednesday, January 12, Rental and Royalty Under the No Development Alternative, 2000. Sealed bids must be submitted on the parking lot would not be expanded, or before 9 a.m., on January 12, 2000. The leases issued as a result of this the telecommunications building would ADDRESSES: The lease sale will be held lease offering will require payment of an remain vacated, and the Service would in the BLM Conference Room, located at annual rental of $3.00 per acre or not issue an incidental take permit. 1474 Rodeo Rd., Santa Fe, NM 87502. fraction thereof, and a royalty payable to 1 Non-native plants would recolonize the Sealed bids must be submitted on or the United States of 12 ⁄2 percent of the project site, human disturbances would before 9 a.m. on January 12, 2000, to: value of the coal removed by surface likely continue, and off-site high quality Cashier, New Mexico State Office, P.O. methods and 8 percent of the value of the coal removed by underground snail habitat would not be protected. Box 27115, Santa Fe, NM 87502. methods. The value of the coal will be Under the Alternate Site Alternative, the FOR FURTHER INFORMATION CONTACT: Ida determined in accordance with 30 CFR existing telecommunications building T. Viarreal at (505) 438–7603. 206.250. would remain vacated. Globenet/ SUPPLEMENTARY INFORMATION: The tract Worldcom would construct another will be leased to the qualified bidder(s) Notice of Availability building at another site that does not submitting the highest cash offer Bidding instructions for the offered support listed species. The Service provided that the high bids meet or tracts are included in Detailed would not issue an incidental take exceed the fair market value of the tracts Statement of Coal Lease Sale. Copies of permit. This alternative would result in as determined by the authorized officer the Statement and the proposed coal greater impacts to the environment than after the sale. Each bid should be clearly lease are available upon request in the other alternatives and would not identified by tract number or serial person or by mail from the New Mexico provide a substantial benefit to the number on the outside of the envelope State Office at the addresses shown snail. containing the bid(s). No bid that is less above. The case files are available for than $100.00 per acre, or fraction inspection during normal business This notice is provided pursuant to thereof, will be considered. This section 10(a) of the Endangered Species hours only at the Santa Fe, New Mexico, $100.00 per acre is a regulatory location. Act and Service regulations for minimum, and is not intended to reflect Dated: December 2, 1999. implementing the National fair market value of the tracts. Environmental Policy Act of 1969 (40 Sealed bids clearly market ‘‘Sealed Richard A. Whitley, CFR 1506.6). In determining whether Bid for NMNM 99144 Coal Sale—Not to Associate State Director. the application meets the requirements be opened before 10 a.m. Wednesday, [FR Doc. 99–31747 Filed 12–5–99; 8:45 am] of law, the Service will evaluate the January 12, 2000.’’ must be received on BILLING CODE 4310±FB±M application, its associated documents, or before 9 a.m., Wednesday, January and comments submitted by the public. 12, 2000. Bids should be sent be If the Service determines that the certified mail, return receipt requested, DEPARTMENT OF THE INTERIOR requirements are met, a permit will be or should be hand delivered. The Bureau of Land Management issued for the incidental take of the cashier will issue a receipt for each Morro shoulderband snail. A final hand delivered sealed bid. Bids received [WY±030±1310±DB] decision on permit issuance will be after 9 a.m., on January 12, 2000, will made no sooner than 30 days from the not be considered. The minimum bid is Continental Divide/Wamsutter II date of this notice. not intended to represent fair market Natural Gas Project Dated: December 1, 1999. value. The fair market value of the tract AGENCY: Bureau of Land Management, will be determined by the Authorized Elizabeth H. Stevens, Interior. Officer after the sale. ACTION: Notice of availability of final Manager, California/Nevada Operations If identical high sealed bids are environmental impact statement. Office, Sacramento, California. received, the tying bidders will be [FR Doc. 99–31746 Filed 12–8–99; 8:45 am] requested to submit follow-up sealed SUMMARY: Pursuant to the National BILLING CODE 4310±55±P bids until a high bid is received. All tie- Environmental Policy Act (NEPA) and

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69024 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices implementing regulations, the Bureau of analyses were revised using Rock made available for public inspection in Land Management (BLM) announces the Springs, WY, meteorological data; (b) their entirety. availability of the Final Environmental potential well blowdown emissions Dated: December 3, 1999. Impact Statement (FEIS) for the were included and the hazardous air proposed Continental Divide/Wamsutter pollutant (HAP) and ozone impact Alan L. Kesterke, II (CD/WII) Natural Gas Project located analyses were revised; (c) potential Associate State Director. in Carbon and Sweetwater Counties, oxides of nitrogen (NOX) emissions for [FR Doc. 99–31881 Filed 12–8–99; 8:45 am] Wyoming. This FEIS analyzes the the CD/WII wells were corrected; (d) BILLING CODE 4310±22±P potential impacts from natural gas potential NOX and sulfur dioxide (SO2) exploration and development proposed emissions from the Lost Cabin Gas Plant by Amoco Production Company, Union were corrected for seasonal operation; DEPARTMENT OF THE INTERIOR Pacific Resources Company, Yates (e) potential particulate matter Petroleum Corporation, Snyder Oil emissions from the Seneca Coal facility Bureau of Land Management Corporation, and other natural gas (Colorado Permit No. 82R0258F) were operators within the CD/WII project area corrected; (f) potential particulate [CO±700±00±0777±XQ±1784] and alternatives to that proposed matter, NOX and SO2 emissions from the development. The BLM preferred SF Phosphates facility (Wyoming Permit Southwest Resource Advisory Council alternative for this project is the No. CT–550A4) were added to the Meeting Proposed Action, with additional emissions inventory; (g) several other mitigation measures which would Colorado emission sources were AGENCY: Bureau of Land Management, reduce environmental impacts. correctly analyzed as potential NOX Interior. The Draft Environmental Impact emissions, rather than as SO2 emissions Statement (DEIS) prepared for this reported in the DEIS; and (h) hourly ACTION: Notice; Southwest Resource project was made available to the public scaling factors were applied to several Advisory Council Meeting. on April 30, 1999 (64 FR 23349). The Wyoming portable emission sources. FEIS contains corrected and new Based on these revisions, potential air SUMMARY: Notice is hereby given that material which supplements the DEIS. quality impacts were reanalyzed and the Southwest Resource Advisory The DEIS and this FEIS comprise the reported in both the FEIS and the Council (Southwest RAC) will meet in complete document. Please refer to the Revised Technical Support Document January, 2000 in Durango, Colorado. DEIS for more detailed analyses and text. DATES: The meeting will be held on descriptions of the proposed action and In addition to air quality updates, Thursday, January 20, 2000. alternatives. some revisions to the DEIS were made This FEIS is not a decision document. in sections of the document dealing ADDRESSES: For additional information, A Record of Decision will be prepared with wildlife resources, mineral contact Roger Alexander, Bureau of and made available to the public after resources, and aesthetics and visual Land Management, Southwest Center, the public comment period expires. resources. 2465 South Townsend Avenue, DATES: BLM will accept comments on Upon recommendation of the U.S. Montrose, Colorado 81401; telephone the FEIS for a period of 30 days from the Fish and Wildlife Service (USFWS), the 970–240–5335; TDD 970–240–5366; e- BLM has initiated formal consultation date the Environmental Protection mail [email protected]. Agency (EPA) publishes their Notice of and conferring with the USFWS on Availability (NOA) of this FEIS in the issues dealing with the listed SUPPLEMENTARY INFORMATION: The Federal Register. We anticipate that Threatened and Endangered species of January 20, 2000 meeting will be held EPA will publish its NOA on December Black-footed Ferret and with the at the Bureau of Land Management-U.S. 10, 1999. proposed listed species of Mountain Forest Service Public Lands Center, Plover. Some additional mitigation Sonoran Conference Room, 15 Burnett ADDRESSES: Send written comments to: measures to protect these species are Court, Durango, Colorado. The meeting Clare Miller, Bureau of Land expected from this process. The results Management, Rawlins Field Office, 1300 will begin at 9:00 a.m. and end no later of the consultation/conferring will be than 4:30 p.m. The agenda will include North Third Street, P.O. Box 2407, addressed in the Record of Decision for Rawlins, WY 82301. an update on recreation guidelines, this EIS. discussions on outdoor ethics in FOR FURTHER INFORMATION CONTACT: Comments, including names and advertising, and identification of RAC Clare Miller, Team Leader, Telephone: street addresses of respondents, will be 307–328–4245, or Teresa Deakins, workloads for 2000. General public available for public review at the BLM comment is scheduled for 9:15 a.m. Telephone: 307–352–0211. Copies of the offices listed above during regular FEIS may be obtained from the BLM business hours (7:45 a.m.–4:30 p.m.), Summary minutes for Council Rawlins Field Office (307–324–4200), Monday through Friday, except meetings are maintained in the 1300 North Third Street, P.O. Box 2407, holidays. Individual respondents may Southwest Center Office and on the Rawlins, WY 82301 or from the BLM request confidentiality. If you wish to World Wide Web at http:// Rock Springs Field Office, (307–352– withhold your name or street address www.co.blm.gov/mdo/ 0256) 280 Highway 191 North, Rock from public review or from disclosure mdolswlrac.htm and are available for Springs, WY 82901. under the Freedom of Information Act, public inspection and reproduction SUPPLEMENTARY INFORMATION: The FEIS you must state this prominently at the within thirty (30) days following each contains corrected and new material beginning of your written comment. meeting. which supplements the DEIS issued Such requests will be honored to the Dated: November 29, 1999. April 30, 1999. The DEIS air quality extent allowed by law. All submissions impact assessment was revised in order from organizations or businesses, and Roger Alexander, to address the following items: (a) The from individuals identifying themselves Public Affairs Specialist. CD/WII near-field particulate matter as representatives of officials of [FR Doc. 99–31830 Filed 12–8–99; 8:45 am] emission assumptions and impact organizations or businesses, will be BILLING CODE 4310±JB±P

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DEPARTMENT OF THE INTERIOR Sec. 15, NW1⁄4NE1⁄4 and W1⁄2SW1⁄4NE1⁄2. continue to be subject to the following T. 20 S., R. 63 E., reservations to the United States: Bureau of Land Management Sec. 3, SE1⁄4. 1. A right-of-way thereon for ditches The areas described aggregate [NV±930±1430±01; N±62765] or canals constructed by the authority of approximately 2,252 acres in Clark County. the United States, Act of August 30, Public Land Order No. 7419; 2. The withdrawal made by this order 1890 (26 Stat. 391, 43 U.S.C. 945). Withdrawal of Public Lands for the does not alter the applicability of those 2. All the mineral deposits in the United States Air Force; Nevada public land laws governing the use of lands patented, and to it, or persons lands under lease, license, or permit, or authorized by it, the right to prospect, AGENCY: Bureau of Land Management, governing the disposal of their mineral mine, and remove such deposits from Interior. or vegetative resources other than under the same under applicable law; and will ACTION: Public land order. the mining laws. be subject to: 3. This withdrawal will expire 20 1. Easements in accordance with the SUMMARY: This order withdraws years from the effective date of this Clark County Transportation Plan. approximately 2,252 acres of public order unless, as a result of a review Detailed information concerning this lands from surface entry and mining, for conducted before the expiration date action is available for review at the a period of 20 years, for the United pursuant to section 204(f) of the Federal office of the Bureau of Land States Air Force to provide safety Land Policy and Management Act of Management, Las Vegas Field Office, buffers from potentially hazardous 1976, 43 U.S.C. 1714(f) (1994), the 4765 Vegas Drive, Las Vegas, Nevada. areas, protect populated areas, and to Secretary determines that the The lands have been segregated from comply with Department of Defense withdrawal shall be extended. all forms of appropriation under the Directive No. 6055.9 regarding Southern Nevada Public Lands ammunition and explosive safety Dated: November 17, 1999. Management Act (Pub. L. 105–263). standards. The lands are adjacent to the John Berry, For a period of 45 days from the date Live Ordnance Loading Areas at the Assistant Secretary of the Interior. of publication of this notice in the Nellis Air Force Base, Clark County, [FR Doc. 99–31959 Filed 12–8–99; 8:45 am] Federal Register, interested parties may Nevada. The lands have been and will BILLING CODE 4310±HC±P submit comments regarding the remain open to mineral leasing. proposed direct sale to the Las Vegas EFFECTIVE DATE: December 9, 1999. Field Manager, Las Vegas Field Office, FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF THE INTERIOR 4765 Vegas Drive, Las Vegas, Nevada 89108. Dennis J. Samuelson, BLM Nevada State Bureau of Land Management Office, P.O. Box 12000, Reno, Nevada Classification Comments 89520, 775–861–6532. [NV±056±1430±ES; N±63066] By virtue of the authority vested in Interested parties may submit the Secretary of the Interior by section Notice of Realty Action: Direct Sale comments involving the suitability of the land for a direct sale. Comments on 204 of the Federal Land Policy and AGENCY: Bureau of Land Management, Management Act of 1976, 43 U.S.C. the classification are restricted to Interior. whether the land is physically suited for 1714 (1994), it is ordered as follows: ACTION: Direct Sale of Reversionary 1. Subject to valid existing rights, the the proposal, whether the use will Interest of Recreation & Public Purpose following described public lands are maximize the future use or uses of the Patent, Number 27–68–0135. hereby withdrawn from settlement, sale, land, whether the use is consistent with local planning and zoning, or if the use location, or entry under the general land SUMMARY: The following described is consistent with State and Federal laws, including the United States public land in Las Vegas, Clark County, programs. mining laws (30 U.S.C. Ch. 2 (1994)), Nevada, was patented to Clark County but not from leasing under the mineral on January 19, 1998 under the Application Comments leasing laws, for the United States Air Recreation & Public Purpose Act for a Interested parties may submit Force to provide safety buffers from fire station (Fire Station 21). Clark comments regarding the application as potentially hazardous areas, protect County requests the purchase of the to whether the BLM followed proper populated areas, and to comply with reversionary interest. The land has been administrative procedures in reaching Department of Defense Directive No. examined and found suitable for sale the decision or any other factor not 6055.9 regarding ammunition and under the provisions of the Federal directly related to the suitability of the explosive safety standards: Land Policy and Management Act (43 land for a direct sale. Any adverse Mount Diablo Meridian CFR 2711.3–3). comments will be reviewed by the State T. 19 S., R. 62 E., Mount Diablo Meridian, Nevada Director. 1 In the absence of any adverse Sec. 25, NE ⁄4 south of Las Vegas T. 21 S., R. 61 E., comments, the classification of the land Boulevard; Sec. 29, SW1⁄4NW1⁄4NW1⁄4NW1⁄4. Sec. 35, a portion of the S1⁄2NW1⁄4, and a Containing 2.5 acres, more or less, located described in this Notice will become portion of the NW1⁄4SE1⁄4. at Tropicana Avenue and Valley View effective 60 days from the date of T. 19 S., R. 63 E., publication in the Federal Register. The 1 1 1 1 Boulevard. Sec. 27, NE ⁄4SE ⁄4 and W ⁄2SE ⁄4; lands will not be offered for conveyance Sec. 34, NE1⁄4. The land is not required for any until after the classification becomes T. 20 S., R. 62 E., Federal purpose. The direct sale is effective. Sec. 1, lots 9, 10, and lots 13 to 20, consistent with current Bureau planning inclusive; Dated: November 29, 1999. 1 1 for this area and would be in the public Sec. 2, SE ⁄4SW ⁄4; interest. The patent will be subject to Rex Wells, Sec. 10, E1⁄2SE1⁄4; the provisions of the Federal Land Assistant Field Office Manager, Las Vegas, Sec. 11, lots 1 to 8, inclusive, E1⁄2NW1⁄4, NV. and SW1⁄4; Policy and Management Act and Sec. 12, lots 2 to 7, inclusive, and lots 12 applicable regulations of the Secretary [FR Doc. 99–31883 Filed 12–8–99; 8:45 am] and 13; of the Interior, and the land will BILLING CODE 4310±HC±P

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DEPARTMENT OF THE INTERIOR Central Telephone Nevada by right-of- the land for a public park. Comments on way N–7353 under the Act of February the classification are restricted to Bureau of Land Management 15, 1901 (43 U.S.C. 959). whether the land is physically suited for [NV±056±1430±ES; N±60920] 3. Those rights for gas pipe line the proposal, whether the use will purposes which have been granted to maximize the future use or uses of the Notice of Realty Action: Segregation Southwest Gas Corporation by right-of- land, whether the use is consistent with Terminated, Lease/Conveyance for way N–55952 under the Act of February local planning and zoning, or if the use Recreation and Public Purposes 25, 1920 (30 U.S.C. 185 sec. 28). is consistent with State and Federal 4. Those rights for power and programs. AGENCY: Bureau of Land Management, telephone line purposes which have Department of the Interior. been granted to Nevada Power Company Application Comments ACTION: and Sprint Central Telephone by right- Segregation terminated, Interested parties may submit recreation and public purpose lease/ of-way N–59081 under the Act of comments regarding the specific use conveyance. October 21, 1976 (43 U.S.C. 1761). 5. Those rights for power and proposed in the application and plan of SUMMARY: The following described telephone line purposes which have development, whether the BLM public lands in Las Vegas, Clark County, been granted to Nevada Power Company followed proper administrative Nevada, were segregated for exchange and Sprint Central Telephone by right- procedures in reaching the decision, or purposes: N–56458 segregated on of-way N–60635 under the Act of any other factor not directly related to November 16, 1992, N–57773 segregated October 21, 1976 (43 U.S.C. 1761). the suitability of the land for a public on April 18, 1994, N–60073 segregated 6. Those rights for roadway purposes park. on October 19, 1995, and N–61855 which have been granted to Clark Any adverse comments will be segregated on July 23, 1997. The County by right-of-way N–60727 under reviewed by the State Director. In the exchange segregation on the subject the Act of October 21, 1976 (43 U.S.C. absence of any adverse comments, the lands will be terminated upon 1761). classification of the land described in publication of this notice in the Federal 7. Those rights for roadway purposes this Notice will become effective 60 Register. The land has been examined which have been granted to Clark days from the date of publication in the and found suitable for lease/conveyance County by right-of-way N–61169 under Federal Register. The lands will not be for recreational or public purposes the Act of October 21, 1976 (43 U.S.C. offered for lease/conveyance until after under the provisions of the Recreation 1761). the classification becomes effective. and Public Purposes Act, as amended 8. Those rights for roadway purposes Dated: December 2, 1999. (43 U.S.C. 869 et seq.). Clark County which have been granted to City of Las proposes to use the lands for a public Vegas by right-of-way N–62866 under Rex Wells, park. the Act of October 21, 1976 (43 U.S.C. Assistant Field Office Manager, Las Vegas, 1761). NV. Mount Diablo Meridian, Nevada 9. Those rights for power line [FR Doc. 99–31884 Filed 12–8–99; 8:45 am] T. 20 S., R. 60 E., purposes which have been granted to BILLING CODE 1430±HC±P Sec. 5, Lot 1 excepting 2.5 acres in Nevada Power Company by right-of-way SE1⁄4SE1⁄4. N–63037 under the Act of October 21, Containing 37.5 acres, more or less, located 1976 (43 U.S.C. 1761). DEPARTMENT OF THE INTERIOR at Lone Mountain Road and Durango Road. Detailed information concerning this The land is not required for any action is available for review at the Bureau of Land Management Federal purpose. The lease/conveyance office of the Bureau of Land Management, Las Vegas Field Office, is consistent with current Bureau 4765 Vegas Drive, Las Vegas, Nevada. [OR±025±00±1430±EU: G±0041] planning for this area and would be in Upon publication of this notice in the the public interest. The lease/patents, Federal Register, the above described Realty Action: Sale of Public Land in when issued, will be subject to the land will be segregated from all other Harney County, Oregon provisions of the Recreation and Public forms of appropriation under the public Purposes Act and applicable regulations land laws, including the general mining AGENCY: Bureau of Land Management of the Secretary of the Interior, and will laws, except for lease/conveyance under (BLM), DOI. contain the following reservations to the the Recreation and Public Purposes Act, ACTION: United States: Notice of realty action, sale of leasing under the mineral leasing laws public land. a. A right-of-way thereon for ditches and disposal under the mineral material or canals constructed by the authority of disposal laws. SUMMARY: The following described the United States, Act of August 30, For a period of 45 days from the date 1890 (43 U.S.C. 945). public land in Harney County, Oregon, of publication of this notice in the has been examined and found suitable b. All minerals shall be reserved to Federal Register, interested parties may the United States, together with the for sale under sections 203 and 209 of submit comments regarding the the Federal Land Policy and right to prospect for, mine and remove proposed lease/conveyance for such deposits from the same under Management Act of 1976 (90 Stat. 2750, classification of the lands to the Las 43 U.S.C. 1713 and 1719), at not less applicable law and such regulations as Vegas Field Office Manager, Las Vegas than the appraised market value. All the Secretary of the Interior may Field Office, 4765 Vegas Drive, Las parcels being offered are identified for prescribe and will be subject to: Vegas, Nevada 89108. 1. Easements in accordance with the disposal in the Three Rivers Resource Clark County Transportation Plan. Classification Comments Management Plan. 2. Those rights for telephone purposes Interested parties may submit All of the land described is within the which have been granted to Sprint comments involving the suitability of Willamette Meridian.

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Minimum Parcel No. Legal description Acres accept- Bidding procedures Designated bidders able bid

OR±53952 ...... T.27S., R.33E., sec.1, SW1¤4NW1¤4, W1¤2SW1¤4; 360 $52,200 Unsold Competitive ...... None. sec. 2, S1¤2NE1¤4, SE1¤4. OR±54923 ...... T.21S., R.31E., sec. 29, lot 6 ...... 42.61 2,800 Competitive ...... None. OR±54924 ...... T.21S., R.31E., sec. 30, lots 19, 20; sec. 31, lots 399.19 26,000 Competitive ...... None. 5, 6, 11, 12, 13, 14, 19, 20. OR±54926 ...... T.26S., R.33E., sec. 27, SE1¤4 ...... 160 10,400 Competitive ...... None. OR±54927 ...... T.24S., R.33E., sec. 30, lots 1, 2, E1¤2NW1¤4; ..... 157 15,700 Competitive ...... None. OR±54928 ...... T.24S., R.33E., sec. 33, W1¤2NE1¤4 ...... 80 8,000 Competitive ...... None. OR±54929 ...... T.22S., R.32E., sec. 12, N1¤2NW1¤4, SW1¤4NW1¤4, 160 10,400 Competitive ...... None. NW1¤4SW1¤4. OR±54930 ...... T.22S., R.321¤2E., sec. 7, lots 2, 3, 4, 246.88 16,000 Competitive ...... None. SW1¤4NE1¤4, W1¤2SE1¤4; sec. 18, lot 7. OR±55277 ...... T.22S., R.321¤2E., sec. 18, lot 10 ...... 10.3 400 Modified Competitive ...... Fort Harney Ranch Timothy K. Smith and Holly Swift.

The following rights, reservations, OR–54928—Patent will be subject to a highest bidder from the oral auction will and conditions will be included on the geothermal lease held by Geo- be declared the prospective purchaser. patents conveying the land: Culture, Inc. If no bids are received, the parcel will All Parcels—A reservation for a right-of- Access will not be guaranteed to any be declared unsold and offered by way for ditches and canals of the parcels being offered for sale, nor unsold competitive procedures on a constructed thereon by the any warranty made as to the use of the continuing basis until sold or authority of the United States. property in violation of applicable land withdrawn from sale. use laws and regulations. Before Modified Competitive Procedures OR–54927, OR–54928—A reservation to submitting a bid, prospective purchasers the United States of all geothermal should check with the appropriate city Modified competitive procedures are steam and associated geothermal or county planning department to verify allowed by the regulations (43 CFR resources. approved uses. 2710.0–6(c)(3)(ii) to provide exceptions OR–54927—A reservation to the United All persons, other than the successful to competitive bidding to assure States of a right-of-way for bidders, claiming to own unauthorized compatibility with existing and administrative road access improvements on the land are allowed potential land uses. purposes. 60 days from the date of sale to remove Under modified competitive OR–54923, OR–54927, OR–54928—A the improvements. procedures the designated bidders wetland restrictive covenant All land described is hereby identified in the table above will be pursuant to Executive Order 11990. segregated from appropriation under the given the opportunity to match or The patent will be subject to a public land laws, including the mining exceed the apparent high bid. The covenant that the portions of the laws, pending disposition of this action, apparent high bid will be established by land containing wetland habitat or 270 days from the date of publication the highest valid sealed bid received in must be managed to protect and of this notice, whichever occurs first. an initial round of public bidding. If two maintain the wetland. Bidding Procedures or more valid sealed bids of the same OR–54927—A floodplain restrictive amount are received for the same parcel, Competitive Procedures covenant pursuant Executive Order that amount shall be determined to be 11988. The patent will be subject to The Federal Land Policy and the apparent high bid. The designated a covenant that the land may be Management Act and its implementing bidders are required to submit a valid used only for agricultural purposes, regulations (43 CFR 2710) provide that bid in the initial round of public livestock grazing or for park and competitive bidding will be the general bidding to maintain their preference nonintensive open space recreation method of selling land supported by consideration. The bid deposit for the purposes, but not for dwellings or factors such as competitive interest, apparent high bid(s) and the designated buildings. accessibility, and usability of the parcel, bidders will be retained and all others will be returned. OR–53952—Patent will be subject to a regardless of adjacent ownership. Under competitive procedures the The designated bidders will be right-of-way for road purposes land will be sold to any qualified bidder notified by certified mail of the apparent granted to Tom Davies. submitting the highest bid. Bidding will high bid. Where there are two or more OR–53952, OR–54924, OR–54930— be by sealed bid followed by an oral designated bidders for a single parcel, Patents will be subject to a right-of- auction to be held at 2:00 p.m. PST on they will be allowed 30 days to provide way for electric power transmission Wednesday, March 8, 2000, at the Burns the authorized officer with an agreement and distribution purposes granted District Office, Bureau of Land as to the division of the property or, if to Harney Electric Cooperative, Management, Hwy 20 West, Hines, agreement cannot be reached, sealed Oregon Trail Electric Cooperative, Oregon. To qualify for the oral auction bids for not less than the apparent high Pacific Power and Light, and Utah bidders must submit a sealed bid bid. Failure to submit an agreement or Power and Light. meeting the requirements as stated a bid shall be considered a waiver of the OR–54927, OR–54930—Patents will be below. The highest valid sealed bid will option to divide the property equitably subject to road rights-of-way in become the starting bid for the oral and forfeiture of the preference conjunction with the Harney auction. Bidding in the oral auction will consideration. Failure to act by all of the County road system. be in minimum increments of $100. The designated bidders will result in the

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 69028 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices parcel being offered to the apparent high of the purchase price. Failure to meet SUMMARY: Final notice is hereby given bidder or declared unsold, if no bids this timeframe shall cause the deposit to that effective immediately all public were received in the initial round of be forfeited to the BLM. The parcel will lands in the Mount Belmont area, bidding. then be offered to the next lowest within the boundaries of the Great qualified bidder, or if no other bids were Divide Ski Area (895.91 acres) in: Unsold Competitive Procedures received, the parcel will be declared Principal Meridian, Montana Unsold competitive procedures will unsold. be used after a parcel has been A successful bid on a parcel T. 12 N., R. 6 W., Sec. 26, 27, 34, and 35, and unsuccessfully offered for sale by constitutes an application for competitive or modified competitive T. 11 N., R. 6 W., conveyance of those mineral interests Sec. 2 and 3 procedures. offered under the authority of section are permanently closed to all yearlong Unsold parcels will be offered 209(b) of the Federal Land Policy and competitively on a continuous basis motorized vehicle uses with the exception Management Act of 1976. In addition to that a seasonal closure will be established on until sold. Under competitive the full purchase price, a nonrefundable the Whippoorwill and Gloster Roads from procedures for unsold parcels the fee of $50 will be required for the December 2 through May 15. The area is highest valid bid received during the prospective purchaser for purchase of located about 25 miles northwest of Helena, preceding month will be declared the the mineral interests to be conveyed Montana. The purpose of this closure is to purchaser. Sealed bids will be accepted simultaneously with the sale of the prevent soil erosion, inhibit the spread of and held until the second Wednesday of noxious weeds, minimize visitor safety risks, land. Note that in the case of Parcels and reduce user conflicts. each month at 2:00 p.m. PST when they OR–54927 and OR–54928 only partial will be opened. Openings will take mineral interests are being offered. All A public meeting and comment place every month until the parcels are minerals will be conveyed with the period were provided in conjunction sold or withdrawn from sale. remainder of the parcels. with the Great Divide Ski Area All sealed bids must be submitted to expansion lease, and all responses DATES: On or before January 24, 2000, the Burns District Office, no later than received were considered prior to interested persons may submit 2:00 p.m. PST on Wednesday, March 8, making this designation. comments regarding the proposed sale 2000, the time of the bid opening and This decision is consistent with the to the Three Rivers Resource Area Field oral auction. The outside of bid Headwaters Resource Management Plan Manager at the address described below. envelopes must be clearly marked with and is authorized in 43 CFR 8342. This Comments or protests must reference a ‘‘BLM Land Sale,’’ the parcel number designation will remain in effect until specific parcel and be identified with and the bid opening date. Bids must be rescinded or modified by the authorized the appropriate serial number. In the for not less than the appraised market official. An appeal of this decision may absence of any objections, this proposal value (minimum bid). Separate bids be filed within 30 days of this notice will become the determination of the must be submitted for each parcel. Each with the Interior Board of Land Appeals. Department of the Interior. sealed bid shall be accompanied by a FOR FURTHER INFORMATION CONTACT: ADDRESSES: certified check, postal money order, Comments, bids, and Steve Hartmann, Assistant Field bank draft, or cashier’s check made inquiries should be submitted to the Manager, P.O. Box 3388, Butte, Montana payable to the Department of the Three Rivers Resource Area Field 59702, 406–494–5059. Interior-BLM for not less than 20 Manager, Bureau of Land Management, percent of the amount bid. The bid HC 74–12533, Hwy 20 West, Hines, Dated: November 19, 1999. envelope must also contain a statement Oregon 97738. Merle Good, showing the total amount bid and the FOR FURTHER INFORMATION CONTACT: Field Manager. name, mailing address and phone Detailed information concerning this [FR Doc. 99–31829 Filed 12–8–99; 8:45 am] number of the entity making the bid. A public land sale is available from Craig BILLING CODE 4310±DN±P successful bidder for competitive M. Hansen, Field Manager or Skip parcels shall make an additional deposit Renchler, Realty Specialist, Three at the close of the auction to bring the Rivers Resource Area at the above DEPARTMENT OF THE INTERIOR total bid deposit up to the required 20 address, phone (541) 573–4400. Minerals Management Service percent of the high bid. Personal checks Dated: November 30, 1999. or cash will be acceptable for this Craig M. Hansen, Outer Continental Shelf: Operations additional deposit only. (OCS), Annual List of Notices to Federal law requires that public land Three Rivers Resource Area Field Manager. Lessees and Operators (NTLs) may be sold only to either, (1) citizens [FR Doc. 99–31763 Filed 12–8–99; 8:45 am] of the United States 18 years of age or BILLING CODE 4310±33±M AGENCY: Minerals Management Service older; (2) corporations subject to the (MMS), Interior. laws of any state or the United States; ACTION: Notice. (3) other entities such as associations DEPARTMENT OF THE INTERIOR and partnerships capable of holding SUMMARY: This notice informs the Bureau of Land Management land or interests therein under the laws public, industry, and other Government of the state within which the land is [MT±070±99±1430±EQ; Designation Order agencies of NTLs that are in effect as of located; or (4) states, state MT±070±0001] December 9, 1999. It also officially instrumentalities or political rescinds several Letters to Lessees and subdivisions authorized to hold Off-Road Vehicle Designation, Butte Operators (LTLs). property. Certifications and evidence to Field Office, Montana ADDRESSES: You may obtain copies of this effect will be required of the AGENCY: Bureau of Land Management, NTLs through our website at purchaser prior to issuance of Interior. ‘‘www.mms.gov/eod/library.htm’’ or by contacting the MMS National Office or conveyance documents. ACTION: Off-Road Vehicle Designation Prospective purchasers will be the OCS Region that issued the NTL at Decision. allowed 180 days to submit the balance the following addresses:

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National Office: Minerals Management FOR FURTHER INFORMATION CONTACT: to reflect current technologies, correct Service, Engineering and Operations Alexis London, Engineering and regulatory citations, and include a Division, 381 Elden Street, Herndon, Operations Division; Telephone (703) statement on the Paperwork Reduction Virginia 20170–4817, Attention: Ms. 787–1600. Act of 1995 as it pertains to the NTL. Alexis London; Telephone (703) 787– SUPPLEMENTARY INFORMATION: The MMS We are also in the process of reviewing 1600. is responsible for oil and gas or sulphur the active LTLs. We have already Alaska OCS Region: Minerals rescinded many LTLs (see 63 FR 63071, Management Service, 949 East 36th operations in the OCS to ensure operational safety and protection of the 11/10/98; 64 FR 25364, 5/11/99) or have Avenue, Room 308, Anchorage, revised and reissued others as NTLs. Alaska 99508–4363, Attention: Ms. environment. In addition to our Christine Huffaker; Telephone (907) regulations, we issue NTLs to provide For your convenience, the following 271–6621. guidance and to further clarify, table lists the current active NTLs Gulf of Mexico (GOM) OCS Region: interpret, or describe regulatory issued by the National Office and the Minerals Management Service, 1201 requirements on a national or regional OCS Regions. Therefore, if an NTL Elmwood Park Blvd., New Orleans, basis. In the past we have also issued issued before December 9, 1999, is not Louisiana 70123–2394, Attention: Mr. LTLs for this purpose or to listed, it is canceled and no longer in Michael Dorner; Telephone (504) communicate information to OCS effect. Although not listed here, those 736–2599. lessees and operators. LTLs that have not yet been superseded Pacific OCS Region: Minerals Recently issued final regulations have by NTLs or officially rescinded remain Management Service, 770 Paseo eliminated the need for certain NTLs in effect until they are superseded or Camarillo, Camarillo, California and LTLs or have required changes in rescinded. To obtain a list or copies of 93010–6064, Attention: Ms. Freddie others. In the past 2 years, we have also currently active regional LTLs, please Mason; Telephone (805) 389–7566. updated and reissued most of our NTLs contact the OCS Region directly.

NTL No. Effective date Title/subject

Current Notices to Lessees and Operators Issued by the National Office

96±7N* ...... 12/10/96 Civil Penalties Program (*Modified by 97±5N). 97±2N ...... 08/01/97 Well Naming and Numbering Standards. 97±3N ...... 08/01/97 Annual Performance Review. 97±4N ...... 09/01/97 Civil Penalties Program Annual Summary to be Published. 97±5N* ...... 10/07/97 Civil Penalties Program Revised Assessment Matrix (*Modifies 96±7N). 98±1N ...... 01/02/98 Interim Guidance for Applying Platform Design Criteria from American Petroleum Institute (API) Rec- ommended Practice (RP) 2A, ``Planning, Designing, and Constructing Fixed Offshore Platforms,'' 19th Edition (8/1/91) and 20th Edition (7/1/93) and its Supplement 1 (2/1/97). 98±2N ...... 01/23/98 Guidance Regarding API Specification 14A, ``Specification for Subsurface Safety Valve Equipment,'' Ninth Edition (7/1/94) and Supplement 1. 98±4N ...... 03/04/98 Interim Guidance for Applying ``Simplified Fatigue Analysis'' Procedure from API RP 2A. 98±5N ...... 04/01/98 Application and Audit Fees for Requests for Royalty Relief or Adjustment Under 30 CFR Part 203. 98±8N ...... 06/01/98 Deepwater Operations Plans. 98±10N ...... 07/01/98 Decentralization of the Lessee Training Program. 98±12N ...... 07/01/98 Determination of Pollution Inspection Frequencies for Unmanned Facilities. 98±13N ...... 07/01/98 Use of New or Alternative Technology and Procedures. 98±14N ...... 07/01/98 Conservation Information. 98±16N ...... 10/28/98 API Specification 6D (SPEC 6D), Specification for Pipeline Valves (Gate, Plug, Ball, and Check Valves), 21st Edition (3/31/94), and Supplements 1 and 2. 98±18N ...... 12/23/98 Supplemental Bond Procedures. 98±19N* ...... 12/29/98 Year 2000 (Y2K) Readiness Disclosure Statement (*Rescission Date 1/3/2000). 99±N01 ...... 01/01/99 Guidelines for Oil Spill Financial Responsibility for Covered Facilities. 99±N03 ...... 03/01/99 Performance Measures for OCS Operators & Form MMS±131. 99±N04 ...... 03/05/99 Revised Guidelines for Royalty Relief Under 30 CFR Part 203. 99±N05* ...... 05/21/99 Year 2000 (Y2K) and End of Week (EOW) Compliance of Global Positioning System (GPS) Receivers (*Rescission Date 1/31/2000). 99±N06* ...... 05/13/99 Final Rule on MMS Appeals (*Rescission Date 6/30/2000). 99±N07* ...... 11/23/99 1999 Industry Awards Program & Luncheon (*Rescission Date 4/15/2000).

Current Notices to Lessees and Operators Issued by the Alaska OCS Region

There are no current NTLs issued by the Alaska OCS Region.

Current Notices to Lessees and Operators Issued by the Gulf of Mexico OCS Region

86±05 ...... 06/18/86 New Form for Designation of Operator. 93±04...... 09/30/93 OCS Functional Responsibility of New Regulations. 96±08 ...... 11/25/96 Time Allowed for the Correction of Incidents of Noncompliance (INC's) and for the Return of Notifica- tion of INC Forms. 96±10 ...... 12/05/96 Air Emissions Information for Application for Accessory Platforms to Pipeline Rights-of-Way. 97±06 ...... 03/01/97 Timely Submittal of Drilling Well Records in Accordance with 30 CFR 250.66 [Redesignated 30 CFR 250.416]. 97±07 ...... 03/01/97 Revised Conditions of Approval to Drill, Sidetrack and/or Complete for Oil and Gas Production. 97±16 ...... 08/01/97 Production Within 500 Feet of a Unit or Lease Line. 97±17 ...... 08/01/97 Containment Requirements for Bolted or Welded Stock Tanks. 97±18 ...... 08/18/97 Timely Submittal of Deepwater Royalty Relief Applications.

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NTL No. Effective date Title/subject

98±04 ...... 06/08/98 Hurricane and Tropical Storm Evacuation and Production Curtailment Procedures. 98±05 ...... 07/01/98 Confirmation of Deepwater Royalty Relief for Leases Issued After November 28, 1995. 98±06 ...... 08/10/98 Archaeological Requirements. 98±09 ...... 08/10/98 Proposed and As-Built Pipeline Location Data. 98±10 ...... 08/10/98 Best Available Control Technology (Sulphur Dioxide). 98±11 ...... 08/10/98 Implementation of Measures to Detect and Protect Deep Water Chemosynthetic Communities. 98±12 ...... 08/10/98 Implementation of Consistent Biological Stipulation Measures in the Central and Western Gulf of Mex- ico. 98±13 ...... 08/10/98 Minimizing Oil and Gas Structures in the Gulf of Mexico. 98±15 ...... 08/10/98 Time Allowed Between Lease Holding Operations (30 CFR 250.13 [Redesignated 30 CFR 250.113]). 98±16 ...... 08/10/98 Hydrogen Sulfide (H2S) Requirements. 98±18 ...... 09/01/98 Change of Address for the Submittal of Certain Drilling Records in Accordance with 30 CFR 250.416. 98±19 ...... 09/15/98 Temporary Abandonment of Wells and Maintenance, Protection and Removal of Underwater Casing Stubs. 98±20 ...... 09/15/98 Shallow Hazards Requirements. 98±21 ...... 09/15/98 Environmental Information Guidelines for OCS Plans. 98±22 ...... 10/05/98 Reorganization of the Office of Field Operations to Activate the Lake Charles District, Realign the Dis- trict Boundaries, and Establish District and Pipe Section Procedures for After-Hours, Weekend and Holiday Calls, and Related Submittals. 98±23 ...... 10/15/98 Interim Reporting Requirements for 30 CFR 250, Subpart K, Oil and Gas Production Rates. 98±24 ...... 10/15/98 Rate Control Section Address, Office Hours, and Telephone Procedures. 98±26 ...... 11/30/98 Minimum Interim Requirements for Site Clearance (and Verification) of Abandoned Oil and Gas Struc- tures in the Gulf of Mexico. 98±27 ...... 12/01/98 Guidelines for Eliminating Trash and Debris Resulting from Gulf of Mexico OCS Operations. 98±28 ...... 12/01/98 Drilling Windows, Eastern Gulf of Mexico. 98±29 ...... 12/18/98 Announcement of Project to Clean Up Historical Well Data. 98±29 Addendum 1 .... 03/15/99 Well Records for Information Corrected or Completed During Project to Clean Up Historical Well Data Exemption form Incidents of Non-compliance. 98±30 ...... 03/01/99 Regional Oil Spill Response Plans. 99±G01 ...... 02/12/99 Deepwater Emergency Well Control Operations. 99±G03* ...... 03/12/99 Meteorological Data Collection and Reporting (Breton National Wildlife Refuge/Wilderness Area) (*Rescission Date 12/31/2000). 99±G04 ...... 03/12/99 Guidelines for General Lease Surety Bonds. 99±G05 ...... 04/26/99 Submittal of Documents for Platforms and Structures. 99±G06 ...... 05/01/99 Economic Assumptions for RSVP Deepwater Royalty Relief Model. 99±G07 ...... 05/03/99 U.S. Air Force Communication Towers. 99±G08 ...... 05/10/99 Removing Underwater Casing Stubs. 99±G09 ...... 05/10/99 Location of Choke and Kill Lines on BOP Stacks. 99±G10 ...... 05/11/99 Designated Safe Welding and Burning Areas on Rigs. 99±G11 ...... 06/07/99 Approval of Acidizing Operations. 99±G12 ...... 06/07/99 Increased Level II Underwater Structural Inspection Intervals. 99±G13* ...... 06/30/99 Gas Volume Statement Requirements (*Rescission Date 12/31/99). 99±G14* ...... 06/30/99 Production Activities Information Collection and Reporting (Breton National Wildlife Refuge/Wilderness Area) (*Rescission Date 1/31/2001). 99±G15* ...... 06/30/99 Production Activities Information Collection and Reporting (Western Gulf of Mexico) (*Rescission Date 1/31/2001). 99±G16 ...... 07/08/99 Live-Bottom Surveys and Reports. 99±G17 ...... 07/08/99 North American Datum 83 Implementation Plan for the GOM. 99±G19 ...... 09/07/99 Downhole Commingling Policies. 99±G20 ...... 09/07/99 Downhole Commingling Applications. 99±G21 ...... 09/13/99 Platform Removal Applications. 99±G22 ...... 09/24/99 Guidelines for Subsea Disposal & Offshore Storage of Solid Wastes.

Current Notices to Lessees and Operators Issued by the Pacific OCS Region

92±01 ...... 03/24/92 Warning Signs: Pipelines and Power Cables. 98±01 ...... 03/05/98 Santa Maria District Office Phone Call Procedures and Hours. 98±02 ...... 03/05/98 Camarillo District Office Phone Call Procedures and Hours. 98±04 ...... 07/01/98 Gas Volume Statement Requirements. 98±05 ...... 08/04/98 Archaeological Survey and Report Requirements. 98±06 ...... 08/04/98 Change of Ownership/Operatorship of Leases and Pipelines. 98±07 ...... 08/04/98 Helideck Closures. 98±08 ...... 08/04/98 Biological Survey Criteria. 98±09 ...... 08/11/98 Hydrogen Sulfide (H2S) Requirements. 98±10 ...... 08/21/98 Liquid Royalty Measurement Facilities. 98±11 ...... 08/31/98 Submission of Digitized Well Log Data on Magnetic Tape. 98±12 ...... 08/11/98 Guidelines for Shallow Hazards and Report Requirements for Exploration Drilling. 98±13 ...... 08/11/98 Guidelines for Shallow Hazards and Report Requirements for OCS Development Operations. 98±14 ...... 11/04/98 Cooperative Drilling Rig. 99±P01 ...... 07/15/99 Oil Spill Response Plans. 99±P02* ...... 08/05/99 Pipelines & Pipeline Rights-of-Way; Correction (*Rescission Date 10/1/2000). 99±P04 ...... 11/04/99 Flaring and Venting Gas.

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You are advised that the Gulf of Review of Pub. L. 100–571, the Park’s revised Interim Guidelines in the Mexico and Pacific OCS Regions are Enabling Legislation Federal Register and to allow the public officially rescinding the following Review of the Park’s General 30 days to comment. previously issued LTLs that are no Management Plan DATES: All public comments must be longer current, have served their Superintendent’s Report received by January 10, 2000. purpose, or because recently revised Discussion of Superintendent’s Report ADDRESSES: Please mail comments to regulations and policies have eliminated Public Comments Julie Spezia, Bureau of Reclamation, the need for them. With one noted The meeting is open to the public and 2800 Cottage Way, MP–410, Sacramento exception (*), the following LTLs are opportunity will be provided for public CA 95825. rescinded effective with the publication comments at specified times during the FOR FURTHER INFORMATION CONTACT: To of this notice. meeting and prior to closing the be placed on a mailing list for any meeting. The meeting will be recorded Gulf of Mexico OCS Region subsequent information, please contact for documentation and transcribed for Julie Spezia at the address above, or by • LTL dated May 30, 1989, dissemination. Minutes of the meeting telephone at (916) 978–5295 (TDD 978– Unannounced Oil Spill Drills— will be available to the public after they 5608). Announcement. have been approved by the full SUPPLEMENTARY INFORMATION: • LTL dated June 26, 1989, Advisory Commission. For copies of the Reclamation’s objectives in developing Unannounced Oil Spill Drills— minutes, contact the National Park of Interim Guidelines for the Implementation. American Samoa Superintendent at 011 • implementation of section 3405(a) of LTL dated August 30, 1990, Aircraft (684) 633–7082. Public Law 102–575, commonly referred over National Wildlife Refuges & Dated: November 24, 1999. to as the Central Valley Project National Parks. • Holly Bundorn, Improvement Act (CVPIA), are to LTL dated May 14, 1991, Establish address all water transfers equitably, to Uniform Procedures for the Designation Acting Regional Director, Pacific West Region. [FR Doc. 99–31751 Filed 12–6–99; 8:45 am] provide for a more efficient and of Structures on OCS Leases (*This LTL effective use of the water supply BILLING CODE 4310±70±P will be rescinded on the same date that developed by the Project, and to provide our revised final rule on 30 CFR 250, greater flexibility to water users in subpart A becomes effective.). • DEPARTMENT OF THE INTERIOR transferring water developed by the LTL dated May 18, 1995, Sustained Project. These revised Interim Casinghead Pressure (SCP) Policy. • Bureau of Reclamation Guidelines will establish the conditions LTL dated June 6, 1995, Flower for transfer of Project water subsequent Garden Banks Sanctuary Manager Oil Central Valley Project Improvement to September 30, 1999. Spill Notification. Act, Revised Interim Guidelines for Section 3405(a) authorizes all Pacific OCS Region Implementation of the Water Transfer individuals or districts who receive • Provisions of the Central Valley Project Project water under water service or LTL dated November 1, 1993, Office Improvement Act repayment contracts, water rights Name Change. settlement contracts or exchange AGENCY: Bureau of Reclamation, Dated: November 23, 1999. contracts to transfer, subject to certain Interior. Carolita U. Kallaur, conditions, all or a portion of their ACTION: Notice. Associate Director for Offshore Minerals Project water to any California water Management. SUMMARY: To meet the requirements of user or water agency, State or Federal [FR Doc. 99–31831 Filed 12–8–99; 8:45 am] the Central Valley Project Improvement agency, Indian Tribe or private BILLING CODE 4310±MR±P Act (CVPIA) of 1992, the Bureau of nonprofit organization for Project Reclamation (Reclamation) developed purposes or any purpose recognized as and published the Interim Guidelines beneficial under State law. DEPARTMENT OF THE INTERIOR for Implementation of Water Transfers The sections of the Interim Guidelines Under Title XXXIV of Public Law 102– are listed as follows with a brief National Park Service 575 (Interim Guidelines) on February description of changes made: 25, 1993. On September 30, 1999, I Objective: No substantive change. National Park of American Samoa II Authority: No substantive change. Federal Advisory Commission; Notice certain provisions of section 3405(a) of III Applicability: No substantive of Meeting the CVPIA sunseted. Consequently, change. Reclamation has drafted revised Interim IV Implementation: No substantive Notice is given in accordance with the Guidelines to reflect these change. Federal Advisory Committee Act that a Congressionally mandated changes. V Criteria for Transfers Authorized meeting of the National Park of The Interim Guidelines were prepared Under Section 3405(a): delete American Samoa Federal Advisory pursuant to the provisions of section paragraphs (D), (F), (G) and (N). Commission will be held from 9 a.m. to 3405(a) specifying the conditions and 4 p.m., Thursday and Friday, January 6 requirements for the transfer of Central Note: Even though CVPIA no longer prohibits water transfers with long-term and 7, 2000, at Pago Plaza, Room 213, Valley Project (Project) water. Section impacts on ground water, any such impacts Pago Pago, American Samoa. 3405(a)(3) states ‘‘Transfers executed would need to be identified under the The agenda for the meeting will after September 30, 1999, shall only be environmental compliance process; also include: governed by the provisions of water transfers need to comply with State Welcome and Introductions subparagraphs 3405(a)(1)(A)–(C), (E), and local ground-water law and ordinances, Review of Advisory Commission (G), (H), (I), (L), and (M) of this title, and if any. Purpose and Goals by State law.’’ The interim guidelines VI Transferor’s Responsibility: Selection of Officers have been changed to reflect this CVPIA delete paragraph (C). Development of Bylaws for the provision. Reclamation has made a VII Reclamation Responsibility: no Commission commitment to publish a notice of its substantive change.

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VIII Appendix No. 1 Criteria and Kipling Street, Building 67, Room PURPOSES: Checklist for a Complete Written Water 112, Denver, Colorado, from 7:30 a.m. to To identify the person, persons, or Transfer Proposal: delete requirements 4 p.m. business entities responsible for the 18 and 19. FOR FURTHER INFORMATION CONTACT: For management of a concession area, to IX Appendix No. 2 Public Notice information regarding ‘‘Concessions, determine their ability to manage a Requirements: change MP–440 to MP– WBR–7’’ contact Mr. Vernon Lovejoy, concession operation, and to determine 410. Office of Policy at (303) 445–2913. For or ensure compliance with the terms of Public comment on Reclamation’s general information regarding the concession agreement, contract, revised Interim Guidelines is invited at Reclamation’s Privacy Act program, lease, or rental agreement. this time. A copy of the revised Interim contact Mr. Casey Snyder at (303) 445– Guidelines will be available for review 2048. ROUTINE USES OF RECORDS MAINTAINED IN THE at Reclamation’s MP Regional Office SYSTEM, INCLUDING CATEGORIES OF USERS AND SUPPLEMENTARY INFORMATION: Recent THE PURPOSES OF SUCH USES: located in Sacramento, California. If you Privacy Act Compilations list this wish to review a copy of the revised system of records as Reclamation-7. The Bureau of Reclamation is the Interim Guidelines, please contact Ms. When originally published in the primary user of the system and the Spezia, or access it on the Internet at Federal Register this system of records primary use of the records is to give www.mp.usbr.gov. was identified as WBR–7. The content Reclamation information needed for Dated: November 29, 1999. of the system of records is the same; the administrative control over concessions Mary Johannis, prefix on the system was changed to operating at Reclamation facilities. Acting Regional Resources Manager, Mid- reflect organizational changes. Disclosures outside the Department of Pacific Region. This system of records notice was the Interior may be made: (1) To State [FR Doc. 99–31469 Filed 12–8–99; 8:45 am] previously published in the Federal or local government agencies for BILLING CODE 4310±94±M Register on November 16, 1984 (49 FR taxation purposes; (2) to the Department 45493). This publication revises the of Justice when related to litigation or system location, a purpose statement anticipated litigation; (3) of information DEPARTMENT OF THE INTERIOR has been added which was not included indicating a violation or potential in the original system of records notice, violation of a statute, regulation, rule, Bureau of Reclamation expands the categories of records in the order, or license to appropriate Federal, system, and the system manager and State, local, or foreign agencies Privacy Act of 1974, as Amended; address have been updated. All other responsible for investigating or Revisions to Existing System of changes proposed are editorial in prosecuting the violation or for Records nature. enforcing or implementing the statute, AGENCY: Bureau of Reclamation, Murlin Coffey, rule, regulation, order, or license; (4) Interior. Manager, Property and Office Services. from the record of an individual in response to an inquiry from a ACTION: Proposed revisions to an INTERIOR/WBR±7 congressional office made at the request existing system of records. of that individual; (5) to non-Federal SYSTEM NAME: SUMMARY: Pursuant to the provisions of auditors under contract with the Concessions. the Privacy Act of 1974, as amended (5 Departments of Interior or Energy or U.S.C. 552a), the Department of the SYSTEM LOCATION: water user and other organizations with Interior is issuing public notice of its Commissioner’s Office, Reclamation which the Bureau of Reclamation has intent to amend the existing system of Service Center, and Regional Offices: written agreements permitting access to records managed by the Bureau of Pacific Northwest, Mid-Pacific, Lower financial records to perform financial Reclamation (Reclamation) entitled Colorado, Upper Colorado, and Great audits. ‘‘Concessions, WBR–7.’’ Plains. See appendix for addresses. The notice is published in its entirety DISCLOSURE TO CONSUMER REPORTING AGENCIES: below. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: DATES: Persons wishing to comment on Disclosures pursuant to 5 U.S.C. the proposed revisions must do so by Individual concessionaires. Records 552a(b)(12). Disclosures may be made January 10, 2000. in this system pertaining to individuals from this system to consumer reporting Effective date: The proposed revised contain information concerning sole agencies as defined in the Fair Credit system of records will become effective proprietorships, but may also reflect Reporting Act (15 U.S.C. 1681a(f)) or the without further notice on January 18, personal information. In addition, the Federal Claims Collection Act of 1966 2000, unless comments received result system maintains records concerning (31 U.S.C. 3701(a)(3)). in a contrary determination. corporations and other business entities. POLICIES AND PRACTICES FOR STORING, Reclamation will publish a new notice Only the records relating to individuals are covered by the Privacy Act. RETRIEVING, ACCESSING, RETAINING, AND if changes are made based on review of DISPOSING OF RECORDS IN THE SYSTEM: comments received. CATEGORIES OF RECORDS IN THE SYSTEM: STORAGE: ADDRESSES: Interested individuals may Concession agreements, concession comment on this publication by writing contracts, rental or lease agreements Records are maintained in manual to the Reclamation Privacy Act Officer, with individuals, corporations, or other form in file folders. Bureau of Reclamation, PO Box 25007, legal business entities providing RETRIEVABILITY: Denver, Colorado 80225–0007 or services or concessions at Reclamation comments may be sent by facsimile projects. By individual name. transmission to fax No. 1–800–822– 7651. Comments will be available for AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SAFEGUARDS: inspection at the Bureau of Reclamation, Reclamation Law of 1902, as In accordance with requirements of 43 Denver Federal Center, Sixth Avenue amended, 43 U.S.C. 371, et seq. CFR 2.51 for manual records.

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RETENTION AND DISPOSAL: 8413. Submit electronic comments to ROUTINE USES OF RECORDS MAINTAINED IN THE The records are maintained for 6 years [email protected]. SYSTEM, INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USES: and 3 months after close of fiscal year, FOR FURTHER INFORMATION CONTACT: Jean unless involved in litigation. Disposal is Strasser, Management Services, Used (i) to distribute publications in accordance with approved retention Overseas Private Investment (e.g., press releases, newsletters, and and disposal schedules. Corporation, 1100 New York Avenue, annual reports) and other general NW, Washington, DC 20527, telephone information developed by OPIC either SYSTEM MANAGER(S) AND ADDRESS: (202) 336–8670. by mail or electronically to individuals’ Commissioner’s Office, Reclamation email addresses; (ii) to distribute Service Center, and Regional Offices: SUPPLEMENTARY INFORMATION: information regarding OPIC-hosted Pacific Northwest, Mid-Pacific, Lower OPIC±21 conferences and events; (iii) by other Colorado, Upper Colorado, and Great organizations affiliated with OPIC (e.g., Plains. See appendix for addresses. SYSTEM NAME: other Federal agencies, corporate or Contacts and Mailing Lists. non-profit co-sponsors) to distribute NOTIFICATION PROCEDURE: announcements regarding events in Written inquiries regarding the SECURITY CLASSIFICATION: which OPIC is a co-sponsor; (iv) by existence of a record(s) should be None. OPIC management to conduct surveys or addressed to the System Manager at the gather statistical data to analyze usage of appropriate address listed in the SYSTEM LOCATION: or improve OPIC services; and (v) by appendix. See 43 CFR 2.60. Overseas Private Investment members of Congress in response to Corporation, 1100 New York Avenue, their request. RECORD ACCESS PROCEDURES: NW, Washington, DC 20527. Same as Notification above. See 43 DISCLOSURE TO CONSUMER REPORTING CFR 2.63. CATEGORIES OF INDIVIDUALS COVERED BY THE AGENCIES: SYSTEM: None. CONTESTING RECORD PROCEDURES: Individuals who have requested that POLICIES AND PRACTICES FOR STORING, Written petitions for amendment they be kept informed of OPIC activities should be addressed to the System RETRIEVING, ACCESSING, RETAINING, AND or whose names are placed on a contact DISPOSING OF RECORDS IN THE SYSTEM: Manager at the appropriate address or mailing list by OPIC staff, including listed in the appendix. See 43 CFR 2.71. current and former members of the OPIC STORAGE: Records are stored in an electronic RECORD SOURCE CATEGORIES: Board of Directors, former employees, officials of all branches of government database accessible by authorized OPIC Individuals on whom records are and international governments, employees. Hard copies may be printed maintained. representatives of the press, and stored in file cabinets in secure [FR Doc. 99–31749 Filed 12–8–99; 8:45 am] corporations, and other organizations. OPIC offices. BILLING CODE 4310±94±P Individuals who have requested RETRIEVABILITY: publications or information from OPIC in writing, in person, by phone, fax, Records are indexed by name, region, OVERSEAS PRIVATE INVESTMENT email, or via the Corporation’s web site. zip code, sector, or area of interest. CORPORATION Individuals identified by other SAFEGUARDS: government agencies as having an Records are kept in a secured Privacy Act of 1974; New System of interest in an OPIC-sponsored program Records electronic database, with access limited and/or activity. to authorized marketing personnel; AGENCY: Overseas Private Investment CATEGORIES OF RECORDS IN THE SYSTEM: access to information in computer files Corporation. is limited to personnel having an Name, business title, company or authorized computer password. Hard ACTION: Notice of proposed Privacy Act organization, mailing address, email copy records are stored in secure staff system of records. address, phone and fax numbers, offices accessible to OPIC staff only. SUMMARY: In accordance with the organization type, and industrial sector, requirements of the Privacy Act of 1974, if applicable, of individuals covered by RETENTION AND DISPOSAL: as amended (5 U.S.C. 552a), the the system. The list also includes Records are maintained on an ongoing Overseas Private Investment information on the types of information basis, updated by request of individuals Corporation (OPIC) is providing notice individuals are interested in (e.g., covered by the system, and retained of the establishment of a new system of regional interest). indefinitely or until the individual records for Contacts and Mailing Lists. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: requests removal from the list. DATES: The proposed new system will 44 U.S.C. 3101, Records Management SYSTEM MANAGER(S) AND ADDRESS: be effective without further notice on by Agency Heads. Vice President for Investment January 18, 2000, unless comments are Development, Overseas Private PURPOSE(S): received which result in a contrary Investment Corporation, 1100 New York determination. These records are used by OPIC for Avenue, NW, Washington, DC 20527. ADDRESSES: Written comments on the the mailing and electronic distribution new systems of records may be of OPIC information, publications and NOTIFICATION PROCEDURE: addressed and mailed or hand-delivered announcements regarding OPIC- Requests by individuals concerning to Jean Strasser, Management Services, sponsored events. They may be used by the existence of a record may be Overseas Private Investment other organizations affiliated with OPIC submitted in writing, addressed to the Corporation, 1100 New York Avenue, for the distribution of announcements system manager above. The request NW, Washington, DC 20527. Faxes may regarding events in which OPIC is a co- must comply with the requirements of be sent to Jean Strasser at (202) 842– sponsor or participant. 22 CFR 707.21(b).

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RECORD ACCESS PROCEDURES: In accordance with Commission use of appropriate automated, Same as above. policy, subject matter listed above, not electronic, mechanical, or other disposed of at the scheduled meeting, technological collection techniques to CONTESTING RECORD PROCEDURES: may be carried over to the agenda of the other forms of information technology, Requests by individuals to amend following meeting. e.g., permitting electronic submission of their record must be submitted in Issued: December 6, 1999. responses. writing, addressed to the system Agency: Employment Standards By order of the Commission. manager above. Requests for Administration. amendments to records and requests for Donna R. Koehnke, Title: Agreement and Undertaking. review of a refusal to amend a record Secretary. OMB Number: 1215-0034. must comply with the requirements of [FR Doc. 99–32082 Filed 12–7–99; 1:46 pm] Frequency: On occasion. 22 CFR 707.22. BILLING CODE 7020±02±U Affected Public: Business or other for- RECORD SOURCE CATEGORIES: profit. Number of Respondents: 300. Information is collected via OPIC’s DEPARTMENT OF LABOR Estimated Time Per respondent: 15 web site or via hard-copy forms (e.g., minutes. OPIC Reply Card) and labels, directly Office of the Secretary Total Burden Hours: 75. from individuals on whom the records Total Annualized capital/startup are maintained (i.e., the individuals Submission for OMB Review; costs: $0. requesting information). Information Comment Request Total annual costs (operating/ may be collected from attendees of December 2, 1999. maintaining systems or purchasing OPIC-sponsored conferences and events, services): $0. The Department of Labor (DOL) has and OPIC staff who attend non-OPIC Description: The OWCP–1 is a joint submitted the following public sponsored functions/events and receive use form (Longshore and Black Lung information collection requests (ICRs) to business cards from individuals. Programs) completed by employers to the Office of Management of Budget Information may also be collected from provide the Secretary of Labor with (OMB) for review and approval in third party contacts such as other authorization to sell securities or to accordance with the Paperwork government agencies or organizations bring suit under indemnity bonds Reduction Act of 1995 (Pub. L. 104–13, that co-sponsor events with OPIC. deposited by the self-insured employers 44 U.S.C. Chapter 35). A copy of each Exemptions claimed for the system: in the event there is a default in the individual ICR, with applicable None. payment of benefits. Signature Date: November 17, 1999. supporting documentation, may be obtained by calling the Department of Ira L. Mills, James R. Offutt, Labor. To obtain documentation for Departmental Clearance Officer. Assistant General Counsel, Department of BLS, ETA, PWBA, and OASAM contact [FR Doc. 99–31925 Filed 12–8–99; 8:45 am] Legal Affairs Overseas Private Investment { } BILLING CODE 4510±29±M Corporation. Karin Kurz ( 202 219–5096 ext. 159 or by E-mail to [email protected]). To [FR Doc. 99–31704 Filed 12–8–99; 8:45 am] obtain documentation for ESA, MSHA, BILLING CODE 3210±01±p OHSA, and VETS contact Darrin King DEPARTMENT OF LABOR ({202} 219–5096 ext. 151 or by E-Mail Office of the Secretary to [email protected]). INTERNATIONAL TRADE Comments should be sent to Office of COMMISSION Submission for OMB Review; Information and Regulatory Affairs, Comment Request Sunshine Act Meeting; Notice Attn: OMB Desk Officer for BLS, DM, ESA, ETA, MSHA, OSHA, PWBA, or December 2, 1999. TIME AND DATE: December 13, 1999 at VETS, Office of Management and The Department of Labor (DOL) has 2:30 p.m. Budget, Room 10235, Washington, DC submitted the following public PLACE: Room 101, 500 E Street SW, 20503 ({202} 395–7316), within 30 days information collection requests (ICRs) to Washington, DC 20436, Telephone: from the date of this publication in the the Office of Management and Budget (202) 205–2000. Federal Register. (OMB) for review and approval in STATUS: Open to the public. The OMB is particularly interested in accordance with the Paperwork MATTERS TO BE CONSIDERED: comments which: Reduction Act of 1995 (Pub. L. 104–13, • Evaluate whether the proposed 44 U.S.C. Chapter 35). A copy of each 1. Agenda for future meeting: none. collection of information is necessary individual ICR, with applicable 2. Minutes. for the proper performance of the supporting documentation, may be 3. Ratification List. 4. Inv. No. 731–TA–860 (Preliminary)(Tin- functions of the agency, including obtained by calling the Department of and Chromium-Coated Steel Sheet from whether the information will have Labor. To obtain documentation for Japan)—briefing and vote. (The Commission practical utility; BLS, ETA, PWBA, and OASAM contact will transmit its determination to the • Evaluate the accuracy of the Karin Kurz ({202} 219–5096 ext. 159 or Secretary of Commerce on December 13, agency’s estimate of the burden of the by E-mail to [email protected]). To 1999.) proposed collection of information, obtain documentation for ESA, MSHA, 5. Outstanding action jackets: including the validity of the OHSA, and VETS contact Darrin King (1) Document No. GC–99–105: Regarding methodology and assumptions used; ({202} 219–5096 ext. 151 or by E-Mail Inv. No. 337–TA–409 (Certain CD–ROM • Enhance the quality, utility, and to [email protected]). Controllers and Products Containing Same- II). clarity of the information to be Comments should be sent to Office of collected; and Information and Regulatory Affairs, (2) Document No. ID–99–021: Approval of • transition report and proposal for a study Minimize the burden of the Attn: OMB Desk Officer for BLS, DM, focus on ‘‘Integration of Manufacturing in collection of information on those who ESA, ETA, MSHA, OSHA, PWBA, or North America and Selected Regions.’’ are to respond, including through the VETS, Office of Management and

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Budget, Room 10235, Washington, DC DEPARTMENT OF LABOR Canada. The Department cannot 20503 ({202} 395–7316), within 30 days consider the domestic shift of from the date of this publication in the Employment and Training production of bib overalls from Federal Register. Administration McKenzie, Tennessee to Camden, The OMB is particularly interested in [NAFTA±2952] Tennessee as a basis for worker group comments which: certification. • Carhartt, Inc., McKenzie, Tennessee; Conclusion Evaluate whether the proposed Negative Determination on Application collection of information is necessary for Reconsideration After review of the application and for the proper performance of the investigative findings, I conclude that functions of the agency, including By letter of May 6, 1999, the company there has been no error or whether the information will have requested administrative misinterpretation of the law or of the practical utility; reconsideration of the Department’s facts which would justify • Evaluate the accuracy of the negative determination regarding reconsideration of the Department of agency’s estimate of the burden of the eligibility to apply for Trade Adjustment Labor’s prior decision. Accordingly, the proposed collection of information, Assistance (TAA) applicable to workers application is denied. including the validity of the and former workers of the McKenzie, Signed at Washington, DC, this 30th day of Tennessee plant of Carhartt, Inc. The methodology and assumptions used; November 1999. negative determination was signed on Grant D. Beale, • Enhance the quality, utility, and April 12, 1999 and published in the clarity of the information to be Program Manager, Office of Trade Federal Register on May 11, 1999 (64 Adjustment Assistance. collected; and FR 25373). Company officials have now [FR Doc. 99–31937 Filed 12–8–99; 8:45 am] • indicated that it was their intention to Minimize the burden of the BILLING CODE 4510±30±M collection of information on those who also request reconsideration of the are to respond, including through the Department’s negative determination use of appropriate automated, eligibility to apply for North American DEPARTMENT OF LABOR electronic, mechanical, or other Free Trade Agreement—Transitional technological collection techniques or Adjustment Assistance (NAFTA–TAA) Employment and Training other forms of information technology, applicable to workers and former Administration e.g., permitting electronic submission of workers of Carhartt, Inc., McKenzie, [NAFTA±03115] responses. Tennessee (NAFTA–2952). That negative determination was also signed Agency: Employment Standards D & E Wood Products, Incorporated on April 12, 1999 and published in the Administration. Including Temporary Workers of Mid- Federal Register on May 11, 1999. Oregon Temporary Workers of Mid- Title: application for Authority for an Pursuant to 29 CFR 90.18(c) Oregon Labor Contractors, Prineville, Institution of Higher Education to reconsideration may be granted under Oregon; Amended Certification Employ its Full-Time Students at the following circumstances: Regarding Eligibility To Apply for Subminimum Wages Under Regulations (1) If it appears on the basis of facts NAFTA- Transitional Adjustment Part 519. not previously considered that the Assistance OMB Number: 1215–0080. determination complained of was erroneous; In accordance with section 250(A), Frequency: Annually. (2) If it appears that the determination Subchapter D, Chapter 2, Title II, of the Affected Public: Individuals or complained of was based on a mistake Trade Act of 1974 (19 USC 2273), the households; Business or other for-profit. in the determination of facts not Department of Labor issued a Certification for NAFTA Transitional Number of Respondents: 15. previously considered; or (3) If in the opinion of the Certifying Adjustment Assistance on October 5, Estimated Time per Respondent: 15 to Officer, a misinterpretation of facts or of 1999, applicable to workers of D & E 30 minutes. the law justified reconsideration of the Wood Products, Incorporated, Total Burden Hours: 5. decision. Prineville, Oregon. The notice was The petitioner states that the Carhartt Total Annualized Capital/Startup published in the Federal Register on McKenzie sewing facility produced bib October 14, 1999 (64 FR 55752). Costs: $0. overalls. When the plan permanently At the request of the State agency, the Total Annual Costs (operating/ closed on July 30, 1999, production was Department reviewed the certification maintaining systems or purchasing transferred to the Carhartt Camden, for workers of the subject firm. New services): $0. Tennessee facility. information provided by the State Description: Section 14(b) of the Fair The NAFTA–TAA petition, filed on shows that some employees of D & E Labor Standards Act, in part, authorizes behalf of workers of Carhartt, Inc., Wood Products, Incorporated were the employment of full-time students in McKenzie, Tennessee, was denied based temporary workers of Mid-Oregon Labor higher education at subminimum wages on the finding that criteria (3) and (4) of Contractors employed to produce finger under certain conditions. The WH–201 the worker group eligibility joint wood block and cut stock at the application form provides the requirements of paragraph (a)(1) of Prineville, Oregon facility. information necessary to ascertain section 250 of the Trade Act of 1974, as Based on these findings, the whether the requirements of section amended, were not met. There were no Department is amending the 14(b) have been met. company or customer imports from certification to include temporary Mexico or Canada of products like or workers of Mid-Oregon Labor Ira L. Mills, directly competitive with the bib Contractors who were engaged in the Department Clearance Officer. overalls produced by workers at production of finger joint wood block [FR Doc. 99–31926 Filed 12–8–99; 8:45 am] McKenzie. The company did not shift and cut stock at D & E Wood Products, BILLING CODE 4510±26±M production from McKenzie to Mexico or Incorporated, Prineville, Oregon.

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The intent of the Department’s DEPARTMENT OF LABOR DEPARTMENT OF LABOR certification is to include all workers of D & E Wood Products, Incorporated Employment and Training Employment and Training adversely affected by imports from Administration Administration Mexico. [NAFTA±3533] The amended notice applicable to [NAFTA±03183 et al.] NAFTA–03115 is hereby issued as Walls Industries, Inc., Cutting follows: Russell Corporation; Amended Department, Sweetwater, Texas; Notice ‘‘All workers of D & E Wood Products, Certification Regarding Eligibility To of Termination of Investigation Incorporated, Prineville, Oregon and Apply for NAFTA-Transitional Adjustment Assistance Pursuant to section 221 of the Trade temporary workers of Mid-Oregon Labor Act of 1974, an Investigation was Contractors, Prineville, Oregon engaged In accordance with section 250(a), initiated on October 17, 1999, in in employment related to the Subchapter D, Chapter 2, Title II, of the response to a worker petition which was production of finger joint wood block Trade Act of 1974 as amended (19 USC filed on behalf of workers at Walls and cut stock for D & E Wood Products, 2273) the Department of Labor issued a Industries, Inc., Cutting Department, Incorporated, Prineville, Oregon who Certification of Eligibility to Apply for Sweetwater, Texas. became totally or partially separated Worker Adjustment Assistance on June An active certification (amended) from employment on or after April 20, 8, 1999, applicable to workers at Russell covering the petitioning group of 1999 through October 5, 2001 are Corp., Sylcaugua, Alabama. The notice workers at the subject firm remains in eligible to apply for NAFTA–TAA under was published in the Federal Register effect (NAFTA–3298C). Consequently, Section 250 of the Trade Act of 1974.’’ on June 30, 1999 (64 FR 35186). further investigation in this case would Signed at Washington, DC this 22nd day of serve to purpose, and the investigation November, 1999. At the request of the company, the has been terminated. Grant D. Beale, Department reviewed the certification for workers of the subject firm. New Signed in Washington, DC this 2nd day of Program Manager, Office of Trade December, 1999. information received by the company Adjustment Assistance. Grant D. Beale, [FR Doc. 99–31932 Filed 12–8–99; 8:45 am] shows that worker separations occurred at the Dadeville, New #1 Mill and 755 Program Manager, Office of Trade BILLING CODE 4510±30±M Adjustment Assistance. Lee Street Plants, Alexander City, 8416 Hwy 231 North, Wetumpka and [FR Doc. 99–31936 Filed 12–8–99; 8:45 am] BILLING CODE 4510±30±M DEPARTMENT OF LABOR Brundidge, Alabama locations of Russell Corporation. The workers are engaged in the production fleece wear and/or T- Employment and Training DEPARTMENT OF LABOR Administration shirts. The intent of the Department’s Employment and Training [NAFTA±03553] certification is to include all workers of Administration Russell Corp. adversely affected by Kimberly-Clark Corporation, Munising [TA±W±36, 138, 138A, and 138B] increased imports from Mexico. Mill, Munising, Michigan; Notice of Termination of Investigation Accordingly, the Department is ABB Vetco Gray, Inc., Houston, Texas, amending the certification to cover the Bryan, Texas, Odessa, Texas' Pursuant to Title V of the North workers of Russell Corporation, Amended Certification Regarding American Free Trade Agreement Dadeville, New #1 Mill and 755 Lee Eligibility To Apply for Worker Implementation Act (Pub. L. 193–182) Street Plants, Alexander City, 8416 Hwy Adjustment Assistance concerning transitional adjustment 231 North, Wetumpka and Brundidge, In accordance with section 223 of the assistance, hereinafter called (NAFTA– Alabama. TAA), and in accordance with section Trade Act of 1974 (19 U.S.C. 2273) the The amended notice applicable to 250(a), Subchapter D, Chapter 2, Title II, Department of Labor issued a NAFTA–03183 is hereby issued as of the Trade Act of 1974, as amended Certification of Eligibility to Apply for follows: (19 U.S.C. 2273), an investigation was Worker Adjustment Assistance on July initiated on September 24, 1999, in ‘‘All workers of Russell Corp., Sylcaugua, 14, 1999, applicable to workers of ABB response to a petition filed on behalf of Alabama (NAFTA–03183), Dadeville, Vetco Gray, Inc., Houston, Texas. The # workers at Kimberly-Clark Corporation, Alabama (NAFTA–03183D), New 1 Mill and notice was published in the Federal Munising Mill, Munising, Michigan. 755 Lee Street Plants, Alexander City, Register on August 11, 1999 (64 FR In a statement dated October 26, 1999, Alabama (NAFTA–03183E), 8416 8416 Hwy 43724). 231 North, Wetumpka, Alabama (NAFTA– At the request of the company, the the company official submitting the 03183F) and Brundidge, Alabama (NAFTA– Department reviewed the certification petition requested that the petition for 03183G) who became totally or partially for workers of the subject firm. New NAFTA–TAA be withdrawn. separated from employment on or after May information shows that worker Consequently, further investigation in 5, 1998 through June 8, 2001 are eligible to separations occurred at the Bryan and this case would serve no purpose, and apply for NAFTA–TAA under Section 250 of Odessa, Texas locations of ABB Vetco the investigation has been terminated. the Trade Act of 1974.’’ Gray, Inc. The Bryan and Odessa, Texas Signed at Washington, DC, this 22nd day Signed at Washington, D.C. this 30th day locations provide administrative of November 1999. of November, 1999. support function services for ABB Grant D. Beale, Grant D. Beale, Vetco’s production facility located in Program Manager, Office of Trade Program Manager, Office of Trade Houston, Texas. The workers were Adjustment Assistance. Adjustment Assistance. engaged in activities related to the [FR Doc. 99–31941 Filed 12–8–99; 8:45 am] [FR Doc. 99–31931 Filed 12–8–99; 8:45 am] production of oil well drilling BILLING CODE 4510±30±M BILLING CODE 4510±30±M equipment.

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The intent of the Department’s DEPARTMENT OF LABOR on or after December 8, 1993 (date of certification is to include all workers of enactment of Pub. L. 103–182) are ABB Vetco Gray, Inc. who were Employment and Training eligible to apply for NAFTA–TAA under adversely affected by increased imports. Administration Subchapter D of the Trade Act because Accordingly, the Department is of increased imports from or the shift in Investigations Regarding Certifications production to Mexico or Canada. amending the certification to cover the of Eligibility To Apply For NAFTA workers of ABB Vetco Gray, Inc., Bryan Transitional Adjustment Assistance The petitioners or any other persons and Odessa, Texas. showing a substantial interest in the Petitions for transitional adjustment subject matter of the investigations may The amended notice applicable to assistance under the North American request a public hearing with the TA–W–36,138 is hereby issued as Free Trade Agreement-Transitional Director of OTAA at the U.S. follows: Adjustment Assistance Implementation Department of Labor (DOL) in ‘‘All workers of ABB Vetco Gray, Inc., Act (Pub. L. 103–182), hereinafter called Washington, DC provided such request Houston, Texas (TA–W–36,138) Bryan, Texas (NAFTA–TAA), have been filed with if filed in writing with the Director of (TA–W–36,138A) and Odessa, Texas (TA–W– State Governors under section 250(b)(1) OTAA not later than December 20, 36,138B) who became totally or partially of Subchapter D, Chapter 2, Title II, of 1999. separated from employment on or after April the Trade Act of 1974, as amended, are Also, interested persons are invited to 20, 1998 through July 14, 2001 are eligible to identified in the Appendix to this submit written comments regarding the apply for adjustment assistance under Notice. Upon notice from a Governor subject matter of the petitions to the Section 233 of the Trade Act of 1974.’’ that a NAFTA–TAA petition has been Director of OTAA at the address shown Signed at Washington, DC this 19th day of received, the Director of the Office of below not later than December 20, 1999. November, 1999. Trade Adjustment Assistance (OTAA), Employment and Training Petitions filed with the Governors are Grant D. Beale, Administration (ETA), Department of available for inspection at the Office of Program Manager, Office of Trade Labor (DOL), announces the filing of the the Director, OTAA, ETA, DOL, Room Adjustment Assistance. petition and takes action pursuant to C–4318, 200 Constitution Avenue, NW, [FR Doc. 99–31947 Filed 12–8–99; 8:45 am] paragraphs (c) and (e) of section 250 of Washington, DC 20210. BILLING CODE 4510±30±M the Trade Act. Signed at Washington, DC, this 30th day of The purpose of the Governor’s actions November, 1999. and the Labor Department’s Grant D. Beale, investigations are to determine whether Program Manager, Office of Trade the workers separated from employment Adjustment Assistance.

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APPENDIX

Date re- ceived at Subject firm Location Governor's Petition No. Articles produced Office

Acordis Cellulosic Fibers (Co.) ...... Axisi, AL ...... 11/02/1999 NAFTA±3,544 ... Apparel textiles. Wabash Technologies (Co.) ...... Huntington, IN ...... 11/02/1999 NAFTA±3,545 ... Automotive sensors. Case Corporation (UAW) ...... Racine, WI ...... 11/03/1999 NAFTA±3,546 ... Agricultural equipment. Outboard Marine (USWA) ...... Milwaukee, WI ...... 11/03/1999 NAFTA±3,547 ... Engine parts. Tenneco Automotive (Co.) ...... Culver, IN ...... 11/03/1999 NAFTA±3,548 ... Catalytic converters and mufflers. Competitive Edgo Sportswear (UNITE) ..... Falls River, MA ...... 11/01/1999 NAFTA±3,549 ... Ladies skirts, slacks and shorts. American Medical Response (Wkrs) ...... Natick, MA ...... 11/04/1999 NAFTA±3,550 ... Medical transportation services. Joy Mining Machinery (IAMAW) ...... Franklin, PA ...... 11/08/1999 NAFTA±3,551 ... Mining machinery. Dura Automotive (UAW) ...... Manchester, MI ...... 10/06/1999 NAFTA±3,552 ... Hood hinges. Kimberly Clark (PACE) ...... Munising, MI ...... 09/24/1999 NAFTA±3,553 ... Coated and saturated paper backers. Marathon Ashland Pipeline (PACE) ...... Martinsville, IL ...... 11/09/1999 NAFTA±3,554 ... Crude oil. Everest and Jennings (IAMAW) ...... Earth City, MO ...... 11/10/1999 NAFTA±3,555 ... Wheel chairs. Appleton Paper (PACE) ...... Newton Falls, NY ...... 11/08/1999 NAFTA±3,556 ... Coated paper. Royal Oak Enterprises (Wkrs) ...... Meta, MO ...... 11/10/1999 NAFTA±3,557 ... Briquettes. Atlanta Attachment (Co.) ...... Lawrenceville, GA ..... 10/25/1999 NAFTA±3,558 ... Automotive and labor saving device. Pent Plastics (Co.) ...... Afton, IA ...... 10/13/1999 NAFTA±3,559 ... Plastic injection molded parts. Schuylkill Haven Bleach and Dye Works Schuylkill Haven, PA 11/10/1999 NAFTA±3,560 ... Knitted goods. (Wkrs). Sony Magnetic Products (Co.) ...... Dothan, AL ...... 11/12/1999 NAFTA±3,561 ... VHS video tapes. Steeltech (Wkrs) ...... Milwaukee, Wi ...... 11/04/1999 NAFTA±3,562 ... Fabricated metal products. Framatome Connectors Interlock (Co.) ..... Boyne City, MI ...... 09/23/1999 NAFTA±3,563 ... Insert molded parts and wire harness. Duckhead Apparel (Wkrs) ...... Winder, GA ...... 11/08/1999 NAFTA±3,564 ... Garments. Irwin (Co.) ...... Fitzgerald, GA ...... 11/15/1999 NAFTA±3,565 ... Infants sleepwear and crib bedding. Morgan AdhesiveÐMactac (IBT) ...... Stow, OH ...... 11/12/1999 NAFTA±3,566 ... Adhesive. D.M.i. Furniture (Co.) ...... Ferdinand, IN ...... 11/15/1999 NAFTA±3,567 ... Office furniture. David Stevens (UNITE) ...... Blackwood, NJ ...... 11/12/1999 NAFTA±3,568 ... Women's apparel. Kim Michaels (UNITE) ...... Hammonton, NJ ...... 11/12/1999 NAFTA±2,569 ... Women's apparel. William Carter (The) (Wkrs) ...... Harlingen, TX ...... 11/18/1999 NAFTA±3,570 ... Children's clothing. Ilsco (Co.) ...... Mt. Sterling, KY ...... 11/18/1999 NAFTA±3,571 ... Electrical connectors. VF WorkwearÐRed Kap Industries (Co.) Cookeville, TN ...... 11/18/1999 NAFTA±3,572 ... Garments. Hempfield Foundries (USWA) ...... Greensburg, PA ...... 11/16/1999 NAFTA±3,573 ... Pipe fittings. Bestform Intimates (UNITE) ...... Johnstown, PA ...... 11/16/1999 NAFTA±3,574 ... Women's & children's underwear. Asarco (Co.) ...... Leadville, CO ...... 11/17/1999 NAFTA±3,575 ... Zinc, silver, gold, lead. Champion LaboratoriesÐFuel Filter Tech Shelby Twnshp, MI .... 11/05/1999 NAFTA±3,576 ... Stainless steel fuel filters. (Co.). Industrial Motor and Control (Wkrs) ...... El Paso, TX ...... 11/18/1999 NAFTA±3,577 ... Copper. Court Metal Finishing (Wkrs) ...... Flint, MI ...... 11/05/1999 NAFTA±3,578 ... Valves. CarbillÐNorth Star Steel (Wkrs) ...... Calvert City, KY ...... 11/03/1999 NAFTA±3,579 ... Structural steel. Summit Sportswear (Wkrs) ...... Minor Hill, TN ...... 11/19/1999 NAFTA±3,580 ... Sportswear. Dana Corporation (USWA) ...... Reading, PA ...... 11/19/1999 NAFTA±3,581 ... Heavy truck side rails. Wiser LockÐMasco (Co.) ...... Tucson, AZ ...... 11/19/1999 NAFTA±3,582 ... Residential door hardware and security. Crown, Cork and Seal Packaging (GMP) .. S. Connellsville, PA ... 11/22/1999 NAFTA±3,583 ... Metal, paper lined closures. International PaperÐMasonite Corp. Piolt Rock, OR ...... 11/22/1999 NAFTA±3,584 ... Forest residues. (Wkrs). Allied Signal (Co.) ...... Smethport, PA ...... 11/22/1999 NAFTA±3,585 ... Petroleum bulk waxes. Neles Automation (Co.) ...... Shrewsburg, MA ...... 11/18/1999 NAFTA±3,586 ... Values. Chevron Chemical (Wkrs) ...... Orange, TX ...... 11/23/1999 NAFTA±3,587 ... Polyethylene production. Williams Cutting Service (Co.) ...... Brownsville, TX ...... 11/23/1999 NAFTA±3,588 ... Children's clothes. Bombardier Transportation (Wkrs) ...... Bensalem, PA ...... 11/23/1999 NAFTA±3,589 ... Railway spare parts. U.S. Forest Industries (Wkrs) ...... White City, OR ...... 11/23/1999 NAFTA±3,590 ... Wood products. Vincent Dress (Wkrs) ...... Jermynn, PA ...... 11/23/1999 NAFTA±3,591 ... Dresses. Knitwaves (Co.) ...... New York, NY ...... 11/08/1999 NAFTA±3,592 ... Children's clothes. Sensor Devices (Wkrs) ...... Waukesha, WI ...... 11/22/1999 NAFTA±3,593 ... Diagnostic and monitoring equipment. Crystal Art (Wkrs) ...... Maspeth, NY ...... 11/08/1999 NAFTA±3,594 ... Picture frames. M.S. Chambers and Son (Co.) ...... Baltic, CT ...... 11/29/1999 NAFTA±3,595 ... Print cylinders. Elinco (Co.) ...... Waterbury, CT ...... 11/23/1999 NAFTA±3,596 ... Electric motors. Spartan Mills (Wkrs) ...... Spartanburg, SC ...... 11/29/1999 NAFTA±3,597 ... Yarn.

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[FR Doc. 99–31927 Filed 12–8–99; 8:45 am] The amended notice applicable to DEPARTMENT OF LABOR BILLING CODE 4510±30±M TA–W–36,209 is hereby issued as follows: Employment and Training All workers of Acorn Products Co., Inc., Administration DEPARTMENT OF LABOR Hampden and Lewiston, Maine and leased workers of Manpower Temporary Services Investigations Regarding Certifications Employment and Training and Olsten Staffing Services, Hampden and of Eligibility to Apply for Worker Administration Lewiston, Maine engaged in employment Adjustment Assistance [TA±W±36,209; TA±W±36,209A] related to the production of selected socks and footware products for Acorn Products Petitions have been filed with the Acorn Products Co., Inc.; Hampden, Co., Inc., Hampden and Lewiston, Maine Secretary of Labor under section 221 (a) Maine; Lewiston, Maine; Including who became totally or partially separated of the Trade Act of 1974 (‘‘the Act’’) and Leased Workers of Manpower from employment on or after May 3, 1998 are identified in the Appendix to this through July 23, 2001 and eligible to apply Temporary Services and Olsten for adjustment assistance under Section 223 notice. Upon receipt of these petitions, Staffing Services, Hampden & of the Trade Act of 1974. the Director of the Office of Trade Lewiston, Maine; Amended Signed at Washington, DC, this 19th day of Adjustment Assistance, Employment Certification Regarding Eligibility To November, 1999. and Training Administration, has Apply for Worker Adjustment Grant D. Beale, instituted investigations pursuant to Assistance Program Manager, Office of Trade section 221 (a) of the Act. In accordance with Section 223 of the Adjustment Assistance. The purpose of each of the Trade Act of 1974 (19 U.S.C. 2273) the [FR Doc. 99–31944 Filed 12–8–99; 8:45 am] investigations is to determine whether Department of Labor issued a BILLING CODE 4510±30±M the workers are eligible to apply for Certification of Eligibility to Apply for adjustment assistance under Title II, Worker Adjustment Assistance on July Chapter 2, of the Act. The investigations 23, 1999, applicable to workers of Acorn DEPARTMENT OF LABOR will further relate, as appropriate, to the Products Co., Inc., Hampden and determination of the date on which total Lewiston, Maine. The notice was Employment and Training or partial separations began or published in the Federal Register on Administration threatened to begin and the subdivision August 11, 1999 (64 FR 43724). of the firm involved. [TA±W±36,983] At the request of the State agency, the The petitioners or any other persons Department reviewed the certification showing a substantial interest in the for workers of the subject firm. New Arrow Ace Die Cutting Co., Inc., Bronx, subject matter of the investigations may information provided by the company New York; Notice of Termination of request a public hearing, provided such shows that some employees of Acorn Investigation request is filed in writing with the Products Co., Inc. were leased from Pursuant to section 221 of the Trade Director, Office of Trade Adjustment Manpower Temporary Services and Act of 1974, an investigation was Assistance, at the address shown below, Olsten Staffing Services to produce initiated on October 25, 1999, in not later than December 20, 1999. selected socks and footware products at response to a worker petition which was the Hampden and Lewiston, Maine filed on behalf of workers at Arrow Ace Interested persons are invited to facilities. Worker separations occurred Die Cutting Co., Inc. submit written comments regarding the at Manpower Temporary Services and A negative determination applicable subject matter of the investigations to Olsten Staffing Services as a result of to the petitioning group of workers was the Director, Office of Trade Adjustment worker separations at Acorn Products issued on January 26, 1999 (TA–W– Assistance, at the address shown below, Co., Inc., Hampden and Lewiston, 35,222). No new information is evident not later than December 20, 1999. Maine. which would result in a reversal of the The petitions filed in this case are Based on these findings, the Department’s previous determination. available for inspection at the Office of Department is amending the Consequently, further investigation in the Director, Office of Trade Adjustment certification to include workers of this case would serve no purpose, and Assistance, Employment and Training Manpower Temporary Services, and the investigation has been terminated. Administration, U.S. Department of Olsten Staffing Services, Hampden and Signed at Washington, DC, this 8th day of Labor, 200 Constitution Avenue, NW, Lewiston, Maine leased to Acorn Washington DC 20210. Products Co., Inc., Hampden and November 1999. Lewiston, Maine. Grant D. Beale, Signed at Washington, DC, this 8th day of The intent of the Department’s Program Manager, Office of Trade November, 1999. certification is to include all workers of Adjustment Assistance. Grant D. Beale, Acorn Prroducts Co., Inc. adversely [FR Doc. 99–31933 Filed 12–8–99; 8:45 am] Program Manager, Office of Trade affected by imports. BILLING CODE 4510±30±M Adjustment Assistance.

APPENDIXÐPETITIONS INSTITUTED ON 11/08/1999

Date of peti- TA±W Subject firm (petitioners) Location tion Product(s)

37,026 Brunswick Bicycles (Co.) ...... Olney, IL ...... 10/18/1999 Bicycles. 37,027 Fluid Process Systems (Co.) ...... El Paso, TX ...... 10/22/1999 Water Treatment Equipment. 37,028 Perma Cote Industries (Wkrs) ...... Uniontown, PA ...... 10/20/1999 Plastic Coated Electrical Conduits. 37,029 Weatherford International (Wkrs) ...... Kenay, AK ...... 10/27/1999 Downhole Fishing Service. 37,030 Stuffed Shirt, Inc (Wkrs) ...... New York, NY ...... 10/02/1999 Women's Clothing. 37,031 Nantucket Industries (Co.) ...... Cartersville, GA ...... 10/20/1999 Men's Undergarments.

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APPENDIXÐPETITIONS INSTITUTED ON 11/08/1999ÐContinued

Date of peti- TA±W Subject firm (petitioners) Location tion Product(s)

37,032 FAG Bearings Corp (Co.) ...... Joplin, MO ...... 10/21/1999 Roller Bearings. 37,033 United Technologies (Wkrs) ...... Zanesville, OH ...... 10/18/1999 Automotive Electrical Systems. 37,034 Moltech Power Systems (Co.) ...... Gainesville, FL ...... 10/22/1999 Rechargeable Batteries. 37,035 Court Metal Finishing (Wkrs) ...... Flint, MI ...... 10/15/1999 Engine Valves. 37,036 Stupp Corporation (USWA) ...... Baton Rouge, LA ...... 10/14/1999 Steel Line Pipe. 37,037 Falk Corporation (Wkrs) ...... Milwaukee, WI ...... 10/27/1999 Gearings for Mining. 37,038 Williams Advanced Materia (Co.) ...... Buffalo, NY ...... 10/25/1999 Reclaim Precious Metal. 37,039 Tillotson Healthcare (Wkrs) ...... North Rochester, NH 10/28/1999 Rubber Latex Examination Gloves. 37,040 David Stevens, Inc (UNITE) ...... Blackwood, NJ ...... 10/25/1999 Women's Clothing for Alfred Dunner. 37,041 Knitwaves (Co.) ...... New York, NY ...... 10/25/1999 Children's Clothing. 37,042 Wilson Sporting Goods (Wkrs) ...... Sparta, TN ...... 10/22/1999 Sport Team Uniforms. 37,043 Acordis Cellulosic Fibers (Wkrs) ...... Axis, AL ...... 10/12/1999 Rayon Staple Fiber. 37,044 West Chester Holdings (Wkrs) ...... Monroe, OH ...... 10/25/1999 Protective Clothing. 37,045 Atlas Tubular, Inc (Co.) ...... Robstown, TX ...... 10/12/1999 Oil Tubular Goods. 37,046 Mobius, Inc (Wkrs) ...... Eugene, OR ...... 10/26/1999 Branding, Imagry, and Fit for Levi Strauss. 37,047 Marathon Ashland Pipeline (Wkrs) ...... Martinsville, IL ...... 10/23/1999 Oil Pipeline. 37,048 Jackpot Owl Club (Wkrs) ...... Battle Mtn., NV ...... 10/25/1999 Casino, Restaurant and Motel. 37,049 Sand Creek Chemical (Co.) ...... Commerce City, CO .. 10/25/1999 Mathanol. 37,050 Gambro Renal Care Product (Co.) ...... Lakewood, CO ...... 11/01/1999 Kidney Dialysis Machines. 37,051 G.L. Trucking and Rental (Co.) ...... Williston, ND ...... 10/27/1999 Hauling Oilfield Drilling Equipment.

[FR Doc. 99–31929 Filed 12–8–99; 8:45 am] and cut stock at D & E Wood products, of workers at Grand Rapids Die Cast, BILLING CODE 4510±30±M Incorporated, Prineville, Oregon. Grand Rapids, Michigan. The intent of the Department’s An active certification covering the certification is to include all workers of petitioning group of workers remains in DEPARTMENT OF LABOR D & E Wood Products, Inc. adversely effect (TA–W–36,814). Consequently, affected by imports. further investigation in this case would Employment and Training The amended notice applicable to serve no purpose, and the investigation Administration TA–W–36,129 is hereby issued as has been terminated. follows: [TA±W±35,129] All workers of D & E Wood Products, Signed in Washington, DC, this 18th day of incorporated, Prineville, Oregon and November, 1999. D & E Wood Products, Incorporated, temporary workers of Mid-Oregon Labor Grant D. Beale, Including Temporary Workers of Mid- Contractors, Prineville, Oregon engaged in Program Manager, Office of Trade Oregon Labor Contractors, Prineville, employment related to the production of Adjustment Assistance. finger joint wood block and cut stock for Oregon; Amended Certification [FR Doc. 99–31935 Filed 12–8–99; 8:45 am] Regarding Eligibility To Apply for D & E Wood Products, Incorporated, Worker Adjustment Assistance Prineville, Oregon who became totally or BILLING CODE 4510±30±M partially separated from employment on or In accordance with section 223 of the after April 20, 1998 through October 5, 2001 Trade Act of 1974 (19 U.S.C. 2273) the are eligible to apply for adjustment assistance DEPARTMENT OF LABOR under Section 223 of the Trade Act of 1974. Department of Labor issued a Certification of Eligibility to Apply for Signed at Washington, DC, this 22nd day Employment and Training of November, 1999. Worker Adjustment Assistance on Administration Grant D. Beale, October 5, 1999, applicable to workers of D & E Wood Products, Incorporated, Program Manager, Office of Trade [TA±W±36,796] Adjustment Assistance. located in Prineville, Oregon. The notice was published in the Federal Register [FR Doc. 99–31943 Filed 12–8–99; 8:45 am] Keepshapes, Incorporated, Bronx, New on November 4, 1999 (64 FR 60231). BILLING CODE 4510±30±M York; Notice of Termination of At the request of the State agency, the Investigation Department reviewed the certification DEPARTMENT OF LABOR for workers of the subject firm. New Pursuant to Section 221 of the Trade Act of 1974, an investigation was information provided by the State Employment and Training initiated on September 7, 1999 in shows that some workers of D & E Wood Administration Products, Incorporated, were temporary response to a worker petition which was workers of Mid-Oregon Labor [TA±W±36,869] filed on behalf of former workers at Contractors employed to produce finger Keepshapes, Incorporated, located in Grand Rapids Die Cast, Grand Rapids, Bronx, New York (TA–W–36,796). joint wood block and cut stock at the Michigan; Notice of Termination of Prineville, Oregon facility. Investigation The Department of Labor has Based on these findings, the determined that the petitioners are Department is amending the Pursuant to section 221 of the Trade covered under an existing certification, certification to include temporary Act of 1974, an investigation was as amended (TA–W–35,990). workers of Mid-Oregon Labor initiated on September 27, 1999 in Consequently, further investigation in Contractors who were engaged in the response to a worker petition which was this matter would serve no purpose, and production of finger joint wood block filed on September 13, 1999 on behalf the investigation has been terminated.

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Signed at Washington, DC, this 22nd day The investigation revealed that the after March 11, 1998 through June 4, 2001 are of November 1999. petitioning group of workers is subject eligible to apply for adjustment assistance Grant D. Beale, to an ongoing investigation for which a under Section 223 of the Trade Act of 1974. Program Manager, Office of Trade determination has not yet been issued Signed at Washington, DC, this 22nd day Adjustment Assistance. (TA–W–37,033). Consequently, further of November, 1999. [FR Doc. 99–31940 Filed 12–8–99; 8:45 am] investigation in this case would serve Grant D. Beale, BILLING CODE 4510±30±M no purpose, and the investigation has Program Manager, Office of Trade been terminated. Adjustment Assistance. Signed in Washington, DC, this 27th day of [FR Doc. 99–31946 Filed 12–8–99; 8:45 am] DEPARTMENT OF LABOR November, 1999. BILLING CODE 4510±30±M Employment and Training Grant D. Beale, Administration Program Manager, Office of Trade DEPARTMENT OF LABOR Adjustment Assistance. [TA±W±36,918] [FR Doc. 99–31938 Filed 12–8–99; 8:45 am] Employment and Training BILLING CODE 4510±30±M Administration Kimberly-Clark Corporation, Munising Mill, Munising, Michigan; Notice of Investigations Regarding Certifications Termination of Investigation DEPARTMENT OF LABOR of Eligibility to Apply for Worker Adjustment Assistance Pursuant to section 221 of the Trade Employment and Training Act of 1974, an investigation was Administration Petitions have been filed with the initiated on October 12, 1999, in [TA±W±35,990] Secretary of Labor under section 221 (a) response to a worker petition which was of the Trade Act of 1974 (‘‘the Act’’) and filed on behalf of workers at Kimberly- Majestic Shapes, Inc., Including are identified in the Appendix to this Clark Corporation, Munising Mill, Keepshapes, Inc., Bronx, New York; notice. Upon receipt of these petitions, Munising, Michigan. Amended Certification Regarding the Director of the Office of Trade The company official submitting the Eligibility To Apply for Worker Adjustment Assistance, Employment petition has requested that the petition Adjustment Assistance and Training Administration, has be withdrawn. Consequently, further instituted investigations pursuant to investigation in this case would serve In accordance with section 223 of the section 221 (a) of the Act. no purpose, and the investigation has Trade Act of 1974 (19 U.S.C. 2273) the The purpose of each of the been terminated. Department of Labor issued a investigations is to determine whether Certification of Eligibility to Apply for the workers are eligible to apply for Signed at Washington, DC, this 16th day of Worker Adjustment Assistance on June November 1999. adjustment assistance under Title II, 4, 1999, applicable to workers of Chapter 2, of the Act. The investigations Grant D. Beale, Majestic Shapes, Bronx, New York. The Program Manager, Office of Trade will further relate, as appropriate, to the notice was published in the Federal determination of the date on which total Adjustment Assistance. Register on June 30, 1999 (64 FR 35185). [FR Doc. 99–31934 Filed 12–8–99; 8:45 am] or partial separations began or On its own motion, the U.S. threatened to begin and the subdivision BILLING CODE 4510±30±M Department of Labor reviewed the of the firm involved. certification for workers of the subject The petitioners or any other persons firm. The workers were engaged in the DEPARTMENT OF LABOR showing a substantial interest in the production of shoulder pads for the subject matter of the investigations may Employment and Training apparel industry. New information request a public hearing, provided such Administration shows that worker separations occurred request is filed in writing with the at Keepshapes, Incorporated. Director, Office of Trade Adjustment [TA±W±37,094] Keepshapes, Incorporated, and its Assistance, at the address shown below, affiliate Majestic Shapes, Incorporated, not later than December 20, 1999. Lear Corp., Formerly Known as United closed in early 1999 and were housed at Interested persons are invited to Technologies Automotive, Zanesville, the same location. The workers of submit written comments regarding the Ohio; Notice of Termination of Keepshapes, Incorporated were not subject matter of the investigations to Investigation included in the original certification. the Director, Office of Trade Adjustment The intent of the Department’s Assistance, at the address shown below, In accordance with section 223 of the certification is to include all workers of not later than December 20, 1999. Trade Act of 1974 (19 U.S.C. 2273) as Majestic Shapes adversely affected by The petitions filed in this case are amended by the Omnibus Trade and increased imports. Competitiveness Act of 1988 (Pub. L. Accordingly, the Department is available for inspection at the Office of 100–418), the Department of Labor amending the certification to cover the the Director, Office of Trade Adjustment herein presents the results of an workers of Keepshapes, Incorporated, Assistance, Employment and Training investigation regarding certification of Bronx, New York. Administration, U.S. Department of eligibility to apply for worker The amended notice applicable to Labor, 200 Constitution Avenue, NW, adjustment assistance. TA–W–35,990 is hereby issued as Washington, DC 20210. The investigation was initiated in follows: Signed at Washington, DC this 15th day of November, 1999. response to a petition received on All workers of Majestic Shapes, November 22, 1999 and filed on behalf Incorporated and Keepshapes, Incorporated, Grant D. Beale, of workers at Lear Corp., Zanesville, Bronx, New York who became totally or Program Manager, Office of Trade Ohio. partially separated from employment on or Adjustment Assistance.

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APPENDIX.ÐPETITIONS INSTITUTED ON 11/15/1999

Date of peti- TA±W Subject firm (petitioners) Location tion Product(s)

37,052 Metric Products, Inc (Wrks) ...... Culver City, CA ...... 10/12/1999 Cup Mould for Bathing Suites. 37,053 Long Airdox Co (Wrks) ...... Pulaski, VA ...... 11/01/1999 Heavy Mining Equipment. 37,054 Kearfott Guidance (Wrks) ...... Wayne, NJ ...... 10/28/1999 Guidance and Navigation. 37,055 Cross Supply (Wrks) ...... Olney, IL ...... 10/29/1999 Oilfield Supply Services. 37,056 Aluminum Co of America (Wrks) ...... Alcoa Center, PA ...... 10/01/1999 Extrusions. 37,057 Chromalloy T.A.D. (Wrks) ...... Harrisburg, PA ...... 11/01/1999 Turbine Airfoils. 37,058 Tultext Corp (Comp) ...... Bastain, VA ...... 10/04/1999 Fleece Activewear. 37,059 Allied Signal Aerospace (UAW) ...... Boyne City, MI ...... 10/27/1999 Pressure and Position Transmitters. 37,060 Liz Claiborne, Inc (UNITE) ...... North Bergen, NJ ...... 10/27/1999 Women's Sportswear. 37,061 Big ``B'' Valve, Inc (Comp) ...... Laurel, MS ...... 11/01/1999 Wellhead Equipment. 37,062 Robett Manufacturing (Wrks) ...... Riceville, TN ...... 10/21/1999 Men's and Boys' Camouflage and Fatigues. 37,063 Kellogg Co. (BCTGM) ...... Battle Creek, MI ...... 10/29/1999 Cereals. 37,064 Val Originals, Inc (Wrks) ...... Providence, RI ...... 10/30/1999 Costume Jewelry. 37,065 Svedala Industries, Inc (GMP) ...... Greenville, PA ...... 11/01/1999 Grey & Ductile Iron Castings. 37,066 Tenneco Automotive (Comp) ...... Culver, IN ...... 11/03/1999 Automotive Catalytic Converters. 37,067 Tenneco Corp (UAW) ...... South Brunswick, NJ 10/27/1999 Packaging. 37,068 W.S.W. Co. of Sharon (Comp) ...... Atwood, TN ...... 11/01/1999 Children's Sleepwear. 37,069 Con Agra Grocery Products (UFCW) ...... Perrysburg, OH ...... 11/03/1999 Ketchup, BBQ Sauce and Spaghetti Sauce. 37,070 Arachnid, Inc (Wrks) ...... Rockford, IL ...... 10/29/1999 Electronic Chart Boards. 37,071 Technistar Corp. (Comp) ...... Longmont, CO ...... 10/27/1999 Robotic Automation Equiptment. 37,072 Jim Strickland Production (Wrks) ...... Tyler, TX ...... 11/03/1999 Oil and Gas. 37,073 Fedders North America (Wrks) ...... Effingham, IL ...... 11/01/1999 Window Air Conditioners. 37,074 American Pharmaceutical (Wrks) ...... Fairfield, NJ ...... 10/29/1999 Chemical Pills. 37,075 Steeltech (Wrks) ...... Milwaukee, WI ...... 10/19/1999 E-Coating, Metal Painting, Fabrication. 37,076 Appleton Papers, Inc (PACE) ...... Newton Falls, NY ...... 11/02/1999 Coated Freesheet. 37,077 Hutchinson Technology (Wrks) ...... Hutchinson, MN ...... 10/27/1999 Computer Components. 37,078 Unocal Domestic Geotherma (Wrks) ...... Cloverdale, CA ...... 10/04/1999 Oil, Gas and Steam for Electricity. 37,079 Sterling Diagnostic (Co.) ...... Brevard, NC ...... 11/03/1999 Medical X-Ray Films. 37,080 Prat and Whitney (IAMAW) ...... Rocky Hill, CT ...... 11/04/1999 Jet Engine Parts. 37,081 Joy Mining Machinery (IAMAW) ...... Franklin, PA ...... 11/03/1999 Underground Mining Machines. 37,082 Outboard Marine Corp (USWA) ...... Milwaukee, WI ...... 11/03/1999 Outboard Motors and Parts.

[FR Doc. 99–31928 Filed 12–8–99; 8:45 am] it closed in June, 1999. The workers DEPARTMENT OF LABOR BILLING CODE 4510±30±M provided oilfield services related to the exploration and production of crude oil Employment and Training and natural gas for oil and gas Administration DEPARTMENT OF LABOR producers. Accordingly, the Department is [TA±W±36,582 & TA±W±36,582A] Employment and Training amending the certification to cover the Administration workers of Ponder Industries, Inc., Portland General Electric Company [TA±W±36,525; TA±W±36,525A] Ponder Fishing Tools, El Reno, Nuclear Division Personnel Rainier, Oklahoma. Oregon and Corporate Support Ponder Industries, Inc.; Ponder Fishing The intent of the Department’s Personnel Portland, Oregon; Dismissal Tools; Healdton, Oklahoma; El Reno, certification is to include all workers of of Appliction for Reconsideration Oklahoma; Amended Certification Ponder Industries, Inc., Ponder Fishing Regarding Eligibility To Apply for Tools who were adversely affected by Pursuant to 29 CFR 90.18(C) an Worker Adjustment Assistance increased imports. application for administrative The amended notice applicable to In accordance with section 223 of the reconsideration was filed with the TA–W–36,525 is hereby issued as Director of the Office of Trade Trade Act of 1974 (19 USC 2273) the follows: Department of Labor issued a Notice of Adjustment Assistance for workers at Certification Regarding Eligibility to All workers of Ponder Industries, Inc., the Portland General Electric Company, Ponder Fishing Tools, Healdton, Oklahoma Nuclear Division Personnel, Rainer, Apply for Worker Adjustment (TA–W–36,525) and Ponder Fishing Tools, El Assistance on July 30, 1999, applicable Oregon and the Corporate Support Reno, Oklahoma (TA–W–36,525A) who Personnel, Portland, Oregon. The to workers of Ponder Industries, Inc., became totally or partially separated from Ponder Fishing Tools located in employment on or after June 25, 1998 application contained no new Healdton, Oklahoma. The notice was through July 30, 2001 are eligible to apply for substantial information which would published in the Federal Register on adjustment assistance under Section 223 of bear importantly on the Department’s September 29, 1999 (64 FR 52540). the Trade Act of 1974. determination. Therefore, dismissal of At the request of the company, the Signed at Washington, DC this 22nd day of the application was issued. Department reviewed the certification November, 1999. TA–W–36,582; Portland General Electric for workers of the subject firm. New Grant D. Beale, Company, Nuclear Division Personnel, company information shows that all Program Manager, Office of Trade Rainier, Oregon and workers were separated at Ponder Adjustment Assistance. TA–W–36,582A; Corporate Support Fishing Tools, El Reno, Oklahoma [FR Doc. 99–31945 Filed 12–8–99; 8:45 am] Personnel, Portland, Oregon (November 23, facility of Ponder Industries, Inc. when BILLING CODE 4510±30±M 1999)

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Signed at Washington, DC this 29th day of NATIONAL AERONAUTICS AND NASA Case No. GSC 13,947–1: A Self- November, 1999. SPACE ADMINISTRATION Acting Negative Air Bearing Head for Grant D. Beale, Contact Recording on Flexible Media; [Notice (99±150)] Program Manager, Office of Trade NASA Case No. GSC 13,963–1: Method Adjustment Assistance. Government-Owned Inventions, and Apparatus for High Data Rate [FR Doc. 99–31942 Filed 12–8–99; 8:45 am] Available for Licensing Demodulation; BILLING CODE 4510±30±M NASA Case No. GSC 13,988–3: Shaft AGENCY: National Aeronautics and Position Optical Sensor; Space Administration. NASA Case No. GSC 13,988–4: Low Loss Pole Configuration for Multi-Pole DEPARTMENT OF LABOR ACTION: Notice of Availability of Homopolar Magnetic Bearings; Inventions for Licensing. Employment and Training NASA Case No. GSC 13,991–1: Administration SUMMARY: The inventions listed below Spaceborne Global Positioning System for Spacecraft; [TA±W±37,009] are assigned to the National Aeronautics and Space Administration, have been NASA Case No. GSC 13,991–2: Global Positioning System Satellite Selection Ref-Chem Corporation; Odessa, Texas; filed in the United States Patent and Trademark Office, and are available for Method; Notice of Termination of Investigation NASA Case No. GSC 14,240–1: Shared licensing. Pursuant to section 221 of the Trade Aperture Multiplexed (SAM) DATES: December 9, 1999. Act of 1974, an investigation was Holographic Scanning Telescopes; initiated on November 1, 1999 in FOR FURTHER INFORMATION CONTACT: Kent NASA Case No. GSC 14,302–1: response to a worker petition which was N. Stone, Patent Attorney, John H. Extension of the Empirical Mode filed on October 18, 1999 on behalf of Glenn Research Center at Lewis Field, Decomposition Method to a Time workers at Ref-Chem Corporation, Mail Stop 500–118, Cleveland, Ohio Series of 2–Dimensional Grid Maps. Odessa, Texas. 44135–3191; telephone (216) 433–8855. Dated: December 2, 1999. The petitioner has requested that the NASA Case No. LEW 16,519–2 Gas Edward A. Frankle, petition be withdrawn. Consequently, Sensing Diode and Method of General Counsel. further investigation in this case would Manufacturing; NASA Case No. LEW [FR Doc. 99–31827 Filed 12–8–99; 8:45 am] 16,384–3 Aromatic Diamines and serve no purpose, and the investigation BILLING CODE 7510±01±P has been terminated. Polyimides based on 4-4′ Bis (4- Aminophennoxy). Signed at Washington, DC this 26th day of November 1999. Dated: December 2, 1999. NATIONAL AERONAUTICS AND Grant D. Beale, Edward A. Frankle, SPACE ADMINISTRATION Program Manager, Office of Trade General Counsel. [Notice 99±154] Adjustment Assistance. [FR Doc. 99–31826 Filed 12–8–99; 8:45 am] [FR Doc. 99–31930 Filed 12–8–99; 8:45 am] BILLING CODE 7510±01±P Government-Owned Inventions, BILLING CODE 4510±30±M Available for Licensing AGENCY: National Aeronautics and NATIONAL AERONAUTICS AND Space Administration. DEPARTMENT OF LABOR SPACE ADMINISTRATION ACTION: Notice of Availability of Employment and Training [Notice 99±151] Inventions for Licensing. Administration Government-Owned Inventions, SUMMARY: The inventions listed below [TA±W±37,079] Available for Licensing are assigned to the National Aeronautics and Space Administration, have been Sterling Diagnostic Imaging, Brevard, AGENCY: National Aeronautics and filed in the United States Patent and North Carolina; Notice of Termination Space Administration. Trademark Office, and are available for of Investigation ACTION: Notice of Availability of licensing. Inventions for Licensing. DATES: December 9, 1999. Pursuant to section 221 of the Trade FOR FURTHER INFORMATION CONTACT: Rob Act of 1974, an investigation was SUMMARY: The inventions listed below Padilla, Patent Counsel, Ames Research initiated on November 15, 1999 in are assigned to the National Aeronautics Center, Mail Code 202A–3, Moffett response to a worker petition which was and Space Administration, have been Field, CA 94035; Tel. (650) 604–5104, filed on behalf of workers at Sterling filed in the United States Patent and Fax (650) 604–1592. Diagnostic Imaging, Brevard, North Trademark Office, and are available for Carolina. licensing. NASA Case No. ARC–14246–1SB: Doping Method of Semiconducting The petitioner has requested that the DATES: December 9, 1999. petition be withdrawn. Consequently, Atomic Chains; FOR FURTHER INFORMATION CONTACT: Guy further investigation in this case would NASA Case No. ARC–14280–1LE: M. Miller, Chief Patent Counsel, serve no purpose; and the investigation Advanced Sensor Systems for Goddard Space Flight Center, Mail Code has been terminated. Biotelemetry; 750.2, Greenbelt, MD 20771; Tel. 301– NASA Case No. ARC–14418–1GE: Signed at Washington, DC this 24th day of 286–7351. Conflict-Free Planning for En Route November 1999. NASA Case No. GSC 13,869–1: Spacing: A Concept for Integrating Grant D. Beale, Holographic Circle-to-Point Conflict Probe and Miles-In-Trail; Program Manager, Office of Trade Converter; NASA Case No. ARC–14281–1GE: Adjustment Assistance. NASA Case No. GSC 13,906–1: CCD Method and System for Design [FR Doc. 99–31939 Filed 12–8–99; 8:45 am] System Technology for Extremely Optimization Using Composite BILLING CODE 4510±30±M Low Background Observations; Response Surfaces;

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NASA Case No. ARC–14446–1LE: NATIONAL AERONAUTICS AND Specifications (TSs) with a set of Modular Sensor Signal System; SPACE ADMINISTRATION improved TSs based on (1) NUREG– 1432, ‘‘Standard Technical NASA Case No. ARC–14269–1LE: [Notice 99±152] Method and Apparatus for Specifications, Combustion Engineering Plants,’’ Revision 1, dated April 1995, Representing and Visually Displaying Notice of prospective patent license including subsequent approved changes Surfaces of Three-Dimensional AGENCY: National Aeronautics and to the standard TSs, (2) guidance Objects at High-Resolution; Space Administration. provided in the Commission’s ‘‘Final NASA Case No. ARC–14287–1LE: ACTION: Notice of prospective patent Policy Statement on Technical Virtual Cutting Tool for Use with license. Specifications Improvements for High-Resolution Three-Dimensional Nuclear Power Reactors,’’ published on Medical Imaging System; SUMMARY: NASA hereby gives notice July 22, 1993 (58 FR 39132), and (3) 10 NASA Case No. ARC–14441–1NP: that Associated Technical Management CFR 50.36, ‘‘Technical Specifications,’’ as amended July 19, 1995 (60 FR 36953). Method and Apparatus for Virtual Corporation of Texarkana, TX, has In addition, the amendment added one Interactive Medical Imaging by applied for an exclusive license to license condition to Section 2.C of the Multiple Remotely-Located Users. practice the invention described and claimed in a PCT Application Serial No. operating license that provides the Dated: December 3, 1999. PCT/US99/03922, entitled ‘‘Plant schedule for the first performance of Edward A. Frankle, Chlorophyll Content Imager,’’ which is surveillance requirements that are new General Counsel. assigned to the United States of America or revised in the amendment. The application for the amendment, [FR Doc. 99–31924 Filed 12–8–99; 8:45 am] as represented by the Administrator of the National Aeronautics and Space as supplemented, complies with the BILLING CODE 7510±01±P Administration. Written objections to standards and requirements of the the prospective grant of a license should Atomic Energy Act of 1954, as amended (the Act), and the Commission’s rules NATIONAL AERONAUTICS AND be sent to the Patent Counsel, John F. Kennedy Space Center. and regulations. The Commission has SPACE ADMINISTRATION made appropriate findings as required DATES: Responses to this Notice must be by the Act and the Commission’s rules received on or before February 7, 2000. [Notice 99±153] and regulations in 10 CFR Chapter 1. FOR FURTHER INFORMATION CONTACT: Notice of Consideration of Issuance of Notice of Prospective Patent License Diana M. Cox, Patent Counsel, John F. Amendment and Opportunity for Kennedy Space Center, Mail Code: MM– Hearing in connection with this action AGENCY: National Aeronautics and E, Kennedy Space Center, FL 32899, was published in the Federal Register Space Administration. telephone (407) 867–6225. on September 21, 1999 (64 FR 51147). No request for a hearing or petition for ACTION: Notice of Prospective Patent Dated: December 3, 1999. leave to intervene was filed following License. Edward A. Frankle, General Counsel. this notice. The Commission has prepared an SUMMARY: NASA hereby gives notice [FR Doc. 99–31922 Filed 12–8–99; 8:45 am] Environmental Assessment related to that Eric Aparnieks (doing business as BILLING CODE 7510±01±P the action and has determined not to ADVISORS INTERNATIONAL) of New prepare an environmental impact Berlin, Wisconsin, has applied for an statement. Based upon the exclusive license to practice the NUCLEAR REGULATORY environmental assessment, the invention disclosed in NASA Case No. COMMISSION Commission has concluded that the MSC–22738–1, entitled ‘‘Non-Intrusive [Docket No. 50±255] issuance of the amendment will not Pressure/Multipurpose Sensor and have a significant effect on the quality Method,’’ for which a U.S. Patent Consumers Regulatory Co. Palisades of the human environment beyond that Application was filed and assigned to Plant; Notice of Issuance of described in the Final Environmental the United States of America as Amendment to Facility Operating Statement related to the operation of the represented by the Administrator of the License Palisades Nuclear Generating Plant National Aeronautics and Space dated June 1972, and in the addendum The U.S. Nuclear Regulatory Administration. Written objections to to the Final Environmental Statement Commission (the Commission) has the proposed grant of a license should dated February 1978. The issued Amendment No. 189 to Facility Environmental Assessment as published be sent to Johnson Space Center. Operating License No. DPR–20, issued in the Federal Register on October 22, DATES: Responses to this notice must be to the Consumers Energy Company (the 1999 (64 FR 57156). received by February 7, 2000. licensee), for operation of the Palisades For further details with respect to the Plant, located in Van Buren County, action, see (1) the application for FOR FURTHER INFORMATION CONTACT: Michigan. amendment dated January 26, 1998, as Hardie R. Barr, Patent Attorney, Johnson The amendment is effective as of the supplemented by letters dated April 30, Space Center, Mail Code HA, Houston, date of issuance and shall be September 14, October 12, and Texas 77058–3696, telephone (281) implemented on or before October 21, November 9, 1998, and March 1, March 483–1003. 2000. The implementation of the 22, March 30, April 7, May 3, June 4, Dated: December 3, 1999. amendment includes one license June 11, June 17, July 19, July 30, Edward A. Frankle, condition that is being added to Section September 17, September 30, October 2.C of the operating license as part of 22, and November 5, 1999, (2) General Counsel. the amendment. Amendment No. 189 to License No. [FR Doc. 99–31923 Filed 12–8–99; 8:45 am] The amendment replaces, in its DPR–20, (3) the Commission’s related BILLING CODE 7510±01±P entirety, the current Technical Safety Evaluation, and (4) the

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Commission’s Environmental transferred, directly or indirectly, petitions, set forth in 10 CFR Assessment. All of these items are through transfer of control of the 2.1308(b)(1)-(2). available for public inspection at the license, unless the Commission shall Requests for a hearing and petitions Commission’s Public Document Room, give its consent in writing. The for leave to intervene should be served the Gelman Building, 2120 L Street, Commission will approve an upon Colonel Robert Gibson, SM–ALC/ NW., Washington, DC, and are application for the transfer of a license, JA, 5219 Arnold Avenue, McClellan accessible electronically through the if the Commission determines that the AFB, Sacramento, California 95652– ADAMS Public Electronic Reading proposed transferee is qualified to hold 1085, and Kevin M. Smith, Vice Room link at the NRC Web site (http:/ the license, and that the transfer is Chancellor for Research, Office of the /www.nrc.gov). otherwise consistent with applicable provisions of law, regulations, and Vice Chancellor for Research, Mark Dated at Rockville, Maryland, this 30th day Hall, University of California, One of November 1999. orders issued by the Commission pursuant thereto. Shields Avenue, Davis, California For the Nuclear Regulatory Commission. 95616, attorneys for the licensees; the Robert G. Schaaf, Before issuance of the proposed conforming license amendment, the General Counsel, U.S. Nuclear Project Manager, Section 1, Project Regulatory Commission, Washington, Directorate III, Division of Licensing Project Commission will have made findings Management, Office of Nuclear Reactor required by the Atomic Energy Act of DC 20555 (e-mail address for license Regulation. 1954, as amended (the Act), and the transfer cases only: [email protected]); [FR Doc. 99–31917 Filed 12–8–99; 8:45 am] Commission’s regulations. and the Secretary of the Commission, U.S. Nuclear Regulatory Commission, BILLING CODE 7590±01±M As provided in 10 CFR 2.1315, unless otherwise determined by the Washington, DC 20555–0001, Attention: Commission with regard to a specific Rulemakings and Adjudications Staff, in NUCLEAR REGULATORY application, the Commission has accordance with 10 CFR 2.1313. COMMISSION determined that any amendment to the The Commission will issue a notice or [Docket No. 50±607] license of a utilization facility which order granting or denying a hearing does no more than conform the license request or intervention petition, McClellan Nuclear Radiation Center to reflect the transfer action involves no designating the issues for any hearing Department of the Air Force; Notice of significant hazards consideration. No that will be held and designating the Consideration of Approval of Transfer contrary determination has been made Presiding Officer. A notice granting a of Facility Operating License and with respect to this specific license hearing will be published in the Federal Issuance of Conforming Amendment, amendment application. In light of the Register and served on the parties to the and Opportunity for a Hearing generic determination reflected in 10 hearing. CFR 2.1315, no public comments with As an alternative to requests for The U.S. Nuclear Regulatory respect to significant hazards Commission (the Commission) is hearing and petitions to intervene, by considerations are being solicited. considering the issuance of an order January 10, 2000, persons may submit The filing of requests for hearing and under 10 CFR 50.80 approving the written comments regarding the license petitions for leave to intervene, and transfer of Facility Operating License transfer application, as provided for in written comments with regard to the No. R–130 for the McClellan Nuclear 10 CFR 2.1305. The Commission will Radiation Center (MNRC) currently held license transfer application, are discussed below. consider and, if appropriate, respond to by the Department of the Air Force, as these comments, but such comments By December 29, 1999, any person owner and licensed operator of the will not otherwise constitute part of the MNRC. The transfer would be to the whose interest may be affected by the Commission’s action on the application decisional record. Comments should be Regents of the University of California. submitted to the Secretary, U.S. Nuclear The Commission is also considering may request a hearing, and, if not the applicants, may petition for leave to Regulatory Commission, Washington, amending the license for administrative DC 20555–0001, Attention: Rulemakings purposes to reflect the proposed intervene in a hearing proceeding on the Commission’s action. Requests for a and Adjudications Staff, and should cite transfer. the publication date and page number of According to an application for hearing and petitions for leave to this Federal Register notice. approval filed by the Department of the intervene should be filed in accordance Air Force and the Regents of the with the Commission’s rules of practice For further details with respect to this University of California, the Regents of set forth in Subpart M, ‘‘Public action, see the application dated April the University of California would Notification, Availability of Documents 13, 1999, as supplemented on July 19 assume title to the facility following and Records, Hearing Requests and and August 4, 1999, available for public approval of the proposed license Procedures for Hearings on License inspection at the Commission’s Public transfer, and would be responsible for Transfer Applications,’’ of 10 CFR part Document Room, the Gelman Building, the operation, maintenance, and 2. In particular, such requests and 2120 L Street, NW., Washington, DC. petitions must comply with the eventual decommissioning of the Dated at Rockville, Maryland this 2nd day requirements set forth in 10 CFR 2.1306, MNRC. No physical changes to the of December 1999. MNRC facility or operational changes and should address the considerations For the Nuclear Regulatory Commission. are being proposed in the application. contained in 10 CFR 2.1308(a). The proposed amendment would Untimely requests and petitions may be Ledyard B. Marsh, replace references to the Department of denied, as provided in 10 CFR Chief, Events Assessment, Generic the Air Force in the license with 2.1308(b), unless good cause for failure Communications and Non-Power Reactor references to the Regents of the to file on time is established. In Branch, Division of Regulatory Improvement University of California to reflect the addition, an untimely request or Programs, Office of Nuclear Reactor proposed transfer. petition should address the factors that Regulation. Pursuant to 10 CFR 50.80, no license, the Commission will also consider, in [FR Doc. 99–31921 Filed 12–8–99; 8:45 am] or any right thereunder, shall be reviewing untimely requests or BILLING CODE 7590±01±P

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NUCLEAR REGULATORY its license. The licensee has also Alternative Use of Resources COMMISSION proposed to modify the Unit 2 license This action does not involve the use in a separate parallel license [Docket No. 50±289] of any resources not previously amendment request which would take considered in the Final Environmental GPU Nuclear, Inc., et al., Three Mile into account the Unit 1 amendment Statement for the Three Mile Island Island Nuclear Station, Unit 1; request. Nuclear Station, Unit 1. Environmental Assessment and Environmental Impacts of the Proposed Agencies and Persons Consulted Finding of No Significant Impact The NRC has completed its evaluation In accordance with its stated policy, The U.S. Nuclear Regulatory of the proposed action and concluded on November 29, 1999, the staff Commission (NRC) is considering that the proposed action places consulted with the Pennsylvania State issuance of an amendment to Facility appropriate limits on the types, amounts official, Stan Maingi of the Pennsylvania Operating License No. DPR–50, issued and duration of storage of radioactive Bureau of Radiation Protection, to GPU Nuclear, Inc. (the licensee), for materials, waste and components that regarding the environmental impact of operation of the Three Mile Island may be possessed by the TMI–1 licensee the proposed action. The State official Nuclear Station, Unit 1 (TMI–1), located at either unit and further has had no comments. in Dauphin County, PA. determined that the source term from any accident involving radioactive Finding of No Significant Impact Environmental Assessment material, waste or components would be On the basis of the environmental Identification of the Proposed Action within that assumed in the Updated assessment, the NRC concludes that the Final Safety Analysis Report for Unit 1 proposed action will not have a The proposed action would clarify the and the Post Defueling Monitored authority under the TMI–1 license to significant effect on the quality of the Storage Safety Analysis Report for Unit human environment. Accordingly, the possess radioactive materials and 2. components at both Unit 1 and Unit 2. NRC has determined not to prepare an The proposed action will not environmental impact statement for the Following the expected transfer of the significantly increase the probability or TMI–1 operating license to AmerGen, proposed action. consequences of accidents, no changes For further details with respect to the certain radioactive materials and are being made in the types of any proposed action, see the licensee’s letter components would still be able to be effluents that may be released off site, dated June 29, 1999, as supplemented moved between the TMI–1 and TMI–2 and there is no significant increase in by letters dated August 27, October 29, units as is currently authorized. The occupational or public radiation and November 3, 1999, which are TMI–2 license would remain with GPU. exposure. Therefore, there are no available for public inspection at the This amendment does not authorize the significant radiological environmental Commission’s Public Document Room, receipt or possession of radioactive impacts associated with the proposed The Gelman Building, 2120 L Street, waste from other sites. action. NW., Washington, DC. Publicly The proposed action is in accordance With regard to potential available records will be accessible with the licensee’s application for nonradiological impacts, the proposed electronically from the ADAMS Public amendment dated June 29, 1999, as action does not involve any historic Library component on the NRC Web supplemented by letters dated August sites. It does not affect nonradiological site, http://www.nrc.gov (the Electronic 27, October 29, and November 3, 1999. plant effluents and has no other Reading Room). The Need for the Proposed Action environmental impact. Therefore, there are no significant nonradiological Dated at Rockville, Maryland, this 6th day The proposed action is needed environmental impacts associated with of December 1999. because TMI Units 1 and 2 have the proposed action. For the Nuclear Regulatory Commission, adjoining fuel handling buildings and Accordingly, the NRC concludes that Timothy G. Colburn, Sr., both units share the same loading/ there are no significant environmental Project Manager, Section 1 Project Directorate unloading bay. Since the two units are impacts associated with the proposed I, Division of Licensing Project Management, currently operated or maintained by the action. Office of Nuclear Reactor Regulation. same licensee, GPU Nuclear, Inc., each [FR Doc. 99–31918 Filed 12–8–99; 8:45 am] Alternatives to the Proposed Action unit has similar license conditions BILLING CODE 7590±01±P (2b(3) and 2b(4) for Unit 1 and 2B(4) As an alternative to the proposed and 2B(5) for Unit 2) which effectively action, the staff considered denial of the permit the possession and movement of proposed action (i.e., the ‘‘no-action’’ NUCLEAR REGULATORY radioactive materials between the units alternative). Denial of the application COMMISSION and common facilities, including the could require the building of separate staging of contaminated apparatus used handling facilities for each unit and/or Instructions for Completing Nuclear at either unit and temporary staging of different methods for conducting outage Material Transfer Reports (DOE/NRC radioactive material generated by the activities including staging of Forms-741, 741A and 740M), units. In anticipation of the forthcoming contaminated scaffolding. This Availability of NUREG license transfer of the TMI–1 operating alternative would involve building new AGENCY: Nuclear Regulatory license to Amergen, the licensee has handling capacity for the processing of Commission. requested that TMI–1 License contaminated protective clothing, ACTION: Notice of availability. Conditions 2b(3) and 2b(4) be amended processing of liquid radwaste, and to clarify the authority to possess certain temporary staging areas. This alternative SUMMARY: The Nuclear Regulatory radioactive materials and components at would be disruptive to plant operations Commission is announcing the both units so that it is clear that the new and may give cause for increased availability of Revision 4 of NUREG/ licensee for Unit 1 may continue to radiation safety concerns. Therefore, BR–0006, ‘‘Instructions for Completing possess and move these materials and this alternative is not considered to be Nuclear Material Transfer Reports’’ components between both units under an option. dated September 1999.

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ADDRESSES: Copies of NUREG/BR–0006 NUCLEAR REGULATORY Office of Information and Regulatory may be obtained by writing to the COMMISSION Affairs of the Office of Management and Superintendent of Documents, U.S. Budget. Instructions for the Preparation and Government Printing Office, P.O. Box Dated at Rockville, Maryland, this 15 day 37082, Washington, DC 20402–9328. Distribution of Material Status Reports of September, 1999. (DOE/NRC Forms-742 and 742±C); Copies are also available from the For the Nuclear Regulatory Commission. Availability of NUREG National Technical Information Service, Theodore S. Sherr, 5285 Port Royal Road, Springfield, AGENCY: Nuclear Regulatory Chief Licensing and International Safeguards Virginia 22161. A copy of the document Commission. Branch, Division of Fuel Cycle Safety and is also available for inspection and/or ACTION: Notice of availability. Safeguards, NMSS. copying, for a fee, in the NRC Public [FR Doc. 99–31920 Filed 12–8–99; 8:45 am] Document Room, 2120 L. Street, NW. SUMMARY: The Nuclear Regulatory BILLING CODE 7590±01±P (Lower Level), Washington, DC 20555– Commission is announcing the 0001. availability of Revision 3 of NUREG/ BR–0007, ‘‘Instructions for the FOR FURTHER INFORMATION, CONTACT: Dr. ´ Preparation and Distribution of Material SECURITIES AND EXCHANGE Lidia Roche, Division of Fuel Cycle Status Reports’’ dated September 1999. COMMISSION Safety and Safeguards, Office of Nuclear ADDRESSES : Copies of NUREG/BR–0007 [Release No. IC±24182; File No. 812±11710] Material Safety and Safeguards, U.S. may be obtained by writing to the Nuclear Regulatory Commission, Superintendent of Documents, U.S. Washington, DC 20555–0001. Jackson National Life Insurance Government Printing Office, P.O. Box Company, et al.; Notice of Application Telephone: 301–415–7830. 37082, Washington, DC 20402–9328. Copies are also available from the December 2, 1999. SUPPLEMENTARY INFORMATION: National Technical Information Service, AGENCY: Securities and Exchange 5285 Port Royal Road, Springfield, Commission (‘‘SEC’’ or ‘‘Commission’’). NRC is announcing the availability of Virginia 22161. A copy of the document ACTION: Notice of application for an Revision 4 of NUREG/BR–0006, is also available for inspection and/or ‘‘Instructions for Completing Nuclear order under section 6(c) of the copying, for a fee, in the NRC Public Investment Company Act of 1940 (the Material Transfer Reports.’’ This Document Room, 2120 L. Street, NW. ‘‘1940 Act’’ or ‘‘Act’’) granting revision of NUREG/BR–0006 (Lower Level), Washington, DC 20555– exemptions from the provisions of incorporates a variety of reporting 0001. sections 2(a)(32), 22(c), and 27(i)(2)(A) instructions that has been previously FOR FURTHER INFORMATION, CONTACT: Dr. of the Act, and rule 22c–1 thereunder, issued by NRC regulations. This ´ Lidia Roche, Division of Fuel Cycle to permit the recapture of contract revision also incorporates instructions Safety and Safeguards, Office of Nuclear enhancements applied to premium to be followed by the operating gaseous Material Safety and Safeguards, U.S. payments made under certain deferred diffusion plants that are now under NRC Nuclear Regulatory Commission, variable annuity contracts. oversight. NRC expects to issue a minor Washington, DC 20555–0001. revision to this NUREG to fully address Telephone: 301–415–7830. Summary of application: Applicants reporting instructions for enrichment SUPPLEMENTARY INFORMATION: seek an order under section 6(c) of the plants. NRC is announcing the availability of Act to permit, under specified circumstances, the recapture of contract Electronic Access Revision 3 of NUREG/BR–0007, ‘‘Instructions for Completing Nuclear enhancements applied to premiums NUREG/BR–0006 Revision 4 is also Material Transfer Reports.’’ This made under deferred variable annuity available on NRC’s Home Page at: revision of NUREG/BR–0006 contracts (the ‘‘Contracts’’) that Jackson http:www.nrc.gov/NRC/NUREGS/ incorporates a variety of reporting National Life Insurance Company BR0006/R4/index.html. instructions that has been previously (‘‘Jackson National’’) will issue through issued by NRC regulations. This Jackson National Separate Account V Small Business Regulatory Enforcement revision also incorporates instructions (‘‘Separate Account V’’), as well as other Fairness Act to be followed by the operating gaseous contracts that Jackson National may diffusion plants that are now under NRC issue through any other separate In accordance with the Small account established in the future by Business Regulatory Enforcement Act of oversight. NRC expects to issue a minor revision to this NUREG to fully address Jackson National (‘‘Future Accounts’’) to 1996, NRC has determined that this support contracts that are substantially action is not a major rule and has reporting instructions for enrichment plants. similar in all material respects to the verified this determination with the Contracts (the ‘‘Future Contracts’’). Office of Information and Regulatory Electronic Access Applicants also request that the order Affairs of the Office of Management and NUREG/BR–0006 Revision 4 is also being sought extend to any other Budget. available on NRC’s Home Page at: National Association of Securities Dated at Rockville, Maryland, this 15th day http:www.nrc.gov/NRC/NUREGS/ Dealers, Inc. (‘‘NASD’’) member broker- of September, 1999. BR0006/R4/index.html. dealer controlling or controlled by, or under common control with, Jackson For the Nuclear Regulatory Commission, Small Business Regulatory Enforcement National, whether existing or created in Theodore S. Sherr, Fairness Act the future, that serves as a distributor or Chief Licensing and International Safeguards In accordance with the Small principal underwriter for the Contracts Branch, Division of Fuel Cycle Safety and Business Regulatory Enforcement Act of or Future Contracts offered through Safeguards, NMSS. 1996, NRC has determined that this Separate Account V or any Future [FR Doc. 99–31919 Filed 12–8–99; 8:45 am] action is not a major rule and has Account (‘‘Jackson National Broker- BILLING CODE 7590±01±P verified this determination with the Dealer(s)’’).

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Applicants: Jackson National Life company under the Act. Separate ($50 under the automatic investment Insurance Company, Jackson National Account V filed a Form N–8A plan). Separate Account V, any other separate Notification of Registration under the 5. The Contracts permit premiums to account established by Jackson National Act on January 15, 1999. The Separate be allocated to guaranteed accounts of in the future to support certain deferred Account funds the variable benefits Jackson National (‘‘Guaranteed variable annuity contracts issued by available under the Contracts funded Accounts’’). The Guaranteed Accounts Jackson National, and Jackson National through it. Units of interest in Separate are not registered with the Commission. Life Distributors, Inc. (‘‘JNLD’’) Account V will be registered under the 6. Separate Account V currently is (collectively, ‘‘applicants’’). Securities Act of 1933 (the ‘‘1933 Act’’). divided into 19 sub-accounts, each of Filing date: The application was filed In that regard, Separate Account V filed which will be available under the on July 29, 1999, and amended and a Form N–4 Registration Statement on Contracts. The sub-accounts are referred restated on October 27, 1999 and January 15, 1999 under the 1933 Act to as ‘‘Investment Portfolios.’’ Each December 1, 1999. relating to the Contracts and filed Pre- Investment Portfolio will invest in a Hearing or notification of hearing: An Effective Amendment No. 1 to Form N– series of JNL Series Trust (‘‘Trust’’) or order granting the application will be 4 on August 13, 1999. Jackson National JNL Variable Fund V LLC (‘‘Fund’’). The issued unless the SEC orders a hearing. may in the future issue Future Contracts Investment Portfolios and the Interested persons may request a through Separate Account V or through Guaranteed Accounts will comprise the hearing on the application by writing to Future Accounts. That portion of the initial ‘‘Investment Options’’ under the the SEC’s Secretary and serving assets of Separate Account V that is Contract. The Trust and the Fund are Applicants with a copy of the request, equal to the reserves and other Contract open-end management investment in person or by mail. Hearing requests liabilities with respect to Separate companies registered under the 1940 must be received by the SEC by 5:30 Account V is not chargeable with Act, whose shares are registered under p.m. on December 27, 1999, and should liabilities arising out of any other the 1933 Act. be accompanied by proof of service on business of Jackson National. Any 7. Jackson National Financial Services, LLC (‘‘JNFS’’) serves as the the Applicants, in the form of an income, gains or losses, realized or investment adviser for all of the series affidavit or, for lawyers, a certificate of unrealized, from assets allocated to of the Trust and the Fund. JNFS has service. Hearing requests should state Separate Account V is, in accordance retained subadvisers for each series. the nature of the writer’s interest, the with Separate Account V’s Contracts, Jackson National, at a later date, may reason for the request, and the issues credited to or charged against Separate determine to create additional contested. Persons who wish to be Account V, without regard to other Investment Portfolios of Separate notified of a hearing may request income, gains or losses of Jackson Account V to invest in any additional notification by writing to the Secretary National. of the SEC. series, or other such underlying 3. JNLD is a wholly-owned subsidiary portfolios or other investments as may ADDRESSES: Secretary, Securities and of Jackson National and will be the now or in the future be available. Exchange Commission, 450 Fifth Street, principal underwriter of Separate Similarly, Investment Portfolio(s) of NW, Washington, DC 20549–0609. Account V and distributor of the Separate Account V may be combined Applicants, c/o Joseph Emanuel, Esq., Contracts funded through Separate or eliminated from time to time. Jackson National Life Insurance Account V. JNLD is registered with the 8. The Contract provides for transfer Company, 5901 Executive Drive, Commission as a broker-dealer under privileges among Investment Portfolios, Lansing, Michigan 48911–5389. the Securities Exchange Act of 1934 (the dollar cost averaging, rebalancing, and FOR FURTHER INFORMATION CONTACT: Paul ‘‘1934 Act’’) and is a member of the other features. The following charges are G. Cellupica, Senior Counsel, or Susan NASD. The Contracts will be offered assessed under the Contract: (i) Annual M. Olson, Branch Chief, Office of through unaffiliated broker-dealers who asset-based charges as follows: 1.35% Insurance Products, Division of have entered into agreements with for mortality and expense risks, 0.15% Investment Management, at (202) 942– JNLD. JNLD, or any successor entity, for administration expenses, and 0.15% 0670. may act as principal underwriter for any if a Contract Owner chooses the SUPPLEMENTAL INFORMATION: The Future Accounts and distributor for any optional enhanced death benefit; (ii) a following is a summary of the Future Contracts issued by Jackson withdrawal charge which starts at 8.5% application. The complete application is National. A successor entity also may in the first year, and declines 1% per available for a fee from the SEC’s Public act as principal underwriter for Separate year thereafter to 0% after nine years Reference Branch, 450 Fifth Street, NW., Account V. with a 10% free withdrawal option; (iii) Washington, DC 20549–0102 (tel. (202) 4. The Contract is a part of Jackson a $35 contract maintenance charge 942–8090). National’s line of annuity products. The during the accumulation phase; and (iv) Contract is an individual deferred a transfer fee of $25 for each transfer in Applicants’ Representations variable and fixed annuity contract. The excess of 15 in a Contract year. The 1. Jackson National is a stock life Contract may be issued under a Trust and the Fund also impose insurance company organized under the qualified plan, specially sponsored management and administrative fees laws of the State of Michigan. Separate program or an individual retirement which vary depending upon which Account V was established on annuity or as a non-qualified contract. series is selected. September 25, 1998. Jackson National The Contract is designed to provide for 9. The Contract offers a selection of serves as depositor of Separate Account the accumulation of assets and income death benefits. A Contract Owner can V. Jackson National may in the future during an accumulation phase. select the standard death benefit or the establish one or more Future Accounts Premium payments may be made at any optional enhanced death benefit. The for which it will serve as depositor. time during the accumulation phase. standard death benefit is equal to the 2. Separate Account V is a segregated The minimum initial premium is $5,000 greater of: (1) The Contract value at the asset account of Jackson National, and is under most circumstances and $2,000 end of the business day on which due registered with the Commission as a for a qualified plan contract. Additional proof of death and an election of the unit investment trust investment premiums of at least $500 can be made type of payment to the beneficiaries is

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Accordingly, The optional enhanced death benefit is endorsements (as described below), any the asset-based charges applicable to a equal to the greatest of: (1) The standard Contract Enhancement resulting from Separate Account will be assessed death benefit; (2) the total premiums premium paid 12 months prior to the against the entire amounts held in the paid prior to the death of the Owner, receipt of the request for the payment of Separate Account, including the minus any withdrawals and any the benefit will be deducted from the Contract Enhancement amount during withdrawal charges or other fees Contract value prior to determining the the free-look period and the 12-month previously assessed and premium taxes amount available. period following a premium payment incurred, compounded at 5% (4% if the 11. In states where permitted, Jackson preceding certain events (i.e., payment Owner is over age 70 at the date of National will issue riders or of a death benefit, withdrawals or Contract issue); or (3) the Contract value endorsements which provide: (a) a distributions, and payment of benefits at the end of the seventh Contract year, waiver of the withdrawal charge for a provided by certain Contract riders or plus all premiums paid since the terminal illness of the Owner under endorsements). As a result, during such seventh year (less withdrawals, certain circumstances; and (b) a waiver periods, the aggregate asset-based withdrawal charges previously assessed, of the withdrawal charge if the owner is charges assessed against an owner’s and any applicable charges, fees and diagnosed with a condition specified in Contract value will be higher than those premium taxes incurred since the the endorsement (e.g., heart attack, that would be charged if the owner’s seventh year) compounded at 5% (4% if stroke, coronary artery surgery, life Contract value did not include the the Owner is over age 70 at the date of threatening cancer, renal failure). Contract Enhancement. Contract issue). The optional enhanced Applicants represent that these are the 3. Subsection (i) of section 27 of the death benefit under (2) or (3) will never only riders referred to in circumstance Act provides that Section 27 does not exceed 250% of premiums paid, less (iv) described in paragraph 10 above. apply to any registered separate account withdrawals and any charges, fees, 12. Applicants seek exemption funding variable insurance contracts, or withdrawal charges previously assessed pursuant to section 6(c) from sections to the sponsoring insurance company and premium taxes incurred. 2(a)(32), 22(c) and 27(i)(2)(A) of the Act and principal underwriter of such and Rule 22c–1 thereunder to the extent account, except as provided in 10. Each time a Contract Owner necessary to permit Jackson National to paragraph (2) of the subsection. makes a premium payment, Jackson issue Contracts and Future Contracts Paragraph (2) provides that it shall be National will add an additional amount that provide for the recapture of an unlawful for any registered separate to the Contract (‘‘Contract amount equal to any Contract account funding variable insurance Enhancement’’). The Contract Enhancement under the circumstances contracts or a sponsoring insurance Enhancement will equal 4% of the described in paragraph 10 above. company of such account to sell a premium payment. Jackson National contract funded by the registered Applicants’ Legal Analysis will fund the Contract Enhancement separate account unless, among other form its general account assets. Jackson 1. Section 6(c) of the Act authorizes things, such contract is a redeemable National will allocate the Contract the Commission to exempt any person, security. Section 2(a)(32) of the Act Enhancement to the Guaranteed security or transaction, or any class or defines ‘‘redeemable security’’ as any Accounts and/or Investment Portfolios classes of persons, securities or security, other than short-term paper, in the same proportion as the premium transactions from the provisions of the under the terms of which the holder, payment. Jackson National will Act and the rules promulgated upon presentation to the issuer, is recapture Contract Enhancements only thereunder if and to the extent that such entitled to receive approximately his under the following circumstances: (i) If exemption is necessary or appropriate proportionate share of the issuer’s the Contract Owner exercises the right in the public interest and consistent current net assets, or the cash equivalent to return the Contract under the free- with the protection of investors and the thereof. look provision of the Contract, the purposes fairly intended by the policy 4. Applicants submit that the Contract amount refunded will be reduced by and provisions of the Act. Applicants Enhancement recapture provisions of any Contract Enhancement applied; (ii) request that the Commission, pursuant the Contract would not deprive an if a death benefit is payable under either to section 6(c) of the Act, grant the owner of his or her proportionate share the standard death benefit or optional exemptions summarized above with of the issuer’s current net assets. enhanced death benefit, any Contract respect to the Contracts and any Future Applicants state that an owner’s interest Enhancement based on any premium Contracts funded by Separate Account V in the amount of the Contract payment received within 12 months or any Future Account (‘‘Separate Enhancement allocated to his or her prior to the date of death of the Contract Accounts’’), that are issued by Jackson Contract value upon receipt of a Owner or annuitant (when the owner is National and underwritten or premium payment is not vested until a non-natural person) will be returned distributed by JNLD or Jackson National the applicable free-look period has to Jackson National to the extent that the Broker-Dealers. Applicants state that expired without return of the Contract. death benefit payable is greater than the Future Contracts funded by a Separate Similarly, Applicants state than an minimum death benefit (but in no event Account will be substantially similar in owner’s interest in the amount of any will the Contract Owner receive less all material respects to the Contracts. Contract Enhancement allocated upon than the minimum death benefit); (iii) Applicants believe that the requested receipt of premium payments made for withdrawals or distributions, exemptions are appropriate in the during the 12-month period before a including partial withdrawals, any public interest and consistent with the death benefit is payable, a withdrawal Contract Enhancement resulting from protection of investors and the purposes or distribution is made, or a benefit is

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Arguably, Jackson National’s Enhancement is vested, Applicants National’s right to recapture Contract recapture of the Contract Enhancement submit that Jackson National retains the Enhancements applied to premiums might be viewed as resulting in the right and interest in the Contract made within twelve months of the redemption of redeemable securities for Enhancement amount, although not in payment of a death benefit, a a price other than one based on the the earnings attributable to that amount. withdrawal or distribution, or the current net asset value of Separate Thus, Applicants argue that when payment of a benefit under certain Account V. Applicants contend, Jackson National recaptures any Contract riders or endorsements protects however, that recapture of the Contract Contract Enhancement it is simply it against the risk that owners will Enhancement is not violative of section retrieving its own assets, and because an contribute larger amounts as they 22(c) and Rule 22c–1. Applicants argue owner’s interest in the Contract approach certain events (if foreseeable) that the recapture does not involve Enhancement is not vested, the owner to obtain the Contract Enhancement, either of the evils that Rule 22c–1 was has not been deprived of a proportionate while avoiding Contract charges over intended to eliminate or reduce, share of the Separate Account’s assets, the long term. With respect to refunds namely: (i) The dilution of the value of i.e., a share of the applicable Separate paid upon the return of Contracts within outstanding redeemable securities of Account’s assets proportionate to the the ‘‘free-look’’ period, the amount registered investment companies owner’s Contract value (including the payable to Jackson National must be through their sale at a price below net Contract Enhancement). reduced by the allocated Contract asset value or their redemption or 5. In addition, with respect to Enhancement. Otherwise, Applicants repurchase at a price above it, and (ii) Contract Enhancement recapture upon state that purchasers could apply for other unfair results including the exercise of the free-look privilege, Contracts for the sole purpose of speculative trading practices. See Applicants state that it would be exercising the free-look provision and Adoption of Rule 22c–1 under the 1940 patently unfair to allow an owner making a quick profit. Act, Investment Company Release No. 9. Applicants submit that the exercising that privilege to retain a 5519 (Oct. 16, 1968). To effect a provisions for recapture of any Contract Enhancement amount under a recapture of a Contract Enhancement, applicable Contract Enhancement under Contract that has been returned for a Jackson National will redeem interests the Contracts do not, and any such refund after a period of only a few days. in an owner’s Contract value at a price Future Contract provisions will not, Applicants state that if Jackson National determined on the basis of current net violate section 2(a)(32) and 27(i)(2)(A) of could not recapture the Contract asset value of Separate Account V. The the Act. Nevertheless, to avoid any amount recaptured will equal the Enhancement, individuals could uncertainties, Applicants request an amount of the Contract Enhancement purchase a Contract with no intention of exemption from those Sections, to the that Jackson National paid out of its retaining it, and simply return it for a extent deemed necessary, to permit the general account assets. Although owners quick profit. recapture of any Contract Enhancement will be entitled to retain any investment 6. Furthermore, Applicants state that under the circumstances described gain attributable to the Contract the recapture of Contract Enhancements herein with respect to the Contract and Enhancement, the amount of such gain relating to premiums made within any Future Contracts, without the loss will be determined on the basis of the twelve months of the payment of a of the relief from section 27 provided by current net asset value of Separate death benefit, a withdrawal or section 27(i). Account V. Thus, no dilution will occur distribution or the payment of a benefit 10. Section 22(c) of the 1940 Act upon the recapture of the Contract under certain Contract riders or authorizes the Commission to make Enhancement. Applicants also submit endorsements is designed to provide rules and regulations applicable to that the second harm that Rule 22c–1 Jackson National with a measure of registered investment companies and to was designed to address, namely, protection. Applicants state that the risk principal underwriters of, and dealers speculative trading practices calculated is that, rather than spreading premiums in, the redeemable securities of any to take advantage of backward pricing, over a number of years, an owner will registered investment company, will not occur as a result of the make very large premiums shortly whether or not members of any recapture of the Contract Enhancement. before certain events, thereby leaving securities association, to the same However, to avoid any uncertainty as to Jackson National less time to recover the extent, covering the same subject matter, full compliance with the Act, cost of the Contract Enhancements and for the accomplishment of the same Applicants request an exemption from applied, to its financial detriment. ends as are prescribed in Section 22(a) the provisions of section 22(c) and Rule Again, the amounts recaptured equal the in respect of the rules which may be 22c–1 to the extent deemed necessary to Contract Enhancements provided by made by a registered securities permit them to recapture the Contract Jackson National from its own general association governing its members. Rule Enhancement under the Contracts and account assets, and any gain would 22c–1 thereunder prohibits a registered Future Contracts. remain as part of the Contract’s value at investment company issuing any annuitization. redeemable security, a person Conclusion 7. Applicants represent that the designated in such issuer’s prospectus Appicants submit that their request Contract Enhancement will be attractive as authorized to consummate for an order is appropriate in the public to and in the interest of investors transactions in any such security, and a interest. Applicants state that such an because it will permit owners to put principal underwriter of, or dealer in, order would promote competitiveness 104% of their premiums to work for such security, from selling, redeeming, in the variable annuity market by them in the selected Investment or repurchasing any such security eliminating the need to file redundant Options. Also, any earnings attributable except at a price based on the current exemptive applications, thereby to the Contract Enhancement will be net asset value of such security which reducing administrative expenses and retained by the owner, and the principal is next computed after receipt of a maximizing the efficient use of amount of the Contract Enhancement tender of security for redemption or of Applicants’ resources. Applicants argue

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69051 that investors would not receive any Also, the Commission is proposing to Privacy Act notice does not address the benefit or additional protection by make major changes in its ‘‘Pay and electronic filing of such forms and new requiring Applicants to repeatedly seek Leave System (SEC–15).’’ The changes ways of maintaining and retrieving them exemptive relief that would present no are designed to reflect the transfer of through any SEC or non-SEC system. issue under the Act that has not already some of its payroll functions to the The Commission is therefore proposing been addressed in their Application National Business Center of the U.S. to transfer broker-dealer records, described herein. Applicants submit Department of the Interior (DOI). As a whether in paper, microfiche, or that having them file additional result of the transfer, certain SEC–15 electronic format, from SEC–2 to the applications would impair their ability records would become a part of DOI’s ‘‘Broker-Dealer Records’’ (SEC–49), a effectively to take advantage of business integrated, automated payroll system. new Privacy Act records system. In opportunities as they arise. Further, DATES: Comments must be received by addition, the Commission is proposing Applicants state that if they were January 10, 2000. The proposed changes to restate the routine uses in plain required repeatedly to seek exemptive and the new system of records will take English and to delete outdated or relief with respect to the same issues effect January 18, 2000, unless the SEC redundant uses.1 addressed in the Application described receives comments that would require a SEC–15 herein, investors would not receive any different determination. Moreover, the Commission gives benefit or additional protection thereby. ADDRESSES: Please send three copies of notice of major changes to its ‘‘Pay and Applicants submit, based on the your comments to Jonathan G. Katz, Leave System (SEC–15).’’ On June 20, grounds summarized above, that their Secretary, SEC, 450 Fifth Street, NW, 1999, the Commission transferred some exemptive request meets the standards Washington, DC 20549–0609. You may of its payroll functions to DOI. This set out in section 6(c) of the Act, also send your comments electronically transfer required the integration of its namely, that the exemptions requested to the following electronic address: rule- are necessary or appropriate in the notices of personnel action and other [email protected]. All comments pay-related records with the DOI’s public interest and consistent with the should refer to File No. S7–27–99 and, protection of investors and the purposes automated payroll and personnel if sent electronically, should include system. The Commission, however, fairly intended by the policy and this file number on the subject line. provisions of the Act, and that, would continue to maintain its Comment letters will be available for electronic payroll files, official therefore, the Commission should grant public inspection and copying at our the requested order. personnel files, time and attendance Public Reference Room, 450 Fifth Street, reports, and service history files For the Commission, by the Division of NW, Washington, DC 20549. If sent pertaining to SEC employees. To reflect Investment Management, pursuant to electronically, comment letters will also this development and restate the routine delegated authority. be available on our Web site (http:// uses of SEC–15 records in plain English, Jonathan G. Katz, www.sec.gov). the Commission is proposing major Secretary. FOR FURTHER INFORMATION CONTACT: changes to SEC–15. Betty A. Lopez, Privacy Act Officer, [FR Doc. 99–31961 Filed 12–8–99; 8:45 am] (202) 942–4320, Office of Filings and SEC–49 BILLING CODE 8010±01±M Information Services, SEC, Operations On April 30, 1999, the Commission Center, 6432 General Green Way, adopted amendments to Form BDW and SECURITIES AND EXCHANGE Alexandria, VA 22312–2413. Rules 15b3–1, 15b6–1, 15Ba2–2, 15Bc3– COMMISSION SUPPLEMENTARY INFORMATION: The 1, 15Ca1–1, and 15Cc1–1 under the Commission gives notice of major Securities Exchange Act of 1934 [Release No. PA±28; File No. S7±27±99] changes to ‘‘Applications for (Exchange Act).2 On July 2, 1999, the Commission adopted amendments to Privacy Act of 1974: Notice of Registration/Exemption under the Form BD and Rules 15b3–1, 15Ba2–2, Modifications to a System of Records Securities Exchange Act of 1934, the and 15Ca2–1 under the Exchange Act.3 and the Establishment of a New Investment Advisers Act of 1940, and These amendments require broker- System of Records the Investment Company Act of 1940 (SEC–2),’’ which results in the dealers to submit all Form BD AGENCY: Securities and Exchange establishment of a new system— amendments and Form BDW withrawal Commission. ‘‘Broker-Dealer Records (SEC–49).’’ It requests electronically to Web CRD. As ACTION: Notice of intended also gives notice of major changes to a result of these amendments, the modifications to an existing system of ‘‘Pay and Leave System (SEC–15).’’ NASD, which is responsible for the operation and maintenance of Web CRD, records and the establishment of a new SEC–2 system of records. will be the custodian of broker-dealer Currently, the Commission treats registration records filed on or after SUMMARY: The Securities and Exchange paper and microfiche copies of August 16, 1999. As custodian, the Commission proposes to modify an applications for registration by broker- NASD must maintain the records in existing system of records by excluding dealers (Form BD) and investment accordance with federal record-keeping records submitted by broker-dealers and advisers (Form ADV) and their related requirements.4 Under 5 U.S.C. 552a(m), to add a new system of records amendments, withdrawal notices, and the NASD has entered into a consisting of these broker-dealer other forms as agency records subject to Memorandum of Understanding with records. This proposal reflects the the Privacy Act. Accordingly, the assumption of certain registration Commission has published and 1 See 5 U.S.C. 552a(b), Conditions of Disclosure. functions, including maintenance of periodically updated a system of records 2 Securities Exchange Act Release No. 41356 broker-dealer registration records in the notice for these records, designated as (April 30, 1999), 64 FR 25143 (May 10, 1999). new Internet-based Central Registration SEC–2. These records contain names of 3 Securities Exchange Act Release No. 41394 (July 2, 1999), 64 FR 37586 (July 12, 1999). Depository (CRD), by the National individuals and information about those 4 36 CFR 1220, Federal Records—General, 36 CFR Association of Securities Dealers, Inc. individuals, such as disciplinary 1222, Creation and Maintenance of Federal Records, (NASD). information. However, the current and 36 CFR 1234, Electronic Records Management.

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Commission before August 16, 1999, (2) Any Federal, state, local, or foreign will remain in its custody and control government authority or securities self- and their routine uses are unchanged by RECORDS ACCESS PROCEDURES: regulatory organization that is Persons wishing to access or contest the development of the Web CRD. investigating a violation or potential As 5 U.S.C. 552a(r) requires, the these records should write the Privacy violation of a statute, rule, regulation, or Act Officer, SEC Operations Center, Commission has submitted its reports of order; 6432 General Green Way, Alexandria, the new and the altered systems of (3) Any Federal, state, local, or foreign VA 22312–2413. records to the Congress and the Office bar association or similar licensing of Management and Budget. This authority responsible for possible CONTESTING RECORD PROCEDURES: complies with Appendix I to OMB disciplinary action; See Records Access Procedures, Circular A–130, ‘‘Federal Agency (4) Any Federal, state, or local above. Responsibilities for Maintaining government or governmental authority Records About Individuals,’’ as that is deciding to hire or retain an RECORD SOURCE CATEGORIES: 5 amended on February 20, 1996. individual, sign a contract, or issue a Applications for Registration or Accordingly, the Commission license, grant, or benefit; Exemption and related forms filed with (5) Any individual or entity appointed proposes to amend SEC–2 and SEC–15 the SEC under the Investment Advisers by a court of competent jurisdiction or and establish SEC–49, to read as Act of 1940 and the Investment agreed upon by the parties to a pending follows: Company Act of 1940. court action or administrative SEC±2 proceeding alleging a violation of the EXEMPTIONS CLAIMED FOR THE SYSTEM: Federal securities laws or rules; and None. SYSTEM NAME: (6) Any contractor that performs, on Applications for Registration or the SEC’s behalf, services requiring the SEC±15 Exemption under the Investment use of these records. SYSTEM NAME: Advisers Act of 1940 and the POLICIES AND PRACTICES FOR STORING, Pay and Leave System. Investment Company Act of 1940. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM LOCATIONS: SYSTEM LOCATION: STORAGE: (1) Payroll files, official personnel SEC, 450 Fifth Street, NW, These records are maintained in files, time and attendance reports, and Washington, DC 20549. paper, microfiche, or electronic format. service history files: SEC, Operations Center, 6432 General Green Way, CATEGORIES OF INDIVIDUALS COVERED BY THE RETRIEVABILITY: Alexandria, VA 22312–2413; SYSTEM: These records are retrievable by the (2) Notices of personnel action and name of, or a file number assigned to, Officers, directors, and other other pay-related records: Department of the registrant. Individual name access to individuals related to investment the Interior, National Business Center, these records is available through the advisers or investment companies. Payroll Operations Division, Mail Stop SEC’s Name-Relationship Search Index. D–260, 7301 West Mansfield Avenue, CATEGORIES OF RECORDS IN THE SYSTEM: SAFEGUARDS: Lakewood, CO 80235–2230; and Name, date of birth, address, Non-computer records are maintained (3) Retired personnel files: National telephone numbers, social security in a central records facility that only Archives and Records Administration, number, education, past and present authorized individuals may access. The National Personnel Records Center employment, disciplinary history, facility is locked, with security cameras (Civilian Personnel Records Center), 111 business relationships, and similar and 24-hour security guards. Computer Winnebago Street, St. Louis, MO 63118. information. records, which are subject to data integrity controls, require passcodes for CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: database access. 15 U.S.C. 77f, 77g, 77h, 77j, 78l, 78m, Past and present SEC employees. RETENTION AND DISPOSAL: 78n, 78o(d), 78p, 79e, 80a–6, 80a–8, CATEGORIES OF RECORDS IN THE SYSTEM: 80b–3, and 80b–6a. These records are transferred to the Federal Records Center periodically for Payroll files, time and attendance PURPOSES: storage. They are controlled by file reports, official personnel files, and number and retained under 17 CFR service history files. To help the SEC staff process 200.80f. Permanent files are sent to the applications for registration or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: National Archives and Records exemption and related forms under the Administration after a specified storage 5 U.S.C. app. 21–89. Investment Advisers Act of 1940 and time at the Federal Records Center. the Investment Company Act of 1940 PURPOSE(S): and implement the Federal securities SYSTEM MANAGER(S) AND ADDRESS: To locate SEC employees and laws and rules. Records Officer, SEC, Operations determine such matters as their period Center, 6432 General Green Way, of service, type of leave, qualifications, 5 61 FR 6428, 6435–39. Alexandria, VA 22312–2413. benefits, and pay.

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ROUTINE USES OF RECORDS MAINTAINED IN THE NOTIFICATION PROCEDURE: (1) Any member of the general public SYSTEM, INCLUDING CATEGORIES OF USERS AND Requests to determine whether this upon request; THE PURPOSES OF SUCH USES: system of records contains a record (2) Any Federal, state, local, or foreign In addition to the conditions of pertaining to the requesting individual government authority or securities self- disclosure under 5 U.S.C. 552a(b), the should be sent to the Privacy Act regulatory organization that is SEC staff may provide these records to: Officer, SEC, Operations Center, 6432 investigating a violation or potential (1) The National Business Center of General Green Way, Alexandria, VA violation of a statute, rule, regulation, or the U.S. Department of the Interior; 22312–2413. order; (2) Any Federal, state, or local (3) Any Federal, state, local, or foreign government compiling tax withholding, RECORDS ACCESS PROCEDURES: bar association or similar licensing retirement contributions, or allotments Persons wishing to access or contest authority responsible for possible to charities, labor unions, and other these records should write the Privacy disciplinary action; authorized recipients; Act Officer, SEC, Operations Center, (4) Any Federal, state, or local (3) Any Federal governmental 6432 General Green Way, Alexandria, government or governmental authority authority or its agents investigating (a) VA 22312–2413. that is deciding to hire or retain an individual, sign a contract, or issue a a violation or potential violation of a CONTESTING RECORD PROCEDURES: license, grant, or benefit; statute, rule, regulation, or order, or (b) See Record Access Procedures, above. an employee’s grievance or complaint; (5) Any individual or entity appointed (4) Any member of the public for RECORD SOURCE CATEGORIES: by a court of competent jurisdiction or employment verification at an Notices of personnel action, electronic agreed upon by the parties to a pending employee’s written request; time and attendance records, court action or administrative (5) Any judgment creditor for the withholding certificates, and other pay- proceeding alleging a violation of the purpose of garnishment; related records prepared by employees Federal securities laws or rules; and (6) Any contractor that performs, on (6) Any arbitrator under a negotiated or the Office of Administrative and the SEC’s behalf, services requiring the labor agreement; Personnel Management. use of these records. (7) The General Accounting Office, EXEMPTIONS CLAIMED FOR THE SYSTEM: the Office of Management and Budget, POLICIES AND PRACTICES FOR STORING, None. and other Federal agencies to support RETRIEVING, ACCESSING, RETAINING, AND payments of salaries and benefits to SEC SEC±49 DISPOSING OF RECORDS IN THE SYSTEM: employees; and STORAGE: SYSTEM NAME: (8) The Office of Child Support Records filed before August 16, 1999 Broker-Dealer Records. Enforcement, Administration for in the SEC’s custody are maintained in Children and Families, Department of SYSTEM LOCATION: paper, microfiche, or electronic formats. Health and Human Services, the Federal Records filed before August 16, 1999: Records filed on or after August 16, Parent Locator System and the Federal SEC, 450 Fifth Street, NW, Washington, 1999 in the NASD’s custody are Tax Offset System to (a) locate DC 20549; and maintained in paper or electronic format individuals, (b) identify income sources, Records filed on or after August 16, (Web CRD). (c) establish paternity, (d) verify social 1999: NASD, 1390 Piccard Drive, RETRIEVABILITY: security numbers or employment, (e) Rockville, MD 20850. issue, modify, or enforce orders of These records are retrievable by the support, or (f) administer the Federal CATEGORIES OF INDIVIDUALS COVERED BY THE name of, or a file number assigned to, Earned Income Tax Credit Program. SYSTEM: the registrant. Individual name access to Registrants and officers, directors, these records is available through the STORAGE: principal shareholders, or other SEC’s Name-Relationship Search Index. Payroll files, official personnel files, individuals related to them. SAFEGUARDS: and time and attendance reports are CATEGORIES OF RECORDS IN THE SYSTEM: kept in paper or electronic format. Non-computer records in the SEC’s Name, address, telephone number, custody are maintained in a central RETRIEVABILITY: social security number, education, past records facility that only authorized Official personnel files and payroll and present employment, disciplinary individuals may access. The facility is files are retrievable by an employee’s history, business relationships, and locked, with security cameras and a 24- name or social security number. similar information. hour security guard. Computer records, which are subject to data integrity AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SAFEGUARDS: controls, require passcodes for database Only authorized employees of the 15 U.S.C. 78o. access. SEC and other Federal government PURPOSE(S): RETENTION AND DISPOSAL: agencies may access these records. To help the SEC staff process The records in the SEC’s custody are applications for registration or RETENTION AND DISPOSAL: transferred to the Federal Records exemption and related forms under the Center periodically for storage. They are These records are maintained and Securities Exchange Act of 1934 and disposed of under General Records controlled by file number and retained implement the Federal securities laws under 17 CFR 200.80f. Permanent files Schedule Nos. 2 and 20 of the General and rules. Services Administration. are sent to the National Archives and ROUTINE USES OF RECORDS MAINTAINED IN THE Records Administration after a specified SYSTEM MANAGER(S) AND ADDRESS: SYSTEM, INCLUDING CATEGORIES OF USERS AND storage time at the Federal Records Office of Administrative and THE PURPOSES OF SUCH USES: Center. Nine years from their receipt by Personnel Management, SEC, In addition to the conditions of the NASD, the records in the NASD’s Operations Center, 6432 General Green disclosure under 5 U.S.C. 552a(b), the custody are transferred to the SEC for Way, Alexandria, VA 22312–2413. SEC staff may provide these records to: proper disposition.

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SYSTEM MANAGERS AND ADDRESSES: Commission is publishing this notice to may be able to make informed elections Records filed before August 16, solicit comments on the proposed rule on TaxInfo.SM 6 1999—Records Officer, SEC Operations change from interested parties. TaxInfo advises participants of the opportunities, risks, and legal Center, 6432 General Green Way, I. Self-Regulatory Organization’s conditions for using TaxRelief and Alexandria, VA 22312–2413. Statement of the Terms of Substance of provides information on filing tax Records filed on or after August 16, the Proposed Rule Change 1999—NASD, 1390 Piccard Drive, reclaims. Additional, TaxInfo provides Rockville, MD 20850. The proposed rule change revises the information on tax withholding rates for fee structure and clarifies the features of various investor types (e.g., individuals, NOTIFICATION PROCEDURE: DTC’s TaxInfoSM service. mutual funds, pension plans, and Requests to determine whether this II. Self-Regulatory Organization’s charities) as well as information on tax system of records contains a record Statement of the Purpose of, and treaties, tax relief processing pertaining to the requesting individual Statutory Basis for, the Proposed Rule procedures, and documentation should be sent to the Privacy Act Change requirements. TaxInfo also provides tax Officer, SEC Operations Center, 6432 relief information for cross-border General Green Way, Alexandria, VA In its filing with the Commission, portfolio investments and simplifies and 22312–2413. DTC included statements concerning expedites tax-withholding research for the purpose of and basis for the RECORDS ACCESS PROCEDURES: DTC-eligible securities. proposed rule change and discussed any DTC proposes to offer DTC TaxInfo to Persons wishing to access or contest comments it received on the proposed DTC Participants over DTC’s closed these records should write the Privacy rule change. The text of these statements website.7 TaxInfo via the Internet may Act Officer, SEC Operations Center, may be examined at the places specified be used in conjunction with TaxRelief 6432 General Green Way, Alexandria, in Item IV below. DTC has prepared or by itself as a withholding tax VA 22312–2413. summaries, set forth in sections A, B, information resource. According to and C below, of the most significant CONTESTING RECORD PROCEDURES: DTC, Internet delivery opens up the aspects of these statements.2 See Records Access Procedures, availability of TaxInfo to a much wider above. (A) Self-Regulatory Organization’s audience for participants because its Statement of the Purpose of, and contents may be accessed via any RECORD SOURCE CATEGORIES: Statutory Basis for, the Proposed Rule computer with Internet access rather Applications for registration or Change than requiring a specialized PTS exemption and related forms filed with terminal. For example, this increased DTC TaxInfoSM (formerly TAXI) was the SEC under the Securities Exchange audience may include participants’ developed to provide information on Act of 1934. internal tax advisory staff and other withholding tax relief opportunities for non-operational areas. Members of DTC-eligible securities for various EXEMPTIONS CLAIMED FOR THE SYSTEM: DTC’s foreign taxes legal working group, foreign countries of investment from the None. who often need to advise their point of view of four countries of the operations staff on DTC related tax Dated: December 2, 1999. investor: U.S., Canada, U.K., and Japan.3 matters, have expressed to DTC a need By the Commission. TaxInfo is currently available on DTC’s to have a way to access TaxInfo which Jonathan G. Katz, Participant Terminal System (‘‘PTS’’) is more accessible than PTS. Secretary. and currently contains information on TaxInfo provided via PTS will only ten countries of investment from a U.S. [FR Doc. 99–31778 Filed 12–8–99; 8:45 am] relate to countries where DTC has in investor’s perspective. TaxInfo was BILLING CODE 8010±01±U place a DTC TaxRelief mechanism. The originally made available to participants charge for this service will continue to in March of 1997 in support of DTC’s be $.09 per inquiry. SECURITIES AND EXCHANGE foreign withholding tax relief service TaxInfo provided via the Internet will COMMISSION available via the Elective Dividend include the same information provided Service or EDS (which has been [Release No. 34±42192; File No. SR±DTC± SM 4 on PTS as well as information on other 99±23] renamed TaxRelief function on PTS countries and security types that are not with withholding tax information supported by TaxRelief. Additionally, Self-Regulatory Organizations; relative to France and the United 5 TaxInfo via the Internet will have Depository Trust Company; Notice of Kingdom. Additional country increased functionality, including the Filing and Immediate Effectiveness of documents have been added and Proposed Rule Change Relating to Tax updated in 1999, and more will be 6 The following disclaimer relates to DTC Services added over time. The information TaxInfoSM: DTC does not represent or warrant the contained in TaxInfo on PTS is accuracy, adequacy, timeliness, completeness, or December 1, 1999. provided to participants so that they fitness for any particular purpose for the Pursuant to section 19(b)(1) of the information contained in DTC TaxInfo, which is based in part on information obtained from third Securities Exchange Act of 1934 2 The Commission has modified the text of the parties and not independently verified by DTC and (‘‘Act’’),1 notice is hereby given that on summaries prepared by DTC. which is provided as is. The information contained October 8, 1999, the Depository Trust 3 In September 1999, DTC introduced in DTC TaxInfo is not intended to be a substitute Company (‘‘DTC’’) filed with the TaxVantage—a new family of tax products. The for obtaining tax advice from an appropriate TaxVantage family includes the following products: professional advisor. In providing this service, DTC Securities and Exchange Commission TaxReclaim, TaxInfo, and TaxRelief. For a complete shall not be liable for (1) any loss resulting directly (‘‘Commission’’) the proposed rule description of TaxVantage, refer to DTC’s website or indirectly from mistakes, errors, omissions, change as described in Items I, II, and at http://www.dtc.org. interruptions, delays, or defects in such service, III below, which items have been 4 TaxReliefSM allows DTC participants to unless caused directly by gross negligence or willful electronically certify shares of record date positions misconduct on the part of DTC, and (2) any special, prepared primarily by DTC. The at DTC that are eligible for tax relief opportunities. consequential, exemplary, incidental, or punitive 5 Securities Exchange Act Release No. 32171 damages. 1 15 U.S.C. 78s(b)(1). (April 19, 1993), 58 FR 22003. 7 DTC’s website is located at http://www.dtc.org.

VerDate 29-OCT-99 18:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 E:\FR\FM\09DEN1.XXX pfrm08 PsN: 09DEN1 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69055 ability to hyperlink to related websites Washington, DC 20549–0609. Copies of Information and Regulatory Affairs, (containing for example, the text of tax the submission, all subsequent Office of Management and Budget, New treaties), internal hyperlinks, a search amendments, all written statements Executive Office Building, Washington, capability, and better means of with respect to the proposed rule DC 20503. navigation within each document, change that are filed with the FOR FURTHER INFORMATION CONTACT: which PTS is not able to accommodate. Commission, and all written Jacqueline White, Agency Clearance The proposed fee for TaxInfo via the communications relating to the Officer, (202) 205–7044. Internet is $2,400 annually per proposed rule change between the SUPPLEMENTARY INFORMATION: subscribing participant (with automatic Commission and any person, other than Title: Borrower’s Progress annual renewals). those that may be withheld from the Certification. DTC believes that the proposed rule public in accordance with the Form No: 1366. change is consistent with the provisions of 5 U.S.C. 552, will be Frequency: On Occasion. requirements of Section 17A of the Act 8 available for inspection and copying in Description of Respondents: and the rules and regulations the Commission’s Public Reference Recipients of Disaster Loans. thereunder applicable to DTC because it Section, 450 Fifth Street, NW, Annual Responses: 30,020. provides for the equitable allocation of Washington, DC 20549. Copies of such Annual Burden: 15,010. dues, fees, and other charges among filing also will be available for Jacqueline White, DTC’s participants. inspection and copying at the principal Chief, Administrative Information Branch. office of DTC. All submissions should (B) Self-Regulatory Organization’s [FR Doc. 99–31886 Filed 12–8–99; 8:45 am] refer to File No. SR–DTC–99–23 and Statement on Burden on Competition BILLING CODE 8025±01±U should be submitted by December 30, DTC does not believe that the 1999. proposed rule change will have any For the Commission by the Division of SMALL BUSINESS ADMINISTRATION impact or impose any burden, on Market Regulation, pursuant to delegated [License No. 05/75±0244] competition. authority.11 (C) Self-Regulatory Organization’s Jonathan G. Katz, Access Technology Investors, L.P.; Statement on Comments on the Secretary. Notice of Issuance of a Small Business Proposed Rule Change Received from [FR Doc. 99–31962 Filed 12–8–99 8:45 am] Investment Company License Members, Participants or Others BILLING CODE 8010±01±M On December 15, 1998, an application Written comments relating to the was filed by Access Technology proposed rule change have not yet been Investors, L.P. at 300 Rodd Street, Suite SMALL BUSINESS ADMINISTRATION solicited or received. DTC will notify 201, Midland, Michigan 48640–0648 the Commission of any written with the Small Business Administration comments received by DTC. Reporting and Recordkeeping Requirements Under OMB Review (SBA) pursuant to section 107.300 of the III. Date of Effectiveness of the Regulations governing small business Proposed Rule Change and Timing for AGENCY: Small Business Administration. investment companies (13 CFR 107.300 Commission Action ACTION: Notice of reporting requirements (1997)) for a license to operate as a small submitted for OMB review. business investment company. The foregoing rule change has become Notice is hereby given that, pursuant effective pursuant to Section SUMMARY: Under the provisions of the to section 301(c) of the Small Business 9 19(b)(3)(A)(ii) of the Act and Rule 19b– Paperwork Reduction Act (44 U.S.C. Investment Act of 1958, as amended, 10 4(f)(2) promulgated thereunder Chapter 35), agencies are required to after having considered the application because the proposal establishes or submit proposed reporting and and all other pertinent information, SBA changes a due, fee, or other charge recordkeeping requirements to OMB for issued License No. 05/75–0244 on imposed by DTC. At any time within review and approval, and to publish a September 29, 1999 to Access sixty days of the filing of such proposed notice in the Federal Register notifying Technology Investors, L.P. to operate as rule change, the Commission may the public that the agency has made a small business investment company. summarily abrogate such rule change if such a submission. (Catalog of Federal Domestic Assistance it appears to the Commission that such DATES: Submit comments on or before action is necessary or appropriate in the Program No. 59.11, Small Business January 10, 2000. If you intend to Investment Companies) public interest, for the protection of comment but cannot prepare comments investors, or otherwise in furtherance of Dated: November 30, 1999. promptly, please advise the OMB Don A. Christensen, the purposes of the Act. Reviewer and the Agency Clearance Associate Administrator for Investment. Officer before the deadline. IV. Solicitation of Comments [FR Doc. 99–31897 Filed 12–8–99; 8:45 am] COPIES: Request for clearance (OMB 83– Interested persons are invited to BILLING CODE 8025±01±P submit written data, views, and 1), supporting statement, and other arguments concerning the foregoing, documents submitted to OMB for including whether the proposed rule review may be obtained from the SMALL BUSINESS ADMINISTRATION Agency Clearance Officer. change is consistent with the Act. [License No. 02/02±0595] Persons making written submissions ADDRESSES: Address all comments should file six copies thereof with the concerning this notice to: Agency ACI Capital America Fund, L.P.; Notice Secretary, Securities and Exchange Clearance Officer, Jacqueline White, of Issuance of a Small Business Commission, 450 Fifth Street, NW, Small Business Administration, 409 3rd Investment Company License Street, SW, 5th Floor, Washington, DC 8 15 U.S.C. 78q–1. 20416; and OMB Reviewer, Office of On June 24, 1999, an application was 9 15 U.S.C. 78s(b)(3)(A)(ii). filed by ACI Capital America Fund, L.P. 10 17 CFR 240.19b–4(f)(2). 11 17 CFR 200.30–3(a)(12). at 707 Westchester Avenue, 4th Floor,

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White Plains, New York 10604 with the SMALL BUSINESS ADMINISTRATION Dated: November 30, 1999. Small Business Administration (SBA) Don A. Christensen, pursuant to section 107.300 of the [License No. 05/05±0248] Associate Administrator for Investment. Regulations governing small business [FR Doc. 99–31911 Filed 12–8–99; 8:45 am] investment companies (13 CFR 107.300 BancAmerica Capital Investors SBIC II, L.P.; Notice of Issuance of a Small BILLING CODE 8025±01±P (1997)) for a license to operate as a small Business Investment Company business investment company. License SMALL BUSINESS ADMINISTRATION Notice is hereby given that, pursuant On June 14, 1999, an application was to section 301(c) of the Small Business [License No. 02/02±0590] Investment Act of 1958, as amended, filed by BancAmerica Capital Investors after having considered the application SBIC II, L.P. at 231 South LaSalle Street, BNY Capital Partners, L.P.; Notice of and all other pertinent information, SBA Seventh Floor, Chicago, Illinois 60697 Issuance of a Small Business isssued License No. 02/02–0595 on with the Small Business Administration Investment Company License September 29, 1999, to ACI Capital (SBA) pursuant to § 107.300 of the Regulations governing small business America Fund, L.P. to operate as a small On December 10, 1998, an application investment companies (13 CFR 107.300 business investment company. was filed by BNY Capital Partners, L.P. (1997)) for a license to operate as a small at One Wall Street, New York, New (Catalog of Federal Domestic Assistance business investment company. York 10286 with the Small Business Program No.59.11, Small Business Notice is hereby given that, pursuant Administration (SBA) pursuant to Investment Companies) to section 301(c) of the Small Business section 107.300 of the Regulations Dated: November 30, 1999. Investment Act of 1958, as amended, governing small business investment Don A. Christensen, after having considered the application companies (13 CFR 107.300 (1997)) for Associate Administrator for Investment. and all other pertinent information, SBA a license to operate as a small business issued License No. 05/05–0248 on [FR Doc. 99–31913 Filed 12–8–99; 8:45 am] investment company. September 29, 1999 to BancAmerica Notice is hereby given that, pursuant BILLING CODE 8025±01±P Capital Investors SBIC II, L.P. to operate to section 301(c) of the Small Business as a small business investment Investment Act of 1958, as amended, company. after having considered the application SMALL BUSINESS ADMINISTRATION (Catalog of Federal Domestic Assistance and all other pertinent information, SBA Program No. 59.11, Small Business issued License No. 02/02–0590 on June [License No. 09/79±0420] Investment Companies) 25, 1999 to BNY Capital Partners L.P. to Dated: November 30, 1999. operate as a small business investment Aspen Ventures, III, L.P.; Notice of company. Issuance of a Small Business Don A. Christensen, Investment Company License Associate Administrator for Investment. (Catalog of Federal Domestic Assistance [FR Doc. 99–31915 Filed 12–8–99; 8:45 am] Program No. 59.11, Small Business Investment Companies) On January 21, 1999, an application BILLING CODE 8025±01±P was filed by Aspen Ventures, III, L.P. at Dated: November 30, 1999. 1000 Fremont Avenue, Suite 200, Los Don A. Christensen, Altos, California 94024 with the Small SMALL BUSINESS ADMINISTRATION Associate Administrator for Investment. Business Administration (SBA) [FR Doc. 99–31910 Filed 12–8–99; 8:45 am] [License No. 09/79±0423] pursuant to § 107.300 of the Regulations BILLING CODE 8025±01±P governing small business investment Bay Partners L.S. Fund, L.P.; Notice of companies (13 CFR 107.300 (1997)) for Issuance of a Small Business SMALL BUSINESS ADMINISTRATION a license to operate as a small business Investment Company License investment company. On June 7, 1999, an application was [License No. 05/05±0245] Notice is hereby given that, pursuant filed by Bay Partners L.S. Fund, L.P. at CIVC SBIC Fund, L.L.C.; Notice of to section 301(c) of the Small Business 10600 N. DeAnna Boulevard, Suite 100, Issuance of a Small Business Investment Act of 1958, as amended, Cupertino, California 95014 with the Investment Company License after having considered the application Small Business Administration (SBA) and all other pertinent information, SBA pursuant to § 107.300 of the Regulations On April 12, 1999, an application was issued License No. 09/79–0420 on governing small business investment filed by CIVC SBIC Fund, L.L.C. at 231 September 29, 1999 to Aspen Ventures, companies (13 CFR 107.300 (1997)) for South LaSalle Street, Seventh Floor, III, L.P. to operate as a small business a license to operate as a small business Chicago, Illinois 60697 with the Small investment company. investment company. Business Administration (SBA) (Catalog of Federal Domestic Assistance Notice is hereby given that, pursuant pursuant to section 107.300 of the Program No. 59.11, Small Business to section 301(c) of the Small Business Regulations governing small business Investment Companies) Investment Act of 1958, as amended, investment companies (13 CFR 107.300 after having considered the application Dated: November 30, 1999. (1997)) for a license to operate as a small and all other pertinent information, SBA business investment company. Don A. Christensen, issued License No. 09/79–0423 on Notice is hereby given that, pursuant Associate Administrator for Investment. September 29, 1999 to Bay Partners L.S. to section 301(c) of the Small Business [FR Doc. 99–31914 Filed 12–8–99; 8:45 am] Fund, L.P. to operate as a small business Investment Act of 1958, as amended, BILLING CODE 8025±01±P investment company. after having considered the application (Catalog of Federal Domestic Assistance and all other pertinent information, SBA Program No. 59.11, Small Business issued License No. 05/05–0245 on July Investment Companies) 29, 1999 to CIVC SBIC Fund, L.L.C. to

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(Catalog of Federal Domestic Assistance issued License No. 09/79–0421 on [FR Doc. 99–31904 Filed 12–8–99; 8:45 am] Program No. 59.11, Small Business Investment Companies) September 29, 1999, to Inglewood BILLING CODE 8025±01±P Dated: November 30, 1999. Ventures, L.P., to operate as a small Don A. Christensen, business investment company. SMALL BUSINESS ADMINISTRATION Associate Administrator for Investment. (Catalog of Federal Domestic Assistance [FR Doc. 99–31903 Filed 12–8–99; 8:45 am] Program No. 59.11, Small Business [License No. 05/05±0246] Investment Companies) BILLING CODE 8025±01±P Convergent Capital Partners I, L.P.; Dated: November 30, 1999. Notice of Issuance of a Small Business Don A. Christensen, Investment Company License SMALL BUSINESS ADMINISTRATION Associate Administrator for Investment. [License No. 05/75±0242] [FR Doc. 99–31888 Filed 12–8–99; 8:45 am] On February 24, 1999, an application BILLING CODE 8025±01±P was filed by Convergent Capital Partners Facilitator Capital Fund, L.P.; Notice of I, L.P., at 5353 Wayzata Blvd., Suite 205, Issuance of a Small Business Minneapolis, Minnesota 55416 with the Investment Company License SMALL BUSINESS ADMINISTRATION Small Business Administration (SBA) pursuant to section 107.300 of the On July 13, 1998, an application was Inglewood Ventures, L.P.; Notice of Regulations governing small business filed by Facilitator Capital Fund, L.P., at Issuance of a Small Business investment companies (13 CFR 107.300 5133 West Terrace Drive, Suite 204, Investment Company License Madison, Wisconsin 53718 with the (1997)) for a license to operate as a small [License No. 09/79±0421] business investment company. Small Business Administration (SBA) Notice is hereby given that, pursuant pursuant to section 107.300 of the On September 14, 1998, an to section 301(c) of the Small Business Regulations governing small business application was filed by Inglewood Investment Act of 1958, as amended, investment companies (13 CFR 107.300 Ventures, L.P., at 12526 High Bluff after having considered the application (1997)) for a license to operate as a small Drive, Suite 300, San Diego, California and all other pertinent information, SBA business investment company. 92130 with the Small Business issued License No. 05/05–0246 on July Notice is hereby given that, pursuant Administration (SBA) pursuant to 29, 1999 to Convergent Capital Partners to Section 301(c) of the Small Business Section 107.300 of the Regulations I, L.P., to operate as a small business Investment Act of 1958, as amended, governing small business investment investment company. after having considered the application companies (13 CFR 107.300 (1997)) for and all other pertinent information, SBA a license to operate as a small business (Catalog of Federal Domestic Assistance Program No. 59.11, Small Business isssued License No. 05/75–0242 on June investment company. Investment Companies) 25, 1999, to Facilitator Capital Fund, Notice is hereby given that, pursuant to section 301(c) of the Small Business Dated: November 30, 1999. L.P., to operate as a small business investment company. Investment Act of 1958, as amended, Don A. Christensen, after having considered the application Associate Administrator for Investment. (Catalog of Federal Domestic Assistance Program No. 59.11, Small Business and all other pertinent information, SBA [FR Doc. 99–31901 Filed 12–8–99; 8:45 am] Investment Companies) issued License No. 09/79–0421 on BILLING CODE 8025±01±U Dated: November 30, 1999. September 29, 1999 to Inglewood Don A. Christensen, Ventures, L.P., to operate as a small business investment company. SMALL BUSINESS ADMINISTRATION Associate Administrator for Investment. [FR Doc. 99–31909 Filed 12–8–99; 8:45 am] (Catalog of Federal Domestic Assistance Program No. 59.11, Small Business Dotcom Ventures L.P. BILLING CODE 8025±01±P Investment Companies) [License No. 09/79±0422] Dated: November 30, 1999. Notice of Issuance of a Small Business SMALL BUSINESS ADMINISTRATION Don A. Christensen, Associate Administrator for Investment. Investment Company License [License No. 09/79±0421] [FR Doc. 99–31894 Filed 12–8–99; 8:45 am] On December 18, 1997, an application Inglewood Ventures, L.P.; Notice of BILLING CODE 8025±01±P was filed by Dotcom Ventures, L.P. at Issuance of a Small Business 3495 Freedom Circle, Suite 740, Santa Investment Company License Clara, California 95054 with the Small SMALL BUSINESS ADMINISTRATION Business Administration (SBA) On September 14, 1998, an pursuant to section 107.300 of the application was filed by Inglewood [License No. 02/72±0594] Regulations governing small business Ventures, L.P., at 12526 High Bluff LibertyView Equity Partners SBIC, L.P.; investment companies (13 CFR 107.300 Drive, Suite 300, San Diego, California Notice of Issuance of a Small Business (1997)) for a license to operate as a small 92130 with the Small Business Investment Company License business investment company. Administration (SBA) pursuant to Notice is hereby given that, pursuant Section 107.300 of the Regulations On October 15, 1998, an application to section 301(c) of the Small Business governing small business investment was filed by LibertyView Equity

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Partners SBIC, L.P. at 101 Hudson SMALL BUSINESS ADMINISTRATION Dated: November 30, 1999. Street, Suite 3700, Jersey City, New Don A. Christensen, Jersey 07302 with the Small Business [License No. 01/71±0376] Associate Administrator for Investment. Administration (SBA) pursuant to [FR Doc. 99–31892 Filed 12–8–99; 8:45 am] § 107.300 of the Regulations governing The Megunticook Fund, L.P.; Notice of BILLING CODE 8025±01±P small business investment companies Issuance of a Small Business (13 CFR 107.300 (1997)) for a license to Investment Company License operate as a small business investment SMALL BUSINESS ADMINISTRATION company. On March 29, 1998, an application was filed by The Megunticook Fund, [License No. 01/01±0374] Notice is hereby given that, pursuant L.P. at 11 Newbury Street, Suite 400, to section 301(c) of the Small Business Boston, Massachusetts 02116 with the NHBDC Venture Partners, L.P.; Notice Investment Act of 1958, as amended, Small Business Administration (SBA) of Issuance of a Small Business after having considered the application pursuant to section 107.300 of the Investment Company License and all other pertinent information, SBA Regulations governing small business On February 17, 1999, an application issued License No. 02/72–0594 on investment companies (13 CFR 107.300 August 25, 1999 to LibertyView Equity was filed by NHBDC Venture Partners, (1997)) for a license to operate as a small L.P. at 1001 Elm Street, Machester, New Partners SBIC, L.P. to operate as a small business investment company. Hampshire 03101 with the Small business investment company. Notice is hereby given that, pursuant Business Administration (SBA) (Catalog of Federal Domestic Assistance to Section 301(c) of the Small Business pursuant to Section 107.300 of the Program No. 59.11, Small Business Investment Act of 1958, as amended, Regulations governing small business Investment Companies) after having considered the application investment companies (13 CFR 107.300 Dated: November 30, 1999. and all other pertinent information, SBA (1997)) for a license to operate as a small Don A. Christensen, issued License No. 01/71–0376 on business investment company. September 29, 1999 to The Megunticook Associate Administrator for Investment. Notice is hereby given that, pursuant Fund, L.P. to operate as a small business to section 301(c) of the Small Business [FR Doc. 99–31895 Filed 12–8–99; 8:45 am] investment company. Investment Act of 1958, as amended, BILLING CODE 8025±01±P (Catalog of Federal Domestic Assistance after having considered the application Program No. 59.11, Small Business and all other pertinent information, SBA Investment Companies) issued License No. 01/01–0374 on July SMALL BUSINESS ADMINISTRATION Dated: November 30, 1999. 14, 1999 to NHBDC Venture Partners, Don A. Christensen, L.P. to operate as a small business [License No. 02/72±0592] Associate Administrator for Investment. investment company. Madison Investment Partners II, L.P.; [FR Doc. 99–31891 Filed 12–8–99; 8:45 am] (Catalog of Federal Domestic Assistance BILLING CODE 8025±01±P Program No. 59.11, Small Business Notice of Issuance of a Small Business Investment Companies) Investment Company License Dated: November 30, 1999. On August 7, 1998, an application SMALL BUSINESS ADMINISTRATION Don A. Christensen, was filed by Madison Investment Associate Administrator for Investment. Partners II, L.P. at 660 Hudson Street, [License No. 02/72±0593] [FR Doc. 99–31916 Filed 12–8–99; 8:45 am] Suite 3700, Jersey City, New Jersey BILLING CODE 8025±01±P Needham Capital SBIC II, L.P.; Notice 07302 with the Small Business of Issuance of a Small Business Administration (SBA) pursuant to Investment Company License SMALL BUSINESS ADMINISTRATION § 107.300 of the Regulations governing small business investment companies On June 15, 1998, an application was [License No. 05/05±0247] (13 CFR 107.300 (1997)) for a license to filed by Needham Capital SBIC II, L.P. operate as a small business investment at 445 Park Avenue, New York, New Norwest Equity Partners VII, L.P.; company. York 10022 with the Small Business Notice of Issuance of a Small Business Notice is hereby given that, pursuant Administration (SBA) pursuant to Investment Company License to section 301(c) of the Small Business section 107.300 of the Regulations On February 10, 1999, an application Investment Act of 1958, as amended, governing small business investment was filed by Norwest Equity Partners after having considered the application companies (13 CFR 107.300 (1997)) for VII, L.P. at 2800 Piper Jaffray Tower, and all other pertinent information, SBA a license to operate as a small business Minneapolis, Minnesota 55402 with the issued License No. 02/72–0592 on July investment company. Small Business Administration (SBA) 15, 1999 to Madison Investment Notice is hereby given that, pursuant pursuant to section 107.300 of the Partners II, L.P. to operate as a small to section 301(c) of the Small Business Regulations governing small business business investment company. Investment Act of 1958, as amended, investment companies (13 CFR 107.300 (Catalog of Federal Domestic Assistance after having considered the application (1997)) for a license to operate as a small Program No. 59.11, Small Business and all other pertinent information, SBA business investment company. Investment Companies) issued License No. 02/72–0593 on July Notice is hereby given that, pursuant 29, 1999 to Needham Capital SBIC II, Dated: November 30, 1999. to section 301(c) of the Small Business L.P. to operate as a small business Investment Act of 1958, as amended, Don A. Christensen, investment company. after having considered the application Associate Administrator for Investment. (Catalog of Federal Domestic Assistance and all other pertinent information, SBA [FR Doc. 99–31896 Filed 12–8–99; 8:45 am] Program No. 59.11, Small Business issued License No. 05/05–0247 on BILLING CODE 8025±01±P Investment Companies) September 16, 1999 to Norwest Equity

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Partners VII, L.P. to operate as a small Investment Act of 1958, as amended, A copy of this Notice shall be business investment company. after having considered the application published, in accordance with section (Catalog of Federal Domestic Assistance and all other pertinent information, SBA 107.730(g), in the Greewich Times, in Program No. 59.11, Small Business issued License No. 09/79–0419 on July Greenwich, Connecticut by RFE VI Investment Companies) 30, 1999 to Red Rock Ventures II, L.P. SBIC. Dated: November 30, 1999. to operate as a small business (Catalog of Federal Domestic Assistance Don A. Christensen, investment company. Programs No. 59.011, Small Business Associate Administrator for Investment. (Catalog of Federal Domestic Assistance Investment Companies) [FR Doc. 99–31899 Filed 12–8–99; 8:45 am] Program No. 59.11, Small Business Don A. Christensen, Investment Companies) BILLING CODE 8025±01±P Associate Administrator for Investment. Dated: November 30, 1999. [FR Doc. 99–31890 Filed 12–8–99; 8:45 am] Don A. Christensen, BILLING CODE 8025±01±p SMALL BUSINESS ADMINISTRATION Associate Administrator for Investment. [License No. 05/05±0243] [FR Doc. 99–31893 Filed 12–8–99; 8:45 am] BILLING CODE 8025±01±P SMALL BUSINESS ADMINISTRATION Piper Jaffray Healthcare Fund III, L.P.; [License No. 01/71±0375] Notice of Issuance of a Small Business Investment Company License SMALL BUSINESS ADMINISTRATION Saugatuck Capital Company Limited Partnership IV, SBIC; Notice of On August 10, 1998, an application [License No. 01/71±0369] Issuance of a Small Business was filed by Piper Jaffray Healthcare Investment Company License Fund III, L.P. at 222 South 9th Street, RFE VI SBIC, L.P.; Notice Seeking Minneapolis, Minnesota 55402 with the Exemption Under Section 312 of the On May 3, 1999, an application was Small Business Administration (SBA) Small Business Investment Act, filed by Saugatuck Capital Company pursuant to section 107.300 of the Conflicts of Interest Limited Partnership IV, SBIC at One Regulations governing small business Canterbury Green, Stamford, investment companies (13 C.F.R. Notice is hereby given that RFE VI Connecticut 06901 with the Small 107.300 (1997)) for a license to operate SBIC, L.P. (‘‘RFE VI SBIC’’), 36 Grove Business Administration (SBA) as a small business investment Street, New Canaan, CT 06840, a pursuant to section 107.300 of the company. Federal Licensee under the Small Regulations governing small business Notice is hereby given that, pursuant Business Investment Act of 1958, as investment companies (13 CFR 107.300 to section 301(c) of the Small Business amended (‘‘the Act’’), in connection (1997)) for a license to operate as a small Investment Act of 1958, as amended, with the proposed financing of a small business investment company. after having considered the application concern is seeking an exemption under Notice is hereby given that, pursuant and all other pertinent information, SBA section 312 of the Act and section to Section 301(c) of the Small Business issued License No. 05/05–0243 on June 107.730, Financings which Constitute Investment Act of 1958, as amended, 25, 1999 to Piper Jaffray Healthcare Conflicts of Interest of the Small after having considered the application Fund III, L.P. to operate as a small Business Administration (‘‘SBA’’) Rules and all other pertinent information, SBA business investment company. and Regulations (13 CFR 107.730 issued License No. 01/71–0375 on (Catalog of Federal Domestic Assistance (1998)). September 29, 1999 to Saugatuck Program No. 59.11, Small Business An exemption may not be granted by Capital Company Limited Partnership Investment Companies) SBA until Notices of this transaction IV, SBIC to operate as a small business Dated: November 30, 1999. have been published. RFE VI SBIC investment company. Don A. Christensen, proposes to provide equity financing to (Catalog of Federal Domestic Assistance Associate Administrator for Investment. TradeSource, Inc., 75 Holly Hill Lane, Program No. 59.11, Small Business Greenwich, CT, 06830. The financing is Investment Companies) [FR Doc. 99–31900 Filed 12–8–99; 8:45 am] contemplated to fund an acquisition and Dated: November 30, 1999. BILLING CODE 8025±01±P to provide a capital base for continued Don A. Christensen, growth. Associate Administrator for Investment. SMALL BUSINESS ADMINISTRATION The financing is brought within the [FR Doc. 99–31912 Filed 12–8–99; 8:45 am] purview of section 107.730(a)(1) of the BILLING CODE 8025±01±P [License No. 09/79±0419] Regulations because RFE Investment Partners V, L.P., an Associate of RFE VI Red Rock Ventures II, L.P.; Notice of SBIC, owns greater than 10 percent of Issuance of a Small Business SMALL BUSINESS ADMINISTRATION TradeSource, Inc. and therefore Investment Company License TradeSource, Inc. is considered an [License No. 05/05±0241] Associate of RFE VI SBIC as defined in On February 24, 1999, an application U.S. Bancorp Capital Corporation; section 107.50 of the Regulations. was filed by Red Rock Ventures II, L.P. Notice of Issuance of a Small Business at 525 University Avenue, Suite 600, Notice is hereby given that any Investment Company License Palo Alto, California 94301 with the interested person may, not later than Small Business Administration (SBA) fifteen (15) days from the date of On October 5, 1998, an application pursuant to section 107.300 of the publication of this Notice, submit was filed by U.S. Bancorp Capital Regulations governing small business written comments on the proposed Corporation at 601 Second Avenue, investment companies (13 CFR 107.300 transaction to the Associate South, Minneapolis, Minnesota 55402– (1997)) for a license to operate as a small Administrator for Investment, U.S. 4302 with the Small Business business investment company. Small Business Administration, 409 Administration (SBA) pursuant to Notice is hereby given that, pursuant Third Street, SW, Washington, DC section 107.300 of the Regulations to section 301(c) of the Small Business 20416. governing small business investment

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Virgin Islands 4, 1999 to U.S. Bancorp Capital Notice is hereby given that Zero Stage Capital VI, L.P., 101 Main Street, constitute a disaster area due to Corporation to operate as a small damages caused by Hurricane Lenny Cambridge, MA 02142, a Federal business investment company. beginning on November 16, 1999 and Licensee under the Small Business continuing through November 20, 1999. (Catalog of Federal Domestic Assistance Investment Act of 1958, as amended Program No. 59.11, Small Business Applications for loans for physical (‘‘the Act’’), in connection with the damage as a result of this disaster may Investment Companies) proposed financing of a small concern is Dated: November 30, 1999. be filed until the close of business on seeking an exemption under section 312 January 22, 2000, and for loans for Don A. Christensen, of the Act and section 107.730, economic injury until the close of Associate Administrator for Investment. Financings which Constitute Conflicts business on August 23, 2000 at the [FR Doc. 99–31898 Filed 12–8–99; 8:45 am] of Interest of the Small Business address listed below or other locally BILLING CODE 8025±01±P Administration (‘‘SBA’’) Rules and announced locations: U.S. Small Regulations (13 CFR 107.730 (1998)). An Business Administration, Disaster Area exemption may not be granted by SBA 1 Office, 360 Rainbow Blvd., South, 3rd SMALL BUSINESS ADMINISTRATION until Notices of this transaction have Floor, Niagara Falls, NY 14303. been published. Zero Stage Capital VI, The interest rates are: Wolf Venture Fund III, L.P. L.P., proposes to provide equity financing to Evergreen Solar, Inc., 211 Percent [License No. 08/78±0157] Second Avenue, Waltham, MA 02451. For Physical Damage: The financing is contemplated for Homeowners with credit Notice of Issuance of a Small Business funding growth. available elsewhere ...... 7.500 Investment Company License The financing is brought within the Homeowners without credit available elsewhere ...... 3.750 On April 13, 1999, an application was purview of section 107.730(a)(1) of the Businesses with credit avail- filed by Wolf Venture Fund III, L.P. at Regulations because Zero Stage Capital able elsewhere ...... 8.000 50 South Steele Street, Suite 77, Denver, V, L.P., an Associate of Zero Stage Businesses and non-profit or- Colorado 80209 with the Small Business Capital VI, L.P., owns greater than 10 ganizations without credit available elsewhere ...... 4.000 Administration (SBA) pursuant to percent of Evergreen Solar, Inc. and therefore Evergreen Solar, Inc. is Others (including non-profit section 107.300 of the Regulations organizations) with credit governing small business investment considered an Associate of Zero Stage available elsewhere ...... 6.750 companies (13 CFR 107.300 (1997)) for Capital VI, L.P. as defined in section For Economic Injury: a license to operate as a small business 107.50 of the Regulations. Businesses and small agricul- investment company. Notice is hereby given that any tural cooperatives without credit available elsewhere 4.000 Notice is hereby given that, pursuant interested person may, not later than fifteen (15) days from the date of to section 301(c) of the Small Business The numbers assigned to this disaster Investment Act of 1958, as amended, publication of this Notice, submit are 322908 for physical damage and after having considered the application written comments on the proposed 9F8300 for economic injury. and all other pertinent information, SBA transaction to the Associate Administrator for Investment, U.S. (Catalog of Federal Domestic Assistance issued License No. 08/78–0157 on Program Nos. 59002 and 59008.) Small Business Administration, 409 September 16, 1999 to Wolf Venture Dated: November 30, 1999. Fund III, L.P. to operate as a small Third Street, S.W., Washington, D.C. 20416. Herbert L. Mitchell, business investment company. Acting Associate Administrator for Disaster (Catalog of Federal Domestic Assistance A copy of this Notice shall be Assistance. Program No. 59.11, Small Business published, in accordance with section [FR Doc. 99–31887 Filed 12–8–99; 8:45 am] Investment Companies) 107.730(g), in the Boston Herald, BILLING CODE 8025±01±P Dated: November 30, 1999. Boston, Massachusetts. Don A. Christensen, (Catalog of Federal Domestic Assistance Programs No. 59.011, Small Business Associate Administrator for Investment. DEPARTMENT OF STATE Investment Companies) [FR Doc. 99–31902 Filed 12–8–99; 8:45 am] [Public Notice 3169] Dated: December 1, 1999. BILLING CODE 8025±01±U Don A. Christensen, Bureau of Educational and Cultural Associate Administrator for Investment. Affairs; Partners in Education Program [FR Doc. 99–31889 Filed 12–8–99; 8:45 am] NOTICE: Request for proposals. BILLING CODE 8025±01±U SUMMARY: The Office of Global Educational Programs of the Bureau of Educational and Cultural Affairs of the

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U.S. Department of State announces an 115 teachers and administrators would the Bureau’s previous and existing open competition for the Partners in include: observing social science linkages with NIS secondary schools. Education (PiE) program assistance classrooms, civic education curriculum For the PiE teacher, administrator, award, not to exceed $1,420,000. Public development, and computer-based and teacher-trainer program, the grantee and private non-profit organizations other teaching methods; participating in should recruit English-speaking social meeting the provisions described in IRS at least five days of professional science and civic education teachers, regulation 26 CFR 1.501(c) may submit development seminars that incorporate faculty, and administrators from proposals to administer a six-week computer-based teaching, designed by secondary schools and pedagogical professional internship program for the host schools or by the local/regional institutions, including educators who approximately 115 English-language schools of education; delivering incorporate civic education principles proficient secondary school teachers, presentations to students and faculty at as part of a social science curriculum. administrators, and teacher trainers the host schools and communities on These educational leaders will be from Russia, Ukraine, Uzbekistan and NIS educational systems and cultures, placed in clusters around the United Kyrgyzstan, as well as a three-week either alone or together with their NIS States, hosted by schools, school- program designed for 22 non-English- colleagues; reviewing and collecting university partnerships, or private- speaking NIS school directors. The teaching materials for possible use in sector institutions to experience U.S. exchange should involve at least 45 their home schools; and collaborating educational communities and related Russian, 40 Ukrainian, 20 Kyrgyzstani, with U.S. school administrators or democratic institutions. The Bureau is and 10 Uzbekistani teachers and faculty of education to gain an interested in the grantee soliciting U.S. administrators, and 12 Russian and 10 understanding of the U.S. educational host proposals that are academically Ukrainian school directors. Selection of system and local control of education in oriented and foster long-term linkages participants is merit-based with a fair the U.S. Teachers and administrators between U.S. high schools and representation of large and small should also come to understand the comparable schools in Russia, Ukraine, oblasts. The U.S. grantee will also be relationship between the community and other NIS countries. Where responsible for the consecutive and the educational system. The possible, U.S. host proposals should exchange of 24 U.S. educators who have teachers and administrators would also include institutions that have provided hosted the NIS teachers, trainers, and engage in site visits to other local superior programming for other NIS administrators during their stay in the schools, deliver presentations at those secondary-level teacher training United States for a two-week program to schools as well as to local civic and programs (lists are available from the consult on best practices and implement community groups, and attend PTA and program office). linkage activities designed to strengthen school board meetings. For the secondary school director the partnership between the U.S. and The school director program should program, the grantee should develop a NIS schools. include 22 Russian and Ukrainian non- comprehensive, academically oriented The six-week internship program and English-speaking directors who will program that will engage the NIS school three-week school director programs participate in a three-week program that directors in democratic school reform should provide the NIS educators with integrates the core civic education and thorough exposure to civic education issues and community-school relations, social science curriculum of the PiE as well as exposing the participants to and the social sciences at the secondary teachers, as well as specific seminars school level. Proposals relating to the the teaching methodologies for civic and workshops in community-based education and the social sciences. The teaching of English or English as a school governance. The school foreign language (EFL) are not eligible. school directors should travel in one or directors’ program may begin at the more groups and should be provided The program should encourage same time as the teachers’, trainers’, and participants to establish contacts in the with simultaneous translation. The administrators’ programs, or they may Bureau will consider a school director U.S. that will foster ongoing school and be programmed separately. To maximize community partnerships upon their component that exposes the participants impact, the school directors should be to up to two U.S. communities or school return to the NIS. recruited from existing lists of NIS The proposed program will span three districts during the three-week program. schools that have participated or from academic semesters, starting in the The grantee will also be responsible schools that are about to participate in spring of 2001. The contracted for facilitating the exchange of 24 U.S. the PiE teacher/administrator program. organization (grantee) will be expected teachers, preferably two U.S. host to recruit in Russia, Ukraine, The applicant is encouraged to submit teachers from each host site who were Kyrgyzstan, and Uzbekistan in a proposal that provides a detailed involved in the PiE teacher/ consultation with the Bureau of explanation of how the non-English- administrator six-week program. The Educational and Cultural Affairs and the speaking participants and their NIS U.S. educators will travel to the NIS Office of Public Affairs within U.S. schools will fully benefit from the U.S. community(ies) from which the NIS embassies in the NIS countries. exchange. teachers came, and will engage in a The goal of the teacher/administrator Program Information substantive two-week program to be component of the PiE program is to designed by the NIS participants in provide NIS participants with Overview collaboration with the grantee. The goal opportunities to learn about secondary- The goal of the PiE program is to of the U.S. participants’ program in the level curriculum development and civic expose NIS educators to U.S. teaching NIS is to strengthen the partnerships education and social science teaching methodologies and curriculum established during the U.S.-based methodologies in the U.S. After an development processes, and establish program, build long-term linkages, and academically-focused orientation in professional partnerships with U.S. provide opportunities for the U.S. Washington, DC, NIS grantees will be teachers and teacher-trainers in schools, educators to engage the educational placed in small groups at various school universities, and communities. The communities of their NIS colleagues. districts in the U.S. and provided with rationale of the program is to promote There is no commensurate NIS-based internships at local high schools. The democratic relations among members of program for the U.S. hosts of the school proposed internship activities for the NIS school communities and build upon director component of the PiE program.

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Guidelines The per participant costs include Narrative’’ sections of the proposal on a administrative costs. Please refer to the 3.5’’ diskette, formatted for DOS. These Program Planning and Implementation Solicitation Package for complete documents must be provided in ASCII The grant should begin on or around budget guidelines and formatting text (DOS) format with a maximum line June 5, 2000 and the grantee should instructions. The Bureau reserves the length of 65 characters. The Bureau will complete all exchange activities by right to reduce, revise, or increase transmit these files electronically to the December, 2002. The recipient proposed budget in accordance with the appropriate public affairs offices at U.S. organization will be responsible for needs of the program. embassies for their review, with the goal activities related to recruitment, Announcement Title and Number: All of reducing the time it takes to get posts’ screening, orientation coordination, correspondence with the Department of comments for the Bureau’s grants monitoring in the U.S., program State, Bureau of Educational and review process. evaluation, and alumni activities. The Cultural Affairs concerning this RFP grantee organization will also be Diversity, Freedom and Democracy should reference the above title and the Guidelines responsible for the competitive number ECA/A/S/X–00–02. recruitment of up to 12 U.S. host school Pursuant to the Bureau’s authorizing FOR FURTHER INFORMATION CONTACT: The districts for participation in the PiE legislation, programs must maintain a Office of Global Educational Programs, teacher/administrator program, as well non-political character and should be Teacher Exchange Branch, ECA/A/S/X, as up to two sites for the school director balanced and representative of the Room 349, U.S. Department of State, program. The recipient organization will diversity of American political, social, maintain overall oversight for the S.A. 44, 301 4th Street, S.W., and cultural life. ‘‘Diversity’’ should be program. Please refer to additional Washington, D.C. 20547, tel. 202–619– interpreted in the broadest sense and program specific guidelines in the 4556 and fax 202–401–1433, encompass differences including, but Project Objectives, Goals, and [email protected] to request a not limited to ethnicity, race, gender, Implementation (POGI) document. Solicitation Package. The Solicitation religion, geographic location, socio- Package contains detailed award economic status, and physical Budget Guidelines: criteria, required application forms, challenges. Applicants are strongly Grants awarded to eligible specific budget instructions, and encouraged to adhere to the organizations with less than four years standard guidelines for proposal advancement of this principle both in of experience in conducting preparation. Please specify Office of program administration and in program international exchange programs will be Global Educational Programs, Program content. Please refer to the review limited to $60,000. Officer Dehab Ghebreab, on all other criteria under the ‘support for Diversity’ Applicants must submit a inquiries and correspondence. section for specific suggestions on comprehensive line-item budget for the Please read the complete Federal incorporating diversity into the total entire program based on the specific Register announcement before sending proposal. Public Law 104–319 provides guidance in the Solicitation Package. inquiries or submitting proposals. Once that ‘‘in carrying out programs of Awards may not exceed $1,420,000 for the RFP deadline has passed, Bureau educational and cultural exchange in program and administrative costs. There staff may not discuss this competition countries whose people do not fully must be a summary budget as well as with applicants until the proposal enjoy freedom and democracy,’’ the breakdowns reflecting both review process has been completed. Bureau ‘‘shall take appropriate steps to administrative and program budgets. To Download a Solicitation Package provide opportunities for participation Applicants may provide separate sub- Via Internet: The entire Solicitation in such programs to human rights and budgets for each program component, Package may be downloaded from the democracy leaders of such countries.’’ phase, location, or activity to provide Bureau’s website at http://e.usia.gov/ Proposals should reflect advancement of clarification. The summary and detailed education/rfps. Please read all this goal in their program contents, to program administrative budgets should information before downloading. the full extent deemed feasible. be accompanied by a narrative which Deadline for Proposals: All proposal provides a brief rationale for each line copies must be received at the U.S. Year 2000 Compliance Requirement item. Administrative costs should be Department of State, Bureau of (Y2K Requirement) kept low; this will be an important Educational and Cultural Affairs by 5 The Year 2000 (Y2K) issue is a broad factor in grant competition. p.m. Washington, D.C. time on Monday, operational and accounting problem Allowable costs for the program February 28, 2000. Faxed documents that could potentially prohibit include the following: will not be accepted at any time. organizations from processing I. Teacher/Administrator/Trainer Documents postmarked on the due date information in accordance with Federal Participant Costs: Total $6,700 (per but received on a later date will not be management and program specific participant) × 115 participants: accepted. Each applicant must ensure requirements including data exchange $770,500 that the proposals are received by the with the Bureau. The inability to II. U.S. Teachers Participant Costs: Total above deadline. process information in accordance with $3,000 (per participant) × 24 Applicants must follow all Federal requirements could result in participants: $72,000 instructions in the Solicitation Package. grantees being required to return funds III. NIS School Directors Participant The original and 10 copies of the that have not been accounted for Costs: Total $6,900 (per participant) × application should be sent to: U.S. properly. 22 participants: $186,300 Department of State, Bureau of The Bureau therefore requires all IV. General Program Costs: Total: Educational and Cultural Affairs, Ref.: organizations use Y2K compliant $68,000 ECA/A/S/X–00–02, Program systems including hardware, software, This includes sub-contracts with U.S. Management Staff, ECA/EX/PM, Room and firmware. Systems must accurately host sites, fees for one program 336, S.A. 44 301 4th Street, S.W., process data and dates (calculating, curriculum advisor, costs for Washington, D.C. 20547. comparing and sequencing) both before recruitment and advertising, and alumni Applicants must also submit the and after the beginning of the year 2000 activities. ‘‘Executive Summary’’ and ‘‘Proposal and correctly adjust for leap years.

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Additional information addressing the Achievable and relevant features should through the Freedom for Russia and Y2K issue may be found at the General be cited in both program administration Emerging Eurasian Democracies and Open Services Administration’s Office of (selection of participants, program Markets Support Act of 1993 (Freedom Information Technology website at venue and program evaluation) and Support Act). http://www.itpolicy.gsa.gov. program content (orientation and wrap- Notice Review Process up sessions, program meetings, resource The terms and conditions published materials and follow-up activities). in this RFP are binding and may not be The Bureau will acknowledge receipt 5. Institutional Capacity and Record: modified by any Bureau representative. of all proposals and will review them Proposed personnel and institutional Explanatory information provided by for technical eligibility. Proposals will resources should be adequate and the Bureau that contradicts published be deemed ineligible if they do not fully appropriate to achieve the program or language will not be binding. Issuance adhere to the guidelines stated herein project’s goals. Proposals should of the RFP does not constitute an award and in the Solicitation Package. All demonstrate an institutional record of commitment on the part of the eligible proposals will be reviewed by successful exchange programs, Government. The Bureau reserves the the program office, as well as the U.S. including responsible fiscal right to reduce, revise, or increase Department of State’s Office of the management and full compliance with proposal budgets in accordance with the Senior Coordinator for the Newly all reporting requirements for past needs of the program and the Independent States and the public Bureau grants as determined by the availability of funds. Awards made will affairs offices of U.S. embassies grants staff. The Bureau will consider be subject to periodic reporting and overseas, where appropriate. Eligible the past performance of prior recipients evaluation requirements. proposals will be forwarded to panels of and the demonstrated potential of new Bureau officers for advisory review. applicants. Notification Proposals may also be reviewed by the 6. Follow-on Activities: Proposals Final awards cannot be made until Department of State, Office of the Legal should provide a plan for continued funds have been appropriated by Adviser or by other Bureau elements. follow-on activity (without Bureau Congress, allocated and committed Final funding decisions are at the support) ensuring that Bureau through internal Department of State discretion of the Department of State’s supported programs are not isolated procedures. Assistant Secretary for Educational and events. Cultural Affairs. Final technical 7. Project Evaluation: Proposals Dated: December 1, 1999. authority for assistance awards (grants should include a plan to evaluate the Evelyn S. Lieberman, or cooperative agreements) resides with activity’s success, both as the activities Under Secretary for Public Diplomacy and the Bureau’s Grants Officer. unfold and at the end of the program. A Public Affairs. Review Criteria draft survey questionnaire or other [FR Doc. 99–31967 Filed 12–8–99; 8:45 am] technique plus description of a BILLING CODE 4710±45±U Technically eligible applications will methodology to use to link outcomes to be competitively reviewed according to original project objectives are the criteria stated below. These criteria recommended. Successful applicants DEPARTMENT OF TRANSPORTATION are not rank ordered and all carry equal will be expected to submit intermediate weight in the proposal evaluation: reports after each project component is Federal Aviation Administration 1. Quality of the program idea: concluded or quarterly, whichever is Proposals should exhibit originality, less frequent. Proposed Advisory Circular; Damage substance, precision, and relevance to 8. Cost-effectiveness/Cost-sharing: Tolerance for High Energy Turbine the Bureau’s mission, and The overhead and administrative Engine Rotors responsiveness to the objectives and components of the proposal, including guidelines stated in this solicitation. AGENCY: Federal Aviation salaries and honoraria, should be kept Administration, DOT. Proposals should demonstrate as low as possible. All other items ACTION: Notice of availability of substantive experience in the social should be necessary and appropriate. proposed advisory circular and request sciences and civic education. Proposals should maximize cost-sharing for comments. 2. Program planning and ability to through other private sector support as achieve program objectives: Detailed well as institutional direct funding SUMMARY: This notice announces the agenda and relevant work plan should contributions. availability of draft Advisory Circular demonstrate substantive undertakings (AC), No. 33.14–1, Damage Tolerance and logistical capacity. Agenda and plan Authority: Overall grant making authority for High Energy Turbine engine Rotors. should adhere to the program overview for this program is contained in the Mutual Educational and Cultural Exchange Act of DATES: and guidelines described above. Comments must be received on 1961, Public Law 87–256, as amended, also or before January 10, 2000. Objectives should be reasonable, known as the Fulbright-Hays Act. The ADDRESSES: Send all comments on the feasible, and flexible. Proposals should purpose of the Act is ‘‘to enable the clearly demonstrate how the institution Government of the United States to increase proposed AC to the Federal Aviation will meet the program’s objectives and mutual understanding between the people of Administration, Attn: Engine and plan. the United States and the people of other Propeller Standards Staff, ANE–110, 3. Multiplier effect/impact: Proposed countries . . . to strengthen the ties which Engine and Propeller Directorate, programs should strengthen long-term unite us with other nations by demonstrating Aircraft Certification Service, 12 New mutual understanding, including the educational and cultural interests, England Executive Park, Burlington, MA developments, and achievements of the 01803–5299. maximum sharing of information and people of the United States and other nations FOR FURTHER INFORMATION CONTACT: establishment of long-term institutional . . . and thus to assist in the development of Tim and individual linkages. friendly, sympathetic and peaceful relations Mouzakis, Engine and Propeller 4. Support of Diversity: Proposals between the United States and the other Standards Staff, ANE–110, at the above should demonstrate substantive support countries of the world.’’ The funding address, telephone (781) 238–7114, fax of the Bureau’s policy on diversity. authority for the program above is provided (781) 238–7199.

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SUPPLEMENTARY INFORMATION: DEPARTMENT OF TRANSPORTATION for use on public streets, roads, or highways, the registered importer must Comments Invited National Highway Traffic Safety certify to NHTSA, pursuant to 49 U.S.C. Administration A copy of the draft AC may be 30146(a), that the vehicle has been obtained by contacting the person brought into conformity with all Annual List of Defect and applicable FMVSS. named under FOR FURTHER INFORMATION Noncompliance Decisions Affecting CONTACT. Interested persons are invited Nonconforming Imported Vehicles If a vehicle originally manufactured to comment on the proposed AC, and to for importation into and sale in the submit such written data, views, or AGENCY: National Highway Traffic United States is decided to contain a arguments as they desire. Comments Safety Administration (NHTSA), DOT. defect related to motor vehicle safety, or must identify the subject of the AC, and ACTION: Annual list of defect and not to comply with an applicable submit comments to the address noncompliance decisions affecting FMVSS, 49 U.S.C. 30147(a)(1)(A) specified above. All communications nonconforming imported vehicles. provides that the same defect or noncompliance is deemed to exist in received on or before the closing date SUMMARY: This document contains a list any nonconforming vehicle that NHTSA for comments will be considered by the of vehicles recalled by their has decided to be substantially similar Engine and Propeller Directorate, manufacturers during Fiscal Year 1999 and for which a registered importer has Aircraft Certification Service, before (October 1, 1998 through September 30, submitted a certificate of conformity to issuance of the final AC. 1999) to correct a safety-related defect or the agency. Under 49 U.S.C. a noncompliance with an applicable Background 30147(a)(1)(B), the registered importer is Federal motor vehicle safety standard deemed to be the nonconforming This advisory circular (AC) provides (FMVSS). The listed vehicles are those vehicle’s manufacturer for the purpose guidance and information on acceptable that have been decided by NHTSA to be of providing notification of, and a substantially similar to vehicles methods, but not the only methods of remedy for, the defect or imported into the United States that compliance with § 33.14 of the Federal noncompliance. were not originally manufactured to Aviation Regulations, title 14 of the conform to all applicable FMVSS. The To apprise registered importers of the Code of Federal Regulations. Section registered importers of those vehicles for which they must conduct a 33.14 contains requirements of life nonconforming vehicles are obligated to notification and remedy (i.e., ‘‘recall’’) management requirements applicable to provide their owners with notification campaign, 49 U.S.C. 30147(a)(2) the design and life management of of, and a remedy for, the defects or requires NHTSA to publish in the titanium alloy high energy rotating parts noncompliances for which the listed Federal Register notice of any defect or of aircraft engines. Although this AC vehicles were recalled. noncompliance decision that is made does refer to regulatory requirements FOR FURTHER INFORMATION CONTACT: with respect to substantially similar that are mandatory, this AC is not, in George Entwistle, Office of Vehicle U.S. certified vehicles. Annex A itself, mandatory. This AC neither Safety Compliance, NHTSA (202–366– contains a list of all such decisions that changes any regulatory requirements 5306). were made during Fiscal Year 1999, which ran from October 1, 1998 through nor authorizes changes in or deviations SUPPLEMENTARY INFORMATION: Under 49 September 30, 1999. The list identifies from the regulatory requirements. U.S.C. 30141(a)(1)(A), a motor vehicle the Recall Number that was assigned to that was not originally manufactured to This advisory circular would be the recall by NHTSA after the agency conform to all applicable Federal motor published under the authority granted received the manufacturer’s notification to the Administrator by 49 U.S.C. vehicle safety standards (FMVSS) shall be refused admission into the United of the defect or noncompliance under 49 106(g), 40113, 44701–44702, 44704 and CFR part 573. After September 30, 2000, would provide guidance for the States unless NHTSA has decided that the motor vehicle is substantially NHTSA will publish a comparable list requirements in 14 CFR part 33. similar to a motor vehicle of the same of all defect and noncompliance Issued in Burlington, Massachusetts, on model year that was originally decisions affecting nonconforming December 2, 1999. manufactured for importation into and imported vehicles that are made during the current fiscal year. Ronald L. Vavruska, sale in the United States and certified Acting Manager, Engine and Propeller under 49 U.S.C. 30115. Once NHTSA Authority: 49 U.S.C. 30147(a)(2); 49 CFR Directorate, Aircraft Certification Service. decides that a nonconforming vehicle is 593.8; delegations of authority at 49 CFR 1.50 and 501.8. [FR Doc. 99–31981 Filed 12–8–99; 8:45 am] eligible for importation, it may be imported by a person who is registered Issued on: December 6, 1999. BILLING CODE 4910±13±M with the agency pursuant to 49 U.S.C. Marilynne Jacobs, 30141(c). Before releasing the vehicle Director, Office of Vehicle Safety Compliance.

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ANNEX A.ÐFISCAL YEAR 99 RECALLS AFFECTING VEHICLES IMPORTED BY REGISTERED IMPORTERS

Make Model Year Recall No.

ACURA ...... CL ...... 1997 99V06900 ACURA ...... INTEGRA ...... 1999 99V20300 ACURA ...... TL ...... 1996 99V06900 ACURA ...... TL ...... 1999 99V20300 AUDI ...... 100 ...... 1993 98V33200 AUDI ...... 100 ...... 1994 98V33200 AUDI ...... A4 ...... 1997 99V13100 BLUE BIRD ...... TC2000 ...... 1990 99V01800 BLUE BIRD ...... TC2000 ...... 1990 99V01800 BMW ...... 3231 ...... 1999 99V06300 BMW ...... 3231 ...... 1999 99V10000 BMW ...... K120ORS ...... 1998 98V25800 BUICK ...... CENTURY ...... 1999 99V17000 BUICK ...... PARK AVENUE ...... 1999 99V23800 BUICK ...... REGAL ...... 1995 98V30600 BUICK ...... REGAL ...... 1999 99V17000 CADILLAC ...... ESCALADE ...... 1999 99V14100 CADILLAC ...... SEVILLE ...... 1998 99V07000 CADILLAC ...... SEVILLE ...... 1999 99V07000 CHEVROLET ...... ASTRO ...... 1992 99I00600 CHEVROLET ...... ASTRO ...... 1993 99I00600 CHEVROLET ...... ASTRO ...... 1994 99I00600 CHEVROLET ...... ASTRO ...... 1995 99I00600 CHEVROLET ...... BLAZER ...... 1991 99V19300 CHEVROLET ...... BLAZER ...... 1992 99V19300 CHEVROLET ...... BLAZER ...... 1993 99I00600 CHEVROLET ...... BLAZER ...... 1993 99V19300 CHEVROLET ...... BLAZER ...... 1994 99I00600 CHEVROLET ...... BLAZER ...... 1994 99V19300 CHEVROLET ...... BLAZER ...... 1995 99I00600 CHEVROLET ...... BLAZER ...... 1995 99V19300 CHEVROLET ...... BLAZER ...... 1996 99I00600 CHEVROLET ...... BLAZER ...... 1996 99V19300 CHEVROLET ...... C10 ...... 1992 99V13000 CHEVROLET ...... C20 ...... 1992 99V13000 CHEVROLET ...... CAMARO ...... 1999 99V23900 CHEVROLET ...... CAVALIER ...... 1996 98V31900 CHEVROLET ...... CAVALIER ...... 1997 98V31900 CHEVROLET ...... CAVALIER ...... 1998 99V18000 CHEVROLET ...... CAVALIER ...... 1999 99V21800 CHEVROLET ...... G20 ...... 1993 99I00600 CHEVROLET ...... G20 ...... 1994 99I00600 CHEVROLET ...... G20 ...... 1995 99I00600 CHEVROLET ...... G20 ...... 1995 99V12600 CHEVROLET ...... K10 ...... 1992 99V13000 CHEVROLET ...... K20 ...... 1992 99V13000 CHEVROLET ...... LUMINA ...... 1995 98V30600 CHEVROLET ...... S10 ...... 1991 99V19300 CHEVROLET ...... S10 ...... 1992 99V19300 CHEVROLET ...... S10 ...... 1993 99V19300 CHEVROLET ...... S10 ...... 1994 99I00600 CHEVROLET ...... S10 ...... 1994 99V19300 CHEVROLET ...... S10 ...... 1995 99I00600 CHEVROLET ...... S10 ...... 1995 99V19300 CHEVROLET ...... S10 ...... 1996 99I00600 CHEVROLET ...... S10 ...... 1996 99V19300 CHEVROLET ...... VENTURE ...... 1999 99V07100 CHRYSLER ...... CIRRUS ...... 1998 99V24400 CHRYSLER ...... CONCORDE ...... 1993 99V21500 CHRYSLER ...... CONCORDE ...... 1994 99V21500 CHRYSLER ...... CONCORDE ...... 1995 99V21500 CHRYSLER ...... LHS ...... 1994 99V21500 CHRYSLER ...... LHS ...... 1995 99V21500 CHRYSLER ...... SEBRING ...... 1995 99V06600 CHRYSLER ...... SEBRING ...... 1996 99V06600 CHRYSLER ...... TOWN AND COUNTRY ...... 1996 99V21600 DODGE ...... AVENGER ...... 1995 99V06600 DODGE ...... AVENGER ...... 1996 99V06600 DODGE ...... CARAVAN ...... 1991 99V18900 DODGE ...... CARAVAN ...... 1992 99V18900 DODGE ...... CARAVAN ...... 1993 99V11300 DODGE ...... CARAVAN ...... 1993 99V18900

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ANNEX A.ÐFISCAL YEAR 99 RECALLS AFFECTING VEHICLES IMPORTED BY REGISTERED IMPORTERSÐContinued

Make Model Year Recall No.

DODGE ...... CARAVAN ...... 1994 99V11300 DODGE ...... CARAVAN ...... 1995 99V11300 DODGE ...... CARAVAN ...... 1996 99V21600 DODGE ...... CARAVAN ...... 1999 99V11600 DODGE ...... GRAND CARAVAN ...... 1991 99V18900 DODGE ...... GRAND CARAVAN ...... 1992 99V18900 DODGE ...... GRAND CARAVAN ...... 1993 99V11300 DODGE ...... GRAND CARAVAN ...... 1993 99V18900 DODGE ...... GRAND CARAVAN ...... 1994 99V11300 DODGE ...... GRAND CARAVAN ...... 1995 99V11300 DODGE ...... GRAND CARAVAN ...... 1996 99V21600 DODGE ...... GRAND CARAVAN ...... 1999 99V11600 DODGE ...... INTREPID ...... 1993 99V21500 DODGE ...... INTREPID ...... 1994 99V21500 DODGE ...... INTREPID ...... 1995 99V21500 DODGE ...... NEON ...... 1998 99V00100 DODGE ...... RAM ...... 1994 99V11500 DODGE ...... RAM ...... 1994 99V21400 DODGE ...... RAM ...... 1995 99V11500 DODGE ...... RAM ...... 1995 99V21400 DODGE ...... RAM ...... 1996 99V11500 DODGE ...... RAM ...... 1997 99V11500 DODGE ...... RAM ...... 1998 99V11500 DODGE ...... RAM ...... 1999 99V11500 DODGE ...... RAM ...... 1999 99V19000 DODGE ...... SHADOW ...... 1992 99V21200 DODGE ...... SHADOW ...... 1993 99V21200 DODGE ...... SHADOW ...... 1994 99V21200 DODGE ...... STRATUS ...... 1998 99V24400 DODGE ...... STRATUS ...... 1999 99V24400 EAGLE ...... TALON ...... 1995 99V06600 EAGLE ...... VISION ...... 1993 99V21500 EAGLE ...... VISION ...... 1994 99V21500 EAGLE ...... VISION ...... 1995 99V21500 FERRARI ...... 550 ...... 1997 98V26800 FERRARI ...... 550 ...... 1997 99V16600 FORD ...... AEROSTAR ...... 1992 99V09400 FORD ...... CONTOUR ...... 1996 99V10300 FORD ...... CONTOUR ...... 1996 99V24700 FORD ...... CONTOUR ...... 1997 99V10300 FORD ...... CONTOUR ...... 1998 98V27000 FORD ...... CONTOUR ...... 1998 98V27000 FORD ...... CONTOUR ...... 1998 99V10300 FORD ...... CONTOUR ...... 1998 99V19400 FORD ...... CONTOUR ...... 1998 99V24300 FORD ...... CONTOUR ...... 1999 98V27000 FORD ...... CONTOUR ...... 1999 98V27000 FORD ...... CONTOUR ...... 1999 99V06000 FORD ...... CROWN VICTORIA ...... 1990 98V32200 FORD ...... CROWN VICTORIA ...... 1991 98V32200 FORD ...... CROWN VICTORIA ...... 1992 98V32200 FORD ...... CROWN VICTORIA ...... 1992 99V12400 FORD ...... CROWN VICTORIA ...... 1993 98V32200 FORD ...... CROWN VICTORIA ...... 1993 99V12400 FORD ...... CROWN VICTORIA ...... 1994 98V32200 FORD ...... CROWN VICTORIA ...... 1995 98V32200 FORD ...... CROWN VICTORIA ...... 1996 98V32200 FORD ...... CROWN VICTORIA ...... 1997 98V32200 FORD ...... CROWN VICTORIA ...... 1998 98V32200 FORD ...... EXPEDITION ...... 1999 99V09900 FORD ...... EXPLORER ...... 1998 99V16400 FORD ...... EXPLORER ...... 1999 99V12300 FORD ...... EXPLORER ...... 1999 99V16400 FORD ...... F250 ...... 1999 99V09300 FORD ...... F250 ...... 1999 99V21900 FORD ...... F350 ...... 1999 99V09300 FORD ...... F350 ...... 1999 99V21900 FORD ...... MUSTANG ...... 1998 99V06200 FORD ...... MUSTANG ...... 1998 99V06200 FORD ...... MUSTANG ...... 1999 99V25000 FORD ...... RANGER ...... 1998 99V20400 FORD ...... RANGER ...... 1999 99V20400

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ANNEX A.ÐFISCAL YEAR 99 RECALLS AFFECTING VEHICLES IMPORTED BY REGISTERED IMPORTERSÐContinued

Make Model Year Recall No.

FORD ...... TAURUS ...... 1988 98V32300 FORD ...... TAURUS ...... 1990 98V32300 FORD ...... TAURUS ...... 1991 98V32300 FORD ...... TAURUS ...... 1992 98V32300 FORD ...... TAURUS ...... 1993 98V32300 FORD ...... TAURUS ...... 1994 98V32300 FORD ...... TAURUS ...... 1995 98V32300 FORD ...... TAURUS ...... 1999 98V28800 FORD ...... TAURUS ...... 1999 99V25000 FORD ...... WINDSTAR ...... 1996 99V14700 FORD ...... WINDSTAR ...... 1997 99V14700 FORD ...... WINDSTAR ...... 1998 99V14700 FORD ...... WINDSTAR ...... 1999 99V14700 FREIGHTLINER ...... CENTURY ...... 1997 98V32600 GMC ...... C3500 ...... 1994 99V02500 GMC ...... G20 ...... 1995 99V12600 GMC ...... JIMMY ...... 1991 99V19300 GMC ...... JIMMY ...... 1992 99V19300 GMC ...... JIMMY ...... 1993 99I00600 GMC ...... JIMMY ...... 1993 99V19300 GMC ...... JIMMY ...... 1994 99I00600 GMC ...... JIMMY ...... 1994 99V19300 GMC ...... JIMMY ...... 1995 99I00600 GMC ...... JIMMY ...... 1995 99V19300 GMC ...... JIMMY ...... 1996 99I00600 GMC ...... JIMMY ...... 1996 99V19300 GMC ...... SAFARI ...... 1992 99I00600 GMC ...... SAFARI ...... 1993 99I00600 GMC ...... SAFARI ...... 1994 99I00600 GMC ...... SAFARI ...... 1995 99I00600 GMC ...... SAFARI ...... 1996 99V00900 GMC ...... SAFARI ...... 1997 99V00900 GMC ...... SAFARI ...... 1998 99V00900 GMC ...... SIERRA ...... 1999 98V24200 GMC ...... SONOMA ...... 1991 99V19300 GMC ...... SONOMA ...... 1992 99V19300 GMC ...... SONOMA ...... 1993 99V19300 GMC ...... SONOMA ...... 1994 99I00600 GMC ...... SONOMA ...... 1994 99V19300 GMC ...... SONOMA ...... 1995 99I00600 GMC ...... SONOMA ...... 1995 99V19300 GMC ...... SONOMA ...... 1996 99I00600 GMC ...... SONOMA ...... 1996 99V19300 GMC ...... SUBURBAN ...... 1994 99V02500 HARLEY DAVIDSON ...... FLHR ...... 1999 99V00300 HARLEY DAVIDSON ...... FLHRCI ...... 1999 99V00300 HARLEY DAVIDSON ...... FLHT ...... 1999 99V00300 HARLEY DAVIDSON ...... FLHTCUI ...... 1999 99V00300 HARLEY DAVIDSON ...... FLSTC ...... 1999 99V20000 HARLEY DAVIDSON ...... FLSTF ...... 1999 99V20000 HARLEY DAVIDSON ...... FLSTS ...... 1999 99V20000 HARLEY DAVIDSON ...... FLTRI ...... 1999 99V00300 HARLEY DAVIDSON ...... FXD ...... 1999 99V00300 HARLEY DAVIDSON ...... FXD ...... 1999 99V20000 HARLEY DAVIDSON ...... FXDL ...... 1999 99V20000 HARLEY DAVIDSON ...... FXDWG ...... 1999 99V00300 HARLEY DAVIDSON ...... FXDWG ...... 1999 99V20000 HARLEY DAVIDSON ...... FXDX ...... 1999 99V00300 HARLEY DAVIDSON ...... FXDX ...... 1999 99V20000 HARLEY DAVIDSON ...... FXST ...... 1999 99V20000 HARLEY DAVIDSON ...... FXSTB ...... 1999 99V20000 HARLEY DAVIDSON ...... FXSTC ...... 1999 99V20000 HARLEY DAVIDSON ...... FXSTS ...... 1999 99V20000 HARLEY DAVIDSON ...... SOFTAIL ...... 1999 99V20000 HONDA ...... ACCORD ...... 1997 99V06900 HONDA ...... ACCORD ...... 1998 99V06900 HONDA ...... ACCORD ...... 1999 99V20300 HONDA ...... CIVIC ...... 1996 99E01500 HONDA ...... CIVIC ...... 1997 99E01500 HONDA ...... CIVIC ...... 1998 99E01500 HONDA ...... CIVIC ...... 1999 99V20300 HONDA ...... ODYSSEY ...... 1997 99V06900

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ANNEX A.ÐFISCAL YEAR 99 RECALLS AFFECTING VEHICLES IMPORTED BY REGISTERED IMPORTERSÐContinued

Make Model Year Recall No.

HONDA ...... ODYSSEY ...... 1998 99V06900 HONDA ...... ODYSSEY ...... 1999 99V15700 HONDA ...... ODYSSEY ...... 1999 99V15800 HONDA ...... ODYSSEY ...... 1999 99V15900 HONDA ...... PRELUDE ...... 1996 99V06900 HONDA ...... PRELUDE ...... 1997 99V06900 HONDA ...... PRELUDE ...... 1998 99V06900 HONDA ...... PRELUDE ...... 1999 99V20300 HYUNDAI ...... ACCENT ...... 1995 98V24500 JAGUAR ...... XJ12 ...... 1994 98V27100 JEEP ...... GRAND CHEROKEE ...... 1999 98V27600 JEEP ...... WRANGLER ...... 1999 99V11700 KENWORTH ...... T800 ...... 1998 99V18100 KENWORTH ...... T800 ...... 1999 99V18100 KENWORTH ...... W900 ...... 1998 99V18100 LAND ROVER ...... RANGE ROVER ...... 1995 99V00700 LAND ROVER ...... RANGE ROVER ...... 1996 99V00700 LAND ROVER ...... RANGE ROVER ...... 1997 99V00700 LEXUS ...... RX300 ...... 1999 99V01100 LEXUS ...... RX300 ...... 1999 99V01200 LINCOLN ...... CONTINENTAL ...... 1990 98V32300 LINCOLN ...... CONTINENTAL ...... 1992 98V32300 LINCOLN ...... CONTINENTAL ...... 1993 98V32300 LINCOLN ...... CONTINENTAL ...... 1994 98V32300 LINCOLN ...... NAVIGATOR ...... 1999 99V09900 LINCOLN ...... TOWN CAR ...... 1990 98V32200 LINCOLN ...... TOWN CAR ...... 1991 98V32200 LINCOLN ...... TOWN CAR ...... 1992 98V32200 LINCOLN ...... TOWN CAR ...... 1992 99V12400 LINCOLN ...... TOWN CAR ...... 1993 98V32200 LINCOLN ...... TOWN CAR ...... 1993 99V12400 LINCOLN ...... TOWN CAR ...... 1994 98V32200 LINCOLN ...... TOWN CAR ...... 1995 98V32200 LINCOLN ...... TOWN CAR ...... 1996 98V32200 LINCOLN ...... TOWN CAR ...... 1997 98V32200 LINCOLN ...... TOWN CAR ...... 1998 98V32200 MACK ...... DM ...... 1998 99V01400 MAZDA ...... 626 ...... 1995 98V24900 MAZDA ...... 626 ...... 1996 98V24900 MAZDA ...... 626 ...... 1997 98V24900 MAZDA ...... 626 ...... 1998 98V24300 MAZDA ...... MPV ...... 2000 99V17100 MAZDA ...... MPV ...... 2000 99V19100 MAZDA ...... MX6 ...... 1996 98V24900 MERCURY ...... COUGAR ...... 1999 99V22600 MERCURY ...... GRAND MARQUIS ...... 1992 99V12400 MERCURY ...... GRAND MARQUIS ...... 1993 99V12400 MERCURY ...... MYSTIQUE ...... 1996 99V10300 MERCURY ...... MYSTIQUE ...... 1996 99V24700 MERCURY ...... MYSTIQUE ...... 1997 99V10300 MERCURY ...... MYSTIQUE ...... 1998 98V27000 MERCURY ...... MYSTIQUE ...... 1998 98V27000 MERCURY ...... MYSTIQUE ...... 1998 99V10300 MERCURY ...... MYSTIQUE ...... 1998 99V19400 MERCURY ...... MYSTIQUE ...... 1998 99V24300 MERCURY ...... SABLE ...... 1986 98V32300 MERCURY ...... SABLE ...... 1988 98V32300 MERCURY ...... SABLE ...... 1989 98V32300 MERCURY ...... SABLE ...... 1990 98V32300 MERCURY ...... SABLE ...... 1992 98V32300 MERCURY ...... SABLE ...... 1993 98V32300 MERCURY ...... SABLE ...... 1994 98V32300 MERCURY ...... SABLE ...... 1995 98V32300 MERCURY ...... SABLE ...... 1999 99V25000 NAVISTAR ...... 4700 ...... 1996 99V03300 NAVISTAR ...... 4900 ...... 1997 99V03300 OLDSMOBILE ...... CUTLASS ...... 1995 98V30600 PETERBILT ...... 357 ...... 1998 99V18100 PETERBILT ...... 357 ...... 1999 99V18100 PETERBILT ...... 378 ...... 1998 99V18100 PETERBILT ...... 379 ...... 1998 99VI8100 PETERBILT ...... 379 ...... 1999 99V18100

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ANNEX A.ÐFISCAL YEAR 99 RECALLS AFFECTING VEHICLES IMPORTED BY REGISTERED IMPORTERSÐContinued

Make Model Year Recall No.

PLYMOUTH ...... BREEZE ...... 1998 99V24400 PLYMOUTH ...... BREEZE ...... 1999 99V24400 PLYMOUTH ...... GRAND VOYAGER ...... 1991 99V18900 PLYMOUTH ...... GRAND VOYAGER ...... 1992 99V18900 PLYMOUTH ...... GRAND VOYAGER ...... 1993 99V11300 PLYMOUTH ...... GRAND VOYAGER ...... 1993 99V18900 PLYMOUTH ...... GRAND VOYAGER ...... 1994 99V11300 PLYMOUTH ...... GRAND VOYAGER ...... 1995 99V11300 PLYMOUTH ...... GRAND VOYAGER ...... 1996 99V21600 PLYMOUTH ...... GRAND VOYAGER ...... 1999 99V11600 PLYMOUTH ...... NEON ...... 1998 99V00100 PLYMOUTH ...... PROWLER ...... 1999 99V24500 PLYMOUTH ...... SUNDANCE ...... 1992 99V21200 PLYMOUTH ...... SUNDANCE ...... 1993 99V21200 PLYMOUTH ...... SUNDANCE ...... 1994 99V21200 PLYMOUTH ...... VOYAGER ...... 1991 99V18900 PLYMOUTH ...... VOYAGER ...... 1992 99V18900 PLYMOUTH ...... VOYAGER ...... 1993 99V11300 PLYMOUTH ...... VOYAGER ...... 1993 99V18900 PLYMOUTH ...... VOYAGER ...... 1994 99V11300 PLYMOUTH ...... VOYAGER ...... 1995 99V11300 PLYMOUTH ...... VOYAGER ...... 1996 99V21600 PLYMOUTH ...... VOYAGER ...... 1999 99V11600 PONTIAC ...... BONNEVILLE ...... 1999 99V07200 PONTIAC ...... BONNEVILLE ...... 1999 99V08900 PONTIAC ...... FIREBIRD ...... 1999 99V23900 PONTIAC ...... GRAND AM ...... 1999 98V32000 PONTIAC ...... GRAND PRIX ...... 1995 98V30600 PONTIAC ...... MONTANA ...... 1999 99V07100 PONTIAC ...... SUNFIRE ...... 1996 98V31900 PONTIAC ...... SUNFIRE ...... 1997 98V31900 PONTIAC ...... SUNFIRE ...... 1999 99V21800 PREVOST ...... H3±45 ...... 1999 98V23900 PREVOST ...... H3±45 ...... 1999 99V09200 SAAB ...... 9000 ...... 1994 99V10900 SUBARU ...... LEGACY ...... 1998 99V04000 SUBARU ...... LEGACY ...... 1999 99V04000 VOLKSWAGEN ...... JETTA ...... 1999 99V02200 VOLKSWAGEN ...... JETTA ...... 1999 99V25100 VOLKSWAGEN ...... PASSAT ...... 1998 99V13100 VOLKSWAGEN ...... PASSAT ...... 1998 99V24800 VOLKSWAGEN ...... PASSAT ...... 1999 99V13100 VOLKSWAGEN ...... PASSAT ...... 1999 99V24800 VOLVO ...... 850 ...... 1997 99V23500 VOLVO ...... AUTOCAR ...... 1998 99V07800 VOLVO ...... S70 ...... 1998 99V23500 VOLVO ...... S70 ...... 1998 99V23600 VOLVO ...... V70 ...... 1998 98V25400 VOLVO ...... V70 ...... 1998 99V23500 VOLVO ...... V70 ...... 1998 99V23600

[FR Doc. 99–31971 Filed 12–8–99; 8:45 am] ACTION: Notice of receipt of petition for sale in the United States and that was BILLING CODE 4910±59±P decision that nonconforming 1994 Saab certified by its manufacturer as 9000 passenger cars are eligible for complying with the safety standards, importation. and (2) it is capable of being readily DEPARTMENT OF TRANSPORTATION altered to conform to the standards. SUMMARY: This document announces National Highway Traffic Safety DATES: The closing date for comments receipt by the National Highway Traffic on the petition is January 10, 2000. Administration Safety Administration (NHTSA) of a petition for a decision that a 1994 Saab ADDRESSES: Comments should refer to [Docket No. NHTSA±99±6525] 9000 passenger car that was not the docket number and notice number, originally manufactured to comply with and be submitted to: Docket Notice of Receipt of Petition for Management, Room PL–401, 400 Decision that Nonconforming 1994 all applicable Federal motor vehicle safety standards is eligible for Seventh St., SW, Washington, DC Saab 9000 Passenger Cars Are Eligible 20590. [Docket hours are from 9 am to for Importation importation into the United States because (1) it is substantially similar to 5 pm]. AGENCY: National Highway Traffic a vehicle that was originally FOR FURTHER INFORMATION CONTACT: Safety Administration, DOT. manufactured for importation into and George Entwistle, Office of Vehicle

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Safety Compliance, NHTSA (202–366– Specifically, the petitioner claims that or a belt webbing actuated microswitch 5306). the non-U.S. certified 1994 Saab 9000 is inside the driver’s seat belt retractor; (b) SUPPLEMENTARY INFORMATION: identical to its U.S. certified counterpart installation of an ignition switch with respect to compliance with actuated seat belt warning lamp and Background Standard Nos. 102 Transmission Shift buzzer; (c) replacement of the driver’s Under 49 U.S.C. 30141(a)(1)(A), a Lever Sequence ...., 103 Defrosting side air bag and knee bolster with U.S.- motor vehicle that was not originally and Defogging Systems, 104 Windshield model components on vehicles that are manufactured to conform to all Wiping and Washing Systems, 105 not already so equipped. The petitioner applicable Federal motor vehicle safety Hydraulic Brake Systems, 106 Brake states that the vehicle is equipped with standards shall be refused admission Hoses, 109 New Pneumatic Tires, 113 combination lap and shoulder belts that into the United States unless NHTSA Hood Latch Systems, 116 Brake Fluid, adjust by means of an automatic has decided that the motor vehicle is 124 Accelerator Control Systems, 201 retractor and release by means of a substantially similar to a motor vehicle Occupant Protection in Interior Impact, single push button at the front outboard originally manufactured for importation 202 Head Restraints, 204 Steering seating positions, with combination lap into and sale in the United States, Control Rearward Displacement, 205 and shoulder restraints that release by certified under 49 U.S.C. 30115, and of Glazing Materials, 206 Door Locks and means of a single push button at the rear the same model year as the model of the Door Retention Components, 207 outboard seating positions, and with a motor vehicle to be compared, and is Seating Systems, 209 Seat Belt lap belt in the rear center designated capable of being readily altered to Assemblies, 210 Seat Belt Assembly seating position. conform to all applicable Federal motor Anchorages, 212 Windshield Retention, Standard No. 214 Side Impact vehicle safety standards. 216 Roof Crush Resistance, 219 Protection: installation of reinforcing Petitions for eligibility decisions may Windshield Zone Intrusion, and 302 door beams. be submitted by either manufacturers or Flammability of Interior Materials. Standard No. 301 Fuel System importers who have registered with Additionally, the petitioner states that Integrity: installation of a rollover valve NHTSA pursuant to 49 CFR Part 592. As the vehicle conforms to the Bumper in the fuel tank vent line. specified in 49 CFR 593.7, NHTSA Standard found at 49 CFR Part 581. publishes notice in the Federal Register Petitioner also contends that the The petitioner also states that all of each petition that it receives, and vehicle is capable of being readily vehicles will be inspected prior to affords interested persons an altered to meet the following standards, importation to ensure that they are opportunity to comment on the petition. in the manner indicated: equipped with anti-theft devices in Standard No. 101 Controls and At the close of the comment period, compliance with the Theft Prevention Displays: (a) substitution of a lens NHTSA decides, on the basis of the Standard found in 49 CFR Part 541 and marked ‘‘Brake’’ for a lens with a petition and any comments that it has modified if necessary. noncomplying symbol on the brake received, whether the vehicle is eligible failure indicator lamp; (b) installation of The petitioner also states that a for importation. The agency then a seat belt warning lamp that displays vehicle identification plate must be publishes this decision in the Federal the appropriate symbol; (c) recalibration affixed to the vehicle to meet the Register. of the speedometer/odometer to show requirements of 49 CFR part 565. Champagne Imports of Lansdale, distance in miles and speed in miles per Interested persons are invited to Pennsylvania (‘‘Champagne’’) hour. submit comments on the petition (Registered Importer 90–009) has Standard No. 108 Lamps, Reflective described above. Comments should refer petitioned NHTSA to decide whether a Devices and Associated Equipment: (a) to the docket number and be submitted 1994 Saab 9000 passenger car is eligible installation of U.S.-model headlamp to: Docket Management, Room PL–401, for importation into the United States. assemblies; (b) installation of U.S.- 400 Seventh St., SW, Washington, DC The vehicle which Champagne believes model front and rear sidemarker/ 20590. [Docket hours are from 9 am to is substantially similar is the 1994 Saab reflector assemblies; (c) installation of 5 pm]. It is requested but not required 9000 passenger car that was U.S.-model taillamp assemblies; (d) that 10 copies be submitted. manufactured for importation into, and installation of a high mounted stop sale in, the United States and certified All comments received before the lamp if the vehicle is not already so close of business on the closing date by its manufacturer as conforming to all equipped. applicable Federal motor vehicle safety indicated above will be considered, and Standard No. 110 Tire Selection and will be available for examination in the standards. Rims: installation of a tire information The petitioner claims that it carefully docket at the above address both before placard. and after that date. To the extent compared the non-U.S. certified 1994 Standard No. 111 Rearview Mirror: possible, comments filed after the Saab 9000 to its U.S.-certified replacement of the passenger side closing date will also be considered. counterpart, and found the two vehicles rearview mirror with a U.S.-model Notice of final action on the petition to be substantially similar with respect component. to compliance with most Federal motor Standard No. 114 Theft Protection: will be published in the Federal vehicle safety standards. installation of a warning buzzer and a Register pursuant to the authority Champagne submitted information warning buzzer microswitch in the indicated below. with its petition intended to steering lock assembly. Authority: 49 U.S.C. 30141(a)(1)(A) and demonstrate that the non-U.S. certified Standard No. 118 Power Window (b)(1); 49 CFR 593.8; delegations of authority 1994 Saab 9000, as originally Systems: rewiring of the power window at 49 CFR 1.50 and 501.8. manufactured, conforms to many system so that the window transport is Issued on: December 6, 1999. Federal motor vehicle safety standards inoperative when the ignition is Marilynne Jacobs, in the same manner as its U.S. certified switched off. counterpart, or is capable of being Standard No. 208 Occupant Crash Director, Office of Vehicle Safety Compliance. readily altered to conform to those Protection: (a) installation of a U.S.- [FR Doc. 99–31972 Filed 12–8–99; 8:45 am] standards. model seat belt in the driver’s position, BILLING CODE 4910±59±P

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DEPARTMENT OF TRANSPORTATION Mickey Body supports its application and the applicant is exempted from for inconsequential noncompliance with providing the notification of the National Highway Traffic Safety the following relevant statements: noncompliance that is required by 49 Administration 1. NHTSA has previously granted an U.S.C. 30118, and from remedying the exemption for inconsequential noncompliance, as required by 49 [Docket No. NHTSA±99±6009; Notice 2] noncompliance [to Dorsey Trailers, Inc.] U.S.C. 30120. under circumstances virtually identical W.F. Mickey Body Company, Inc., (49 U.S.C. 30118, delegations of authority at to [Mickey Body’s] present case. 49 CFR 1.50 and 501.8). Grant of Application for Decision of 2. The omission of the metric data Inconsequential Noncompliance from Mickey Body’s certification label is Issued on: December 6, 1999. Stephen R. Kratzke, W.F. Mickey Body Company, Inc. highly unlikely to have any effect whatsoever on motor vehicle safety. Acting Associate Administrator for Safety (Mickey Body), a manufacturer of 3. Mickey Body currently includes a Performance Standards. trailers (beverage bodies, van bodies, certification label that expresses the [FR Doc. 99–31973 Filed 12–8–99; 8:45 am] and vending bodies), is a corporation GVWR and GAWR in both English and BILLING CODE 4910±59±P organized under the laws of the State of metric units. North Carolina with its principal place 4. Mickey Body is not aware of any of business located in High Point, North accident that was allegedly caused by DEPARTMENT OF THE TREASURY Carolina. Mickey Body has determined the omission of metric measurements that its tire and rim label information, from a certification label. Office of the Comptroller of the on some units, is not in full compliance The purpose of labeling requirements Currency with 49 CFR 571.120, Federal Motor in S5.3, Label Information, of FMVSS Vehicle Safety Standard (FMVSS) No. No. 120 is to provide safe operation of [Docket No. 99±18] 120, ‘‘Tire Selection and Rims for vehicles by ensuring that those vehicles Vehicles Other Than Passenger Cars,’’ are equipped with tires of appropriate Operating Subsidiary Notice and has filed an appropriate report size and load rating, and rims of AGENCY: Office of the Comptroller of the pursuant to 49 CFR part 573, ‘‘Defect appropriate size and type designation. Currency, Treasury. and Noncompliance Reports.’’ Mickey Section 5164 of the Omnibus Trade and ACTION: Notice and request for public Body has also applied to be exempted Competitiveness Act (Pub. L. 100–418) from the notification and remedy comment on an operating subsidiary makes it the United States policy that application. requirements of 49 U.S.C. Chapter 301— the metric system of measurement is the ‘‘Motor Vehicle Safety’’ on the basis that preferred system of weights and SUMMARY: The Office of the Comptroller the noncompliance is inconsequential to measures for U.S. trade and commerce. of the Currency (OCC) requests public motor vehicle safety. On March 14, 1995, NHTSA published comment concerning an application Notice of receipt of the application in the Federal Register (60 FR 13693) filed by First Tennessee Bank, N.A., was published, with a 30-day comment the final rule that metric measurements Memphis, Tennessee (First Tennessee period, on August 16, 1999, in the be used in S5.3 of FMVSS No. 120. The Bank) to expand the activities of its Federal Register (64 FR 44575). NHTSA effective date for this final rule was operating subsidiary, First Tennessee received no comments on this March 14, 1996. Securities Corporation (FTSC), to application during the 30-day comment Paragraph S5.3.2 states that each underwrite and deal in, to a limited period. vehicle shall show the appropriate extent, all types of debt and equity Paragraph S5.3 of FMVSS No. 120 GVWR, GAWR, and the recommended securities (other than ownership states that each vehicle shall show the cold inflation pressure in metric and interests in open-end investment information specified on the tire English units. This information must companies). information level in both English and appear either on the certification label metric units. The standard also shows DATES: Comments should be submitted or a tire information label, lettered in by January 10, 2000. an example of the prescribed format. block capitals and numerals not less After the requirement went into effect than 2.4 millimeters high, and in the ADDRESSES: Written comments on March 14, 1996, from that date to prescribed format. regarding the application should be March 1999, Mickey Body The agency agrees with Mickey Body submitted to the Office of the manufactured approximately 2,464 that the label on these trailers is likely Comptroller of the Currency, beverage trailers, 4,222 beverage bodies, to achieve the safety purpose of the Communications Division, Docket No. 5,822 van bodies, and 472 vending required label. The vehicle user will 99–18, 250 E Street, SW, Washington, bodies that do not meet the have the correct safety information DC 20219. In addition, comments may requirements stated in the standard. The without the metric conversion in the be sent by facsimile transmission to fax certification label affixed to these prescribed location. First, all the correct number (202) 874–5274 or by internet Mickey Body’s units pursuant to Part English unit information required by mail to [email protected]. A 567 failed to comply with S5.3 of FMVSS No. 120 is provided on the copy of the application and comments FMVSS No. 120 because of the omission certification label. Second, the received will be available for inspection of metric measurements, and Mickey information contained on the label is of and copying at the OCC’s Public Body did not separately provide the the correct size. Third, the information Reference Room, 250 E Street, SW, metric measurements on another label, contained on the label is in the Washington, DC 20219. Appointments an alternative allowed by FMVSS No. prescribed format. to inspect the application and review 120. The use of metric measurements is In consideration of the foregoing, any comments received can be made by required by FMVSS No. 120, pursuant NHTSA has decided that the applicant calling (202) 874–5043. to Federal Motor Vehicle Safety has met its burden of persuasion that FOR FURTHER INFORMATION CONTACT: Beth Standards: Metric Conversion, 50 FR the noncompliance it describes is Kirby, Senior Attorney, Securities and 13639, published on March 14, 1995, inconsequential to motor vehicle safety. Corporate Practices Division, (202) 874– and effective on March 14, 1996. Accordingly, its application is granted, 5210, or Stephen Lybarger, NBE—

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Licensing Expert, Bank Organization principal, with respect to derivative of the bank to engage in the particular and Structure, (202) 874–5060. instruments; activity. SUPPLEMENTARY INFORMATION: First (7) Underwriting, dealing, trading, The OCC’s evaluation of these factors Tennessee Bank has applied to the OCC, investing and public finance activities will also take into account the safety pursuant to 12 CFR 5.34(f), to expand in bank eligible securities, including and soundness implications of the the activities of its operating subsidiary, securities of states and political activity for the operating subsidiary and FTSC, to underwrite and deal in, on a subdivisions thereof which meet the the parent national bank, the regulatory limited basis, all types of debt and definition of general obligation safeguards that apply to the operating equity securities (other than ownership securities as defined by the OCC; and subsidiary and to the activity itself, any interests in open-end investment (8) Securitizing and selling pools of conditions that may be imposed in companies). consumer-receivable loans, including conjunction with an application FTSC currently is authorized to credit card loans, auto loans, home approval, and any additional underwrite and deal in, to a limited equity lines of credit, and 1–4 family undertakings by the bank or the extent, municipal revenue bonds and to residential mortgages, and buying and operating subsidiary that address the engage in certain bank permissible selling securitized assets. foregoing factors. activities, including the following: For activities not previously approved (1) Arranging commercial mortgage Decision of the Comptroller of the by the OCC, the OCC provides public loans for First Tennessee Bank and Currency on the Application of First notice and opportunity for comment on outside customers, including long-term, Tennessee Bank, N.A., Memphis, TN To the application by publishing notice of fixed rate commercial real estate loans Establish an Operating Subsidiary the application in the Federal Register. extended by life insurance companies (April 12, 1999), OCC Conditional In publishing notice of the application, and securitizing such loans; Approval No. 309, Interpretations and the OCC does not take a position on (2) Engaging in private placements of Actions, May 1999, Vol. 12, No. 5 issues raised by the proposal. Notice is corporate debt securities, trust preferred (‘‘First Tennessee Decision’’) published solely to seek the views of securities, and leases, including Under 12 CFR 5.34(f), the OCC may interested persons on the issues structuring, documenting, and placing permit a national bank to conduct an presented and does not represent a fixed rate secured and unsecured term activity through its operating subsidiary determination by the OCC that the debt, fixed rate subordinated debt, and that is different from that permissible proposal meets, or is likely to meet, the fixed rate mezzanine debt for for the parent national bank, subject to criteria outlined above. Interested commercial customers, as well as the additional requirements specified in parties are invited to comment on any engaging in large lease transactions and 12 CFR 5.34(f), if the OCC concludes aspect of the application.1 loan syndications and participations; that the activity is part of or incidental Dated: November 17, 1999. (3) Providing advisory services in to the business of banking or is John D. Hawke, Jr., connection with mergers and permitted under other statutory Comptroller of the Currency. acquisitions activities, including authority. valuations, acquisitions, and sales such [FR Doc. 99–31960 Filed 12–8–99; 8:45 am] In considering the proposed activity, as the acquisition or marketing of BILLING CODE 4810±33±P the OCC will consider the particular branches for financial institutions; activity at issue and will weigh: 1 (4) Buying and selling all types of The OCC notes that the Bank’s proposal will be securities on an agency or ‘‘riskless (1) The form and specificity of the permissible under the standards of the recently enacted Gramm-Leach-Bliley Act (‘‘G–L–B Act’’). principal’’ basis; restriction applicable to the parent bank; (2) Why the restriction applies to the The Bank meets (and where applicable, all its (5) Engaging as principal in investing insured depository institution affiliates meet) the and trading activities in bank eligible parent bank; and standards set forth in section 121 of the G–L–B Act securities; (3) Whether it would frustrate the for a national bank to have a ‘‘financial subsidiary’’ (6) Advising, structuring, arranging purpose underlying the restriction on engaged in the types of activities that include those and executing transactions, as agent or the parent bank to permit a subsidiary proposed by the Bank. Section 121 of the Act will become effective March 11, 2000.

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Corrections Federal Register Vol. 64, No. 236

Thursday, December 9, 1999

This section of the FEDERAL REGISTER Register]’’ should read ‘‘January 5, Federal Register ],’’ should read contains editorial corrections of previously 2000’’. ‘‘December 1, 1999’’. published Presidential, Rule, Proposed Rule, and Notice documents. These corrections are [FR Doc. C9–31548 Filed 12–8–99; 8:45 am] [FR Doc. C9–31310 Filed 12–8–99; 8:45 am] prepared by the Office of the Federal BILLING CODE 1505±01±D BILLING CODE 1505±01±D Register. Agency prepared corrections are issued as signed documents and appear in the appropriate document categories DEPARTMENT OF JUSTICE SECURITIES AND EXCHANGE elsewhere in the issue. COMMISSION Immigration and Naturalization Service 17 CFR Ch. II

FEDERAL DEPOSIT INSURANCE [INS No. 2028-99] Release Nos. 33-7739, 34-41874, 35-27074, CORPORATION 39-2375, IC-24007, IA-1826, File No. S7-20- Direct Mail Program for Persons on 99 Agency Information Collection Active Duty in the Armed Forces of the Activities: Submission for OMB United States Filing Form N-400 With Regulatory Flexibility Agenda Review; Comment Request the Service Center in Lincoln, NE Correction Correction Correction In the Semi-annual Regulatory Agenda, proposed rule document 99– In notice document 99–31548 In notice document 99–31310 24751, appearing on page 65504, in the beginning on page 68100, in the issue of beginning on page 67323 in the issue of issue of Monday, November 22, 1999, Monday, December 6, 1999, make the Wednesday, December 1, 1999, make make the following correction: following correction: the following correction: On page 65504, in the first column, On page 68100, in the third column, On page 67323, in the third column, the docket number is corrected to read in the paragraph designated Comments:, in the third paragraph, in the first line, as set forth above. in the fourth line, ‘‘[insert date 30 days ‘‘[Insert date of publication in the [FR Doc. C9–24751 Filed 12–8–99; 8:45 am] after date of publication in the Federal BILLING CODE 1505±01±D

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DEPARTMENT OF TRANSPORTATION or [email protected] (e-mail); or received 30 comments in response to Jim L. Swart, Drug and Alcohol Policy this ANPRM. Office of the Secretary Advisor, Office of Drug and Alcohol Organization of Draft Policy and Compliance (ODAPC), 400 49 CFR Part 40 7th Street, SW., Room 10403, Perhaps the first thing readers will [Docket OST±99±6578] Washington DC, 20590, 202–366–3784 notice about this proposal is that Part 40 (voice), 202–366–3897 (fax), or has been thoroughly restructured, with RIN 2105±AC49 [email protected] (e-mail). subparts organized by subject matter area. Compared to the present rule, the SUPPLEMENTARY INFORMATION: Procedures for Transportation text is divided into many more sections, Workplace Drug and Alcohol Testing Background with fewer paragraphs each on average, Programs The Department of Transportation to make it easier to find regulatory AGENCY: Office of the Secretary, DOT. first published its drug testing provisions. The proposal uses a ACTION: Notice of proposed rulemaking. procedures regulation (49 CFR Part 40) question-answer format, with language specifically directing particular parties on November 21, 1988 (53 FR 47002), as SUMMARY to take particular actions (e.g., ‘‘As an : The Department of an interim final rule. The rule was based MRO, you must . . .’’). We have also Transportation proposes to revise its on the Department of Health and tried to express the (admittedly drug and alcohol testing procedures Human Services (HHS) guidelines for sometimes technical) requirements of regulation. The purposes of the revision Federal agency employee drug testing, the rule in plain language. The are to make the organization and with some adaptations for the Department seeks comment on the language of the regulation clearer, to transportation workplace drug testing clarity, format, and style of the NPRM incorporate guidance and program. The Department published a and solicits suggestions for improving it. interpretations of the rule into its text, final rule responding to comments on and to update the rule to include new the interim rule a year later (54 FR Noteworthy Substantive Changes provisions responding to changes in 49854; December 1, 1989). Proposed technology, the testing industry, and the The Department added alcohol testing Department’s program. The following section of the preamble procedures to Part 40 in a February 15, lists the NPRM’s most noteworthy DATES: Comments should be received by 1994, final rule (59 FR 7340). This rule proposed substantive changes from the April 7, 2000. Late-filed comments will also modified drug testing procedures be considered to the extent practicable. existing rule and briefly states the pertaining to split samples. Since that reasons for them. ADDRESSES: Comments should be sent to time, the Department has amended Docket Clerk, Attn: Docket No. OST–99– specific provisions of Part 40 on various Interpretations/Exemptions 6578, Department of Transportation, 400 occasions (e.g., with respect to non- To avoid confusion and the 7th Street, SW., Room PL401, evidential alcohol screening devices, possibility of overlapping or Washington DC, 20590. For the ‘‘shy bladder’’ procedures). contradictory guidance, § 40.5 spells out convenience of persons wishing to In the 10 years since Part 40 was first specifically the sources and dates of review the docket, it is requested that published, the Department has issued a authoritative guidance of the proposed comments be sent in triplicate. Persons large volume of guidance and over 100 rule. Guidance would come from the wishing their comments to be written interpretations, as well as a Office of the Secretary (OST), either acknowledged should enclose a significant amount of informal advice. ODAPC or General Counsel’s office. It stamped, self-addressed postcard with Most of this material has not been could later be incorporated in written their comments. The docket clerk will incorporated into the regulatory text. guidance issued by the DOT agencies, date stamp the postcard and return it to There have been changes in testing though it would be identified as the sender. Comments may be reviewed technology, the structure of the drug ODAPC/General Counsel’s office at the above address from 9:00 a.m. and alcohol testing business, and the guidance. Since this proposal is through 5:30 p.m. Monday through functioning of the Department’s drug intended to lead to a revised regulation, Friday. Commenters may also submit and alcohol testing programs, making it the language states that only post- their comments electronically. desirable to update some regulatory issuance guidance or interpretations are Instructions for electronic submission provisions. Because the rule was valid, since earlier material pertains to may be found at the following web originally based on that of another the old version of the rule. ODAPC address: http://dms.dot.gov/submit/.. agency, there are some provisions that intends to follow a practice of putting The public may also review docketed never were a close fit for the new Part 40 interpretations and comments electronically. The following Department’s programs. Moreover, the guidance on the DOT Web site for users’ web address provides instructions and rule’s organization and language do not convenience. access to the DOT electronic docket: meet the objectives of the Clinton This is an OST rule. Therefore, http://dms.dot.gov/search/. Administration’s current ‘‘Plain anyone wanting an exemption from it FOR FURTHER INFORMATION CONTACT: Language’’ policies. Under section 610 would use the procedures and standards Mary Bernstein, Director, Office of Drug of the Regulatory Flexibility Act, of 49 CFR Part 5, OST’s rulemaking and Alcohol Policy and Compliance agencies are directed to review existing procedures. These procedures, rather (ODAPC), 400 7th Street, SW., Room rules from time to time with an eye to than those of any of the DOT agencies, 10403, Washington DC, 20590, 202– their effects on small businesses and would apply to such a request. The 366–3784 (voice), 202–366–3897 (fax), other small entities. proposed section spells out the long- or [email protected] (e-mail); For all these reasons, the Department standing procedures of Part 5 for Robert C. Ashby, Deputy Assistant decided to review Part 40. As a first granting an exemption. These standards General Counsel for Regulation and step, we issued an advance notice of are intended to preclude ‘‘rulemaking Enforcement, 400 7th Street, SW., Room proposed rulemaking (ANPRM) on April by exemption,’’ which is contrary to 10424, Washington DC, 20590, 202– 29, 1996 (61 FR 18713), asking for good rulemaking practice and the 366–9306 (voice), 202–366–9313 (fax), suggestions for change in the rule. We Administrative Procedure Act.

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Service Agent Assurance collections, demonstrate proficiency by Number 219)]. We will not publish, in Proposed § 40.11 includes new completing three consecutive error-free this NPRM, copies of the HHS-proposed provisions that call for both regulated trial collections, and receive retraining Federal Drug Testing Custody and employers and their service agents to as needed. The Department seeks Control Form (CCF) or the CCF sign a contract provision committing comment on whether self-instruction is currently in use. (Nor will we publish them to compliance with Part 40 adequate for this purpose or whether the Breath Alcohol Testing Form provisions. ‘‘Service agent’’ is a new more formal training should be required (BATF) currently in use.) (e.g., a specified course with a term, intended to encompass Electronic Records and Signatures participants in the testing process other certification requirement, as is the case From time to time, interested parties than employers themselves (e.g., for STTs and BATs). have raised, and the Department has medical review officers (MROs), In this and several other contexts, we sought comment about, the potential use substance abuse professionals (SAPs), propose to require individuals who are of electronic records and signatures in collectors, laboratories, third-party training or evaluating participants in the the DOT drug and alcohol testing administrators). The Department is testing process to be ‘‘sufficiently program. The regulatory text of this using ‘‘service agent’’ as a working term knowledgeable’’ about testing NPRM does not make any new for this collection of participants who requirements and procedures. We proposals in this area. However, the provide testing-regulated services to recognize that this term does not Department is willing to consider ideas employers. The Department invites precisely define the experience and that would, to a greater degree than is suggestions for other terms for this information the individual must currently the case, permit the use of group of service providers. possess. Our aim in using this language is to ensure that people involved in the electronic records and signatures in the NRC Procedures training process know what they need to program. In response to a comment from the know to judge fairly whether a collector, We are also aware that other Federal Nuclear Regulatory Commission (NRC), BAT, etc. has grasped the essentials of agencies have taken steps to encourage the proposed rule would permit an the function. It is not our intent, greater use of electronic records and entity which has employees covered by however, to require formal instruction signatures. For example, the Food and both DOT and NRC testing requirements or a standard curriculum for trainers. Drug Administration (FDA) issued rules to use either agency’s procedural Doing so could increase costs and make to this effect (62 FR 13430; March 20, requirements. the program unnecessarily rigid. We 1997). The FDA rules authorize seek comment on whether a different electronic signatures in many Prohibition of Additional Testing term or other requirements would be documents submitted to the agency, This section places a number of long- appropriate in this area. with a number of safeguards designed to ensure the reliability and standing DOT interpretations into the Drug Testing Forms and Materials regulatory text. It proposes to say that trustworthiness of the signatures. there must be a firewall between DOT The NPRM proposes (§§ 40.47 and The Department again seeks comment and non-DOT tests, which extends to 40.49) that no one can use a DOT drug on the potential applications, the use of Federal forms for non-DOT testing form for a non-DOT test or vice- advantages, risks, and safeguards for the tests. Tests not expressly authorized by versa. However, because obtaining a test use of electronic signatures and the DOT rules on ‘‘DOT specimens’’ are result is the more important factor, use greater use of electronic records in the forbidden (e.g., tests for additional of a non-DOT form for a DOT test is, in DOT drug and alcohol testing program. drugs, DNA tests). Nor can anyone take cases where a look-alike form is used, a For example, are there electronic into account an unauthorized test (e.g., correctable error in the testing process. ‘‘stamping’’ mechanisms we should in a situation in which an employee Collectors also must use a testing kit permit for use with the CCF? conforming to DOT requirements (see with a positive test obtains a test result Collection Process from his own doctor that he attempts to Appendix A for additional information use in a grievance proceeding). on the kit). This proposal is based on Section 40.61 incorporates a number The rule text omits current language our experience and a thorough review of of provisions that are new or based on permitting testing of additional drugs testing kits by DOT staff. The existing interpretations (e.g., collections with DOT and HHS regulatory consent. Department also seeks comment on are to begin without delay, it is HHS has never authorized any what, if any, additional security improper to attempt to collect urine additional drugs. If additional drugs are measures would be appropriate for from unconscious employees, collectors authorized, the Department can amend testing materials and supplies. The can inspect boots for adulterants). the rule at that time. proposal (§ 40.45(e)) also would Sections 40.63–65 provide a step-by- continue existing policy that foreign step process for collectors for the initial Collector Training employers can use foreign-language stages of the collection process. While current Part 40 has specific versions of the forms (e.g., Spanish in Collection steps concerning completion training requirements for screening test Mexico, French in Canada). Should U.S. of the CCF are written in this NPRM technicians (STTs) and breath alcohol employers also be permitted to use these based upon the collector’s use of the technicians (BATs) in the alcohol or other foreign-language versions of the current Federal form. When HHS testing program, it does not have forms? If this is allowed, additional approves use of a new form, the analogous requirements for drug testing questions may arise (e.g., should a Department will modify Part 40 collectors. The Department is also aware foreign-language form be used only collection steps (as well as laboratory that mistakes in the collection process when both collector and employee and MRO responsibilities for are generally regarded as being a understand the language?). completion of the CCF) accordingly. common cause of problems in the drug HHS is presently revising that form The proposed rule would stipulate testing process. Consequently, the and has published it for public that in the event an employee, after Department proposes in § 40.33 that comment in a Notice of Proposed presenting an insufficient amount of collectors read and understand DOT Revision in the Federal Register urine, refuses to drink fluids as directed rules and guidance concerning [November 15, 1999 (Volume 64, by the collector, the collector is to stop

VerDate 29-OCT-99 11:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00003 Fmt 4701 Sfmt 4702 E:\FR\FM\A09DE2.002 pfrm02 PsN: 09DEP2 69078 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules the collection proceedings. A failure to ability of the testing process to catch a financial or other benefit from having drink as directed would constitute a attempts to cheat. We note that, under an employer use a particular MRO; and refusal to test (§§ 40.191(a)(5) and HHS guidance for the Federal agency the laboratory permits an MRO, or an 40.193(b)(2)). The Department seeks personnel testing program, these tests MRO’s organization, to have a comment on this proposal. Should the are discretionary. We seek comment on significant financial interest in the collection be curtailed at this point and the advantages, disadvantages, costs, laboratory. It should be noted that the refusal to test be the final result? Or, and benefits of mandatory adulterant problems of this kind arise when a should the employee have up to three testing. In addition, the NPRM contains laboratory has a relationship with an hours to present a complete specimen, largely new procedures for dealing with MRO who reviews the laboratory’s DOT with the ‘‘shy bladder’’ procedures unsuitable specimens and situations in test results. taking place if the employee which a split specimen does not The Department seeks comment on subsequently fails to provide the reconfirm the result of the primary whether the text of the final rule should, required amount of urine? specimen (§§ 40.151 and 40.177). in order to provide clear notice to The rule text, like that of the present affected parties, provide a specific list of Directly Observed and Monitored rule, is silent on the issue of who selects prohibited practices. If so, should the Collections a laboratory for testing. From the items above be part of such a list? In §§ 40.67 and 40.69, the NPRM Department’s point of view, any HHS- Should items be added or deleted? We consolidates in one place the certified laboratory will do. The are also interested in your comments on requirements concerning directly selection of the laboratory can be made what limitations, if any, should be observed and monitored collections, by the employer, or it could be made as placed on laboratories and MROs respectively. The language states that an a matter of collective bargaining where serving as third-party administrators or immediate collection under direct applicable. In any case, the laboratory collection sites, and what conflict of observation would be called for in some must be suitable to the employer. interest issues these relationships may situations involving unsuitable To reduce paperwork and save time in raise. specimens or when a previous test has the process, laboratories would no The NPRM would require each been canceled because of the longer have to routinely send original laboratory to sign a certification that unavailability of a split specimen. The copies of certain copies of the drug there exists no conflict of interest or the Department seeks comment on whether testing form to the MRO. The MRO appearance of conflict of interest we should also require an immediate would request original copies if, for between the laboratory and any MRO to recollection under direct observation if example, faxed copies were unclear. whom they transmit DOT test results. In an employee’s specimen is dilute. We The proposed rules (§§ 40.83 and the absence of regulatory specification also seek comment on whether 40.155) would also clarify under what of the nature of such conflicts, is this employers should be permitted the circumstances a laboratory may reject a proposed requirement meaningful or ability to reject a negative test result specimen for testing and one enforceable? For enforcement purposes, when a specimen is reported negative circumstance that they must reject a would it be useful for a laboratory to but dilute by the MRO. Currently, the specimen for testing. The Department maintain a list of the MROs to whom rules permit an employer to have the seeks comment on the length of time this certification applies? laboratories should maintain rejected employee’s next test to be collected Laboratory Reports under direct observation, but this specimens. In addition, the rules opportunity may not occur for months. delineate the laboratory reporting 49 CFR Part 40, published December The proposal notes that a refusal to requirements as well as the role of the 1, 1989, contained the same permit a directly observed or monitored MRO in ruling out collector error as requirements for the laboratory collection has the same effect as any being the causative factor. MRO summary report (monthly at that time) other refusal to test. The NPRM clearly reporting requirements are highlighted. as the requirements contained in the distinguishes between the activities of DOT seeks comments on the viability of HHS Mandatory Guidelines for Federal an observer (e.g., who actually watches having the employee return for a second Workplace Drug Testing Programs (i.e., the urination) and a monitor (who collection if collector error results in a the number of specimens received, stands by and listens but does not laboratory’s rejecting a specimen for screened positive, and the number that watch). testing. subsequently confirmed positive, by In its implementation of the existing type of drug). Laboratories rule, the Department has identified a An amendment to Part 40, published Some laboratory-related material (e.g., number of situations that potentially August 19, 1994, changed the original present § 40.27, concerning personnel) present conflicts of interest or their requirement for monthly reports to would be deleted, as unnecessarily appearance. In a number of cases, the quarterly, clarified authority for duplicative of the HHS guidelines. The Department has provided guidance to laboratories to provide these reports to NPRM would make laboratories subject employers and service agents that these consortia, and changed the type of to public interest exclusions if they practices are inappropriate. Examples of information that should be included by failed to comply with DOT rules, even such practices are: the laboratory deleting the requirement for screening if their HHS certification remained employs the MRO; the laboratory has a results. One of the Department’s intact (§ 40.81(c), (d)). The Department contract or retainer with the MRO; the concerns underlying this change was to asks for comment on whether, in the laboratory designates which MRO the avoid the potential for identifying case of an amphetamine positive, the employer is to use, gives the employer individuals who may have been laboratory should perform a d-and l- a slate of MROs from which to choose, positive, but whose results were separation in all cases. or refers the employer to or recommends subsequently ‘‘downgraded’’ based on For the first time, laboratories would certain MROs; the laboratory gives the medical use. This issue is important in be required to test for nitrites, pH, employer a discount or other incentive that if laboratories report confirmed creatinine and, in certain circumstances, to use a particular MRO; the laboratory laboratory positive results by type of test specific gravity (§ 40.91). This so-called has its place of business co-located with (e.g., pre-employment, reasonable ‘‘adulteration panel’’ would increase the that of the MRO; the laboratory derives suspicion), the potential exists to

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DOT HHS

Initial Testing: Initial Testing: 1. Number of samples received for testing. 1. Number of samples received. 2. Number of samples reported out. 3. Number screened positive for: A. marijuana metabolites. B. cocaine metabolite. C. opiate metabolites. D. phencyclidine. E. amphetamines. Confirmatory Testing: Confirmatory Testing: 1. Number received for confirmation. 2. Number confirmed positive for: 2. Number confirmed positive for: A. marijuana metabolites ...... A. marijuana metabolites. B. cocaine metabolite ...... B. cocaine metabolite. C. opiate metabolites ...... C. opiate metabolites. D. phencyclidine...... D. phencyclidine. E. amphetamines ...... E. amphetamines. F. methamphetamines. 3. Number for which test was not performed.

DOT and HHS agree that the appropriate? Should any of the periods The Department seeks comment on laboratory summary reports required by be lengthened or shortened? whether the blind specimen each agency should be the same. This requirement should be eliminated would minimize additional paperwork Blind Specimens entirely or modified in a different way that laboratories would be subjected to Current rules require employers to from the NPRM proposal. The proposed in providing two different reports. send ‘‘blind’’ urine specimens to language provides examples of how the Additionally, deleting the HHS laboratories for drug testing. These blind specimen requirements would requirement to report screened results samples are unannounced and are made work. Section 40.105 would specify would lower the laboratory workload to look like normal samples. Whether what happens if there is a laboratory and shorten the report. they are negative or positive (and for error on any specimen, to include a Currently, there is no requirement for which drugs) is known in advance only blind specimen. In addition, we ask whether testing blind specimens for laboratories to report to employers the by the senders. These specimens are adulterants is warranted. number of tests received by the used to test the accuracy of the laboratory by type of test (pre- laboratory testing system. Together with MRO Training and Responsibilities employment, random, etc.). However, it other quality control procedures, blind MROs would have to take a training appears that many employers want this specimens are an important means of course every two years or certify that information, thinking that it could be keeping the testing program legitimate they have reviewed and understand Part used as a check on their own statistical in the eyes of the courts, congress, and 40 and applicable DOT agency data. Large employers and service employee groups. regulations and guidance. The NPRM agents generally maintain appropriate Currently, all employers must send also sets out a list of MRO statistical data for their programs and these samples to the respective responsibilities, including acting as an the Department is interested in hearing laboratories they use. The NPRM, in the independent ‘‘gatekeeper’’ for the from the industry if this type of interest of reducing burdens on accuracy and integrity of the testing additional information from the regulated parties, would reduce blind process and correcting and reporting laboratories is truly helpful. specimen requirements from current problems when they are found The Department would also like to levels (§ 40.103). Parties with fewer than (§ 40.123). It is particularly important know if information identifying the 2000 DOT covered employees would no that MROs not be involved in number of specimens that must be longer have to provide blind specimens relationships with laboratories that canceled and/or are adulterated would (§ 40.103(a)). For other parties, blind could create a conflict of interest or the be useful to employers, service agents, specimens would only have to be appearance of such a conflict. There are or in the overall enforcement process. provided at a one percent rate, up to a proposed conflict of interest Please note that the requirements would cap of fifty blind specimens per requirements for MROs parallel to those be for submission of the report on a calendar quarter. This change is for laboratories (§ 40.125). monthly basis under HHS regulations intended to be helpful to small The Department wishes to emphasize and semi-annually under the proposed businesses. In addition, since its view that the MRO is a very DOT rules, with more frequent reporting consortiums that send in large numbers important player in the testing process, as required by the Federal agency with of specimens collected from a variety of who more than any other person is regulatory authority over the employer. employers will continue to have to responsible for maintaining the integrity The Department also seeks comment submit blind specimens, we do not of that process. It is the MRO’s on record retention requirements for expect that this change will adversely responsibility to advocate for and laboratories (see § 40.109). Are the affect the accuracy of the laboratory defend the accuracy of the process. This proposed record retention periods testing process. part of the MRO’s role makes a conflict

VerDate 29-OCT-99 19:05 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00005 Fmt 4701 Sfmt 4702 E:\FR\FM\09DEP2.XXX pfrm08 PsN: 09DEP2 69080 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules of interest especially sensitive. These the MRO nor the DER had been able to burden of proof in cases of very high issues are not necessarily limited to contact the employee within 14 days of opiate levels. That is, if the quantity of MRO/laboratory relationships. Given the MRO’s receipt of the confirmed opiates in a specimen is very high (i.e., the MRO’s role as an evaluator of the positive test result. The Department at or above 15,000 ng/mL), making an testing process, does the MRO’s seeks comment on whether this time innocent-ingestion explanation (e.g., ownership or administration of a period is appropriate, or a longer or poppy seed bagels) very unlikely, then collection site create the appearance or shorter period should be used. the employee would have the burden of reality of a conflict of interest? The MRO provisions of the NPRM proving that there was a legitimate The rule, at various points, sets time contain proposed language consistent medical explanation (e.g., a prescription frames for certain actions by MROs (e.g., with the Department’s discussion of the medication) for the laboratory positive. 14 days for verifying a ‘‘non-contact ‘‘stand-down’’ issue (see ‘‘Employer In such a situation, the verification positive’’ in § 40.133(a)(2)). Should such Actions’’ below). The MRO provisions process for high levels of opiates would time frames be expressed in ‘‘business in the proposed regulatory text would work like the verification process for days’’ (i.e., excluding weekends and prohibit MROs from telling or, in the other drugs. The proposed rule text holidays) rather than calendar days? alternative, permit MROs to tell, the incorporates this approach. In reaching It is common for MROs to conduct employer for whom the MRO is working this decision, the Department reviewed their functions across state lines. An that the MRO has received a laboratory a number of scientific studies of food MRO located in one state may perform confirmed positive test result, pending products containing poppy seeds. While functions concerning drug tests and the completion of the MRO verification most studies found concentrations of employees located in many other states. process (§ 40.129(d)). The rule text will 5,000 ng/mL or below, in only one study Recently, we have learned of some contain both options. (C. M. Selavka. ‘‘Poppy seed ingestion concerns that some state medical MRO Verification Process as a contributing factor to opiate- licensing agencies may believe that out- positive urinalysis results: the Pacific of-state MROs who are not licensed to Section 40.135 lists explicitly what perspective.’’ Journal of Forensic practice in the state may not be MROs would have to tell employees at Sciences, 1991;36(3):685–696.), did a authorized to perform MRO functions the beginning of the verification product show concentration above 5000, with respect to employees located in the interview, including warnings about the this one at 11,571 ng/mL. Is our level of state. The Department is interested in effect of the refusal to provide 15,000 ng/mL (which is approximately learning whether this is a significant information for a medical evaluation thirty percent above any known issue, and if so whether the issue poses (see § 40.135(c)) and that the MRO may concentration attributable to poppy seed a serious obstacle to the performance of provide medical information to ingestion) too high or too low? MRO functions in a national safety employers or others under some MROs are cautioned against program. If there is such a problem, circumstances. considering evidence from unauthorized should the Department take regulatory Sections 40.137 and 40.139 sources (e.g., non-DOT urine tests, blood action to address it? If so, what action distinguish between the burdens of tests, hair tests, DNA tests) and evidence would be appropriate? proof applicable to opiates and to all outside the test documentation (e.g., an other drug types. The MRO bears the MRO Reviews of Test Results employee’s assertion that the documents burden of showing unauthorized use of do not accurately reflect what happened The Department believes that it is opiates, while the employee bears the at the collection site). MROs are also important to draw a clear distinction burden of showing that there was a cautioned against considering ‘‘innocent between the roles of the MRO, on one legitimate medical explanation for the ingestion’’ defenses (e.g., ‘‘Someone hand, and the MRO’s staff, on the other. presence of other drugs. The MRO slipped the drug into my drink at the MROs are responsible for supervising would have to offer the employee the party;’’ ‘‘I ate a hemp product;’’ ‘‘I was their staffs (see for instance § 40.127(a)). chance to provide a legitimate medical hanging out with people who were When MRO staff review test result explanation. The Department seeks smoking funny-looking cigarettes’’) that, documents, MROs would personally comment on whether an exception to even if true, do not constitute a have to oversee their work, including this rule should be made in the case of legitimate medical explanation for the direct re-review of a portion of the PCP, for which there are no known presence of a drug in an employee’s documents they have reviewed. Staff legitimate medical applications. specimen (§ 40.143). This is also true of members can handle administrative In making a verification of the statements by an employee that he or contacts with employees and remind unauthorized use of opiates, the MRO she has used marijuana for medical them to have medical information ready may consider such factors as needle purposes in a state that has a so-called for their MRO interviews, but actually tracks, behavioral or psychological signs ‘‘medical marijuana’’ law. Use of gathering medical information and of acute addiction, clinical history of marijuana on the basis of a doctor’s drawing conclusions from the unauthorized use (including admissions prescription or recommendation does information would be the personal by employees), or use of foreign not constitute a legitimate medical responsibility of the MRO (see for medication without substantiation that explanation that is sufficient to permit instance § 40.131(b)). the medication was obtained and used an MRO to verify a test as negative. Use The ways a MRO makes use of a legally. It should be emphasized that the of a hemp product is not a legitimate designated employer representative MRO is intended to exercise good medical explanation, either. (DER) to contact a difficult-to-find professional judgment on a case-by-case In the context of pre-employment employee are also spelled out in greater basis; the rule does not mandate a testing, the NPRM states that a person detail than in the present rule. In finding of positive or negative on the with a permanent or long-term disability response to a number of requests, the basis of any particular piece of evidence preventing him or her from providing a proposal would define a reasonable time (aside from a laboratory finding of the sufficient specimen may be regarded as for a DER to contact an employee as two presence of 6–AM). testing negative. In such a case, the attempts over a 24-hour period. The rule In the case of opiate verifications, the individual must undergo a medical (§ 40.133(a)(2)) would also authorize Department seeks comment on whether examination to determine if the MROs to verify a test positive if neither it would be appropriate to shift the individual is free of signs or symptoms

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In many cases, the laboratory separate tests of the primary specimen individual undergo a medical must use different procedures, at least before a finding of substitution or examination to determine if he or she is one of which is quantitative, for each of adulteration is made. The Department is free of signs or symptoms of drug abuse the aliquots. Only then does the confident that this option is legally in lieu of a futile attempt to complete a laboratory determine that the specimen defensible. It also is less costly and less random drug test in the usual way? This is substituted or adulterated. The prone to the possibility of would avoid the necessity of going requirement to test two different administrative error than a system through the ‘‘shy bladder’’ procedure aliquots is designed to ensure that the involving testing of the split specimen. repeatedly, while providing a surrogate laboratory makes such a determination Split specimen testing, even in the for the drug test that could accomplish only on the basis of a reproducible context of positive drug test results, is the safety goal of testing. result. This is an important safeguard not constitutionally mandated. The One of the most common for the accuracy of the process. Department’s drug testing rules, prior to misunderstandings of the current rule is DOT policy provides that an the 1994 amendments implementing the that an employee who makes a timely individual who has been found to have Omnibus Act, left split specimen testing request for the test of a split specimen adulterated or substituted a specimen is to the discretion of employers. The (where such testing is mandated by viewed as having refused to test. Such Department’s drug testing requirements statute) may be denied such a test if he a refusal is a violation of DOT agency and procedures were upheld as or she does not pay for it up front from regulations, with consequences similar constitutional by the courts before those his or her own funds. To avoid this to those of a positive test. That is, an amendments were made. It is not problem in the future, § 40.145 specifies employee who refuses to test is reasonable to assert that the Department that an MRO must explicitly inform the prohibited from performing safety- is constitutionally required to expand employee that, if he or she has a verified sensitive functions unless and until he the application of a procedure which is positive test and asks for a test of the or she completes the return-to-duty not constitutionally required to be used split specimen in a timely manner, the process. Under some DOT agency in the first place. test will be performed, regardless of regulations (e.g., the FRA), the Nor is split specimen testing required whether the employee complies with a consequences of a refusal to test can be by the statutes and regulations request from a laboratory, employer, or more stringent than those of a positive governing the Department drug testing other party to pay for it in advance. test. There are also some employer programs. The split specimen provision While the rule is intentionally silent on policies that treat refusals more strictly of the FMCSA, FTA, FRA, and FAA who ultimately pays for a test, the than positive tests. rules results from a requirement of the The increased prominence of testing employer is responsible for ensuring the Omnibus Transportation Employee for adulteration and substitution of test occurs. (See also §§ 40.171 and Testing Act of 1991 (49 U.S.C. specimens, combined with the 40.173.) § 5331(d)(5)). This section provides that: The text also proposes that MROs can seriousness of consequences for refusing conduct the verification process and to test, has resulted in increased interest . . . each specimen be subdivided, secured, report results if the MRO has received in safeguards for employees. In and labeled in the presence of the tested legible copies of the MRO and particular, some unions and other individual and that a part of the specimen be parties have suggested that the retained in a secure manner to prevent the laboratory copies of the CCF. The text possibility of tampering, so that if the also delineates an MRO’s responsibility Department should apply split individual’s confirmation test results are in pre-employment testing situations specimen testing procedures to positive the individual has an opportunity to when the employee has a disability specimens that have been found to be have the retained part tested by a 2d preventing the submission of a urine adulterated or substituted. confirmation test done independently at specimen. This suggestion grows out of a another certified laboratory if the individual requirement in the Federal Motor requests the 2d confirmation test not later Adulterated, Substituted, and Dilute Carrier Safety Administration (FMCSA) than 3 days after being advised of the results Tests [prior to January 1, 2000, the Federal of the first confirmation test. [emphasis This NPRM proposes to mandate Highway Administration], the Federal added] testing for adulterated and substituted Transit Administration (FTA), the This provision is implemented in the specimens (‘‘validity testing’’), which Federal Railroad Administration (FRA), Department’s current drug testing will likely increase the number of and the Federal Aviation procedural regulations: Administration (FAA) testing rules that situations in which laboratories . . . the MRO shall notify each employee determine that a specimen has been employees who test positive for drugs who has a confirmed positive test that the adulterated or substituted. This are entitled to ask for a test of a second, employee has 72 hours in which to request proposal is based on the concern that or ‘‘split,’’ specimen at a second a test of the split specimen, if the test is adulteration and substitution are real laboratory to confirm the presence of the verified as positive. . . . If the [second and possibly increasing threats to the drug. This requirement is mandated by laboratory’s] analysis fails to reconfirm the integrity of the Department’s drug provisions of the Omnibus presence of the drug(s) or drug metabolite(s) testing program, with the potential for Transportation Employee Testing Act of found in the primary specimen, . . . the increased safety risks if drug users 1991. In the Research and Special MRO shall cancel the test. . . . [49 CFR § 40.33(f); emphasis added] succeed in frustrating the testing Programs Administration (RSPA) and process. United States Coast Guard (USCG) In the first instance, both the statutory The proposed rule (§ 40.93) sets forth programs, which are not covered by the and regulatory language create a right to standards and a process for determining Omnibus Act, split specimens are a test of the split specimen only in when a specimen is adulterated, optional with employers. situations where there is a confirmed

VerDate 29-OCT-99 18:25 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00007 Fmt 4701 Sfmt 4702 E:\FR\FM\09DEP2.XXX pfrm01 PsN: 09DEP2 69082 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules positive test. A confirmed positive test Second, the Department’s experience reassurance to the vast majority of occurs only when the laboratory is that the overwhelming majority of test employees who fully and honestly confirmation test detects sufficient cancellations related to split specimens cooperate in drug testing programs. It quantities of the specified drug(s) or result from collection or logistical could also discourage frivolous drug metabolite(s). In a case where the problems (e.g., collector fails to collect challenges to drug test results by laboratory has found an adulterant in the split specimen, a split specimen is employees who know they have the specimen or has determined it to be lost or leaks in transit). The Department submitted adulterated samples. substituted, the laboratory does not has been reluctant to expand the In addition, more research needs to be report a confirmed positive test to the application of split specimen testing to done in the area of adulterants MRO. The condition precedent to the areas where it is not required by statute, degrading over time. There are technical right to a second confirmation test has which could have the result of canceling questions that need to be resolved about not occurred, since there has never been otherwise valid tests and allowing drug the protocols and standards to be a confirmed positive test for a drug users to continue to perform safety- applied in split specimen reported to the MRO in the first place. sensitive functions. reconfirmation in adulteration and The current regulation, in spelling out Third, the Department has viewed an substitution situations. The Department the procedure for requesting a test of a adulterated or substituted specimen as is working with HHS to ensure that this split specimen, provides that a request more closely analogous to a refusal to information is available in time for the must be made within 72 hours of a test than to a positive test. Employee A final rule. Meanwhile, we invite verified positive test. (The MRO verifies flatly tells the collector that he will not comment on the technical and scientific a confirmed laboratory test as positive if provide a specimen, or simply does not issues concerning adulteration and the MRO cannot determine that there is show up for the test. Employee B shows substitution testing and reconfirmation. a legitimate medical explanation for a up, provides a specimen, signs the The Department seeks comment on laboratory confirmed positive test statement on the custody and control whether, if a provision for split result.) In the absence of a confirmed form certifying that he or she has not specimen testing for adulterated and positive test, there can never be a tampered with the specimen, but substituted specimens is included in the verified positive test, which is the nevertheless puts a substance into the final rule, it should be required or trigger for the employee’s opportunity to specimen that prevents the laboratory optional. That is, should we require request a test of the split specimen. from testing it. The actions of Employee employers to make split specimen The current regulation further A and Employee B are equivalent. testing available in these circumstances, provides that if the test of the split Having a second opportunity to defeat or should employers (or employers and specimen fails ‘‘to reconfirm the the testing process is no more unions, where collective bargaining presence of the drug(s) or drug appropriate for Employee B than for agreements apply to drug testing issues) metabolite(s) found in the primary Employee A. specimen,’’ the test must be canceled. In The second and third options would have the choice of whether to make split a case involving a finding of both add a further element to the specimen testing available? adulteration or substitution, there has language in the proposed regulatory In addition, we seek comment on never been a reported finding that text. The Department seeks comment on whether Part 40 should also be amended drug(s) or drug metabolite(s) are present all three options, as well as any other to require employer submissions of in the employee’s specimen. One cannot suggestions commenters may have on adulterated and substituted specimens ‘‘reconfirm’’ a finding that has never this subject. as part of the external quality control been made. The regulation requires The second option would be to treat (‘‘blind specimen’’) program. If so, how cancellation of a test only if the an adulterated or substituted test result should selection of adulterants be presence of drug(s) or drug metabolite(s) the same as a verified positive and allow made? How many adulterated is not reconfirmed in the split specimen. the employee to request a split specimens should be included within In addition to the use of split specimen test by a second laboratory. the minimum number of blind specimen testing in adulteration or For example, suppose a laboratory specimens submitted? To what extent substitution cases not being legally makes an adulteration or substitution have such specimens been included in required, the first option is supported by finding. Within 72 hours of being existing blind testing programs? What three policy considerations. First, the informed of the finding, the employee practical issues could arise with regard Department is very concerned that would have the opportunity to request to administration of such a program? present adulterants and other interfering a test of the split specimen by the A third option occupies a middle substances may degrade over time. That second laboratory to see if the ground between the first two options. is, when an adulterant is present in the adulteration or substitution finding When a laboratory finds that a primary primary specimen but degrades could be reconfirmed. If it were not specimen has been adulterated or chemically to the point where it cannot reconfirmed, the test would be canceled, substituted, it would immediately test a be detected or changes to another just as in the case where a split third aliquot of the same specimen to chemical state in the split specimen specimen fails to reconfirm the presence see if the same result was obtained (two (e.g., HHS has recently identified one of a drug or metabolite found in a aliquots would already have been tested adulterant that appears to degrade in a positive primary specimen. This option before the original finding of matter of hours), our making split would ensure that employees who face adulteration or substitution had been specimen testing available for similar or more severe employment made). If the retest did not confirm the adulterants could help drug users ‘‘beat consequences compared to employees original finding, the test would be the test.’’ In addition, manufacturers of with positive tests for drugs have an canceled. The Department seeks commercial products intended to defeat equal ability to challenge a laboratory’s comment on what the standards should drug testing—who engage in a well- primary specimen determination. The be for this additional test. For example, publicized ‘‘arms race’’ to find new argument in favor of this approach is should we set a standard that to be means of defeating drug tests—may well basically one of fairness. regarded as confirming the presence of be able to develop, in the future, This additional safeguard for the an adulterant, the additional test result adulterants that degrade even faster. fairness of the process could provide should be within +/¥20 percent of the

VerDate 29-OCT-99 11:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00008 Fmt 4701 Sfmt 4702 E:\FR\FM\A09DE2.009 pfrm02 PsN: 09DEP2 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 69083 original result (while still satisfying the as drug users in cases when positive comment on what, if any, such initial reporting criteria)? laboratory results are downgraded as a additional changes to the rule would be This approach would add a safeguard result of the MRO verification process. needed. for employees, by adding another level The Department’s rules have always Finally, the proposed regulation of assurance that the laboratory was striven to provide a balance between would make other employer relying on a reproducible result. safety objectives and the protection of responsibilities clear. When an Reproducibility is a key component of legitimate employee privacy interests. In employer receives a report from the the validity of any scientific process, addition, the Department is not aware of MRO that there is a substituted or and this approach would ensure that no any evidence that, in the millions of adulterated specimen, the employer one would suffer adverse consequences tests conducted in compliance with the must remove the affected employee on the basis of a result that could not Department’s rules since the program immediately from safety-sensitive be reproduced. began in 1988, the existing prohibition functions. When the MRO informs the Since the retest would occur on stand-downs has ever had adverse employer of an unsuitable specimen, the immediately, degradation of most safety consequences. employer must direct the employee adulterants would not be a major However, the Department’s internal involved to immediately submit a new problem. In addition, because it would drug testing program for DOT specimen under direct observation. take place in the same laboratory and employees, which applies to air traffic Likewise, when the employer receives a would not involve the split specimen, controllers and other safety-sensitive report from the BAT that there is a collection or transmission errors employees, has used a stand-down result 0.02 or above, the employer must affecting the split specimen would not procedure for many years. remove the affected employee result in the cancellation of an Consequently, the Department’s overall immediately from safety-sensitive otherwise valid adulteration or approach to this issue has been functions. substitution result. inconsistent. Finally, the proposed rule text Given this situation, the Department Split Specimens includes material adapted from the DOT has decided to seek comment on both Section 40.173 again underlines that, and HHS guidance concerning other approaches. The proposed regulatory where split specimen testing is required types of ‘‘problem tests’’ (§§ 40.147 text includes language, in the by DOT regulations, employers must through 40.153). As current DOT alternative, relating to both. Alternative make sure that a test of the split occurs guidance states, a retest under direct 1 is the present approach, which every time that an employee makes a observation is required in situations of prohibits stand-down. Alternative 2 timely request. Payment or agreement some ‘‘unsuitable’’ specimens. The would permit stand-down, with by the employee to pay the cost of the Department seeks comment on whether requirements for maintaining test is not a prerequisite for conducting a retest under direct observation should confidentiality of information a test of the split specimen, though the also be required in cases of dilute concerning the confirmed positive test employer may seek to recover the cost specimens. The Department also seeks result of the employee. We seek of the test. Laboratories conducting tests comment on a frequently-asked question comment on which alternative is of split specimens must refer a about dilute specimens: should an preferable for the final rule. If the final specimen to a third laboratory for employer have the discretion to rule permits employers to implement additional testing when necessary disregard a dilute result? For example, stand-down policies, the Department (§ 40.177(d)). The Department also seeks if an employer in a pre-employment test seeks comment on several associated comment on whether (as proposed at situation receives a test result that is issues. § 40.183(d)(4)) there should be a retest negative and dilute, should the For example, should the rule specify under direct observation when a split employer be able to require that the that an employee who is stood down specimen is unavailable for testing. applicant take another test and get a may continue to perform non-safety Split specimen tests are statutorily negative result from an undiluted sensitive duties? What should be the mandated only in FMCSA, FTA, FRA, specimen before beginning to work in a pay status of an individual being stood- and FAA. They are currently optional safety-sensitive position? down? What additional privacy with employers in RSPA and USCG. provisions, if any, are needed to limit The Department is interested in Employer Actions dissemination of information about the determining if continuing use of single Section 40.159 addresses the so-called employee’s stand-down status based specimen collections by RSPA and ‘‘stand-down’’ issue. Some employers upon the existence of a laboratory USCG causes confusion for collectors, have expressed a preference for positive test? Difficulties in maintaining employers, laboratories, and MROs in standing-down employees—taking them confidentiality may be particularly light of the fact that FMCSA, FTA, FRA, temporarily out of service based on a acute in smaller companies (e.g., a and FAA are required by the Omnibus report from the MRO that the employee trucking company with 10 or fewer Act to use split specimen collection has a confirmed positive test, pending drivers). Are there any special methodology. Will there be fewer errors completion of the verification process. provisions we should include for small in the collection process if all DOT Some employers who have an in-house employers? Finally, how would a stand- urine specimens are collected using MRO appear particularly attracted to down policy apply to owner-operators? split specimen procedures? Will this approach. The proponents of this It seems implausible that owner- employers covered under multiple rules approach assert that it enhances safety operators would stand themselves down (e.g., RSPA and FMCSA) be less likely and that it can include safeguards for after being informed of laboratory to order the wrong collection if all of employee privacy. positive tests by MROs. DOT’s OAs require split specimen In the program for regulated We also point out that, in addition to procedures (e.g., a situation in which a industries, the Department’s current the proposed alternative language in pipeline repair person also drives a rules and interpretations have §§ 40.129 and 40.159, there may be a truck)? Is it sound policy to keep the prohibited stand-down. The reason for need for conforming changes to other current bifurcated specimen collection this approach is that such policies may sections of the regulation in the event system that requires split specimen result in the stigmatization of employees we choose Alternative 2. We seek collection within some transportation

VerDate 29-OCT-99 18:25 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4701 Sfmt 4702 E:\FR\FM\09DEP2.XXX pfrm01 PsN: 09DEP2 69084 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules industries and permits single specimen updated sections on ‘‘fatal flaws’’ and incorporate into the rule text a number collections for others? ‘‘correctable flaws,’’ and how to correct of existing interpretations concerning the latter (§ 40.271). the SAP’s role (e.g., a SAP assessment ‘‘Problem’’ Drug Tests Section 40.233 requires quality must be face-to-face, an employer or The NPRM would spell out the assurance plans for evidential breath employee cannot ‘‘shop around’’ for a circumstances in which an employee’s testing devices. Are these plans favorable SAP evaluation, no one may actions are considered to be a refusal to necessary or useful? Should the modify or change a SAP’s assessment of test (§ 40.191). The NPRM also includes requirement be retained, changed, or an employee (§§ 40.295 and 40.297); the a list of testing problems that must or eliminated? Can it be improved or SAP is to make a recommendation for a may result in cancellation of a test, modified? The Department also seeks return to work agreement). The rule including instructions on how to correct comment on how well the current would also specify that problems that would otherwise result in alcohol testing form is working for recommendations for follow-up tests cancellation (§ 40.201). This portion of collection and other concerned and post-return-to-duty follow-up the proposed rule also notes the effect personnel. Are there improvements we treatment would be included in the of a canceled test (§ 40.205) and should make? We also seek comment on SAP’s recommendation, and that the introduces the concept of a mistake in whether the provisions of the rule employer must follow these the process which must be documented concerning the use of saliva devices recommendations (§§ 40.307 and when discovered but which does not (§ 40.245) adequately describe how 40.309). Finally, the NPRM lists the result in cancellation of the test these devices work, or whether we items that must be included in SAP (§ 40.207). We also request information should modify this language. reports on employee evaluations on whether there are other common Substance Abuse Professionals (§ 40.311). mistakes that we should mention in this Some SAPs have asked to receive section. The Department issued an Advance reports of the quantity of drugs in an In connection with the ‘‘shy bladder’’ Notice of Proposed Rulemaking employee’s system, to help them provisions, the rule provides that a (ANPRM) in the Federal Register [June determine what sort of treatment might physician ‘‘acceptable’’ to the employer 3, 1999 (Volume 64, Number 106)] be appropriate. They do not receive shall evaluate the employee (the same concerning the inclusion of additional quantitations in the normal course of provision applies to inability to provide groups of certified drug and alcohol business. Should SAPs be able to obtain sufficient breath for an alcohol test). We addiction counselors in the definition of this information from laboratories, understand that, in some cases, a SAP. The NPRM incorporates material much as MROs now can? employers apparently do not check to from this ANPRM and the comments we The NPRM, like the current rule, determine the suitability of a physician received. An overwhelming number of requires at least six follow-up tests over to perform this evaluation. Should the respondents supported the Department’s the period of one year following an language simply require the employer to desire to streamline the process for individual’s return to safety-sensitive ‘‘select’’ the physician? Should the rule reviewing certification groups’ duties after a rule violation (e.g., establish criteria for this selection (e.g., application materials and for evaluating positive drug test). From rehabilitation expertise in urology)? the quality of those groups’ certification and safety viewpoints, is this minimum The proposed rule also would testing processes. While some requirement adequate? For example, incorporate 1998 DOT guidance commenters favored maintaining the would it be better if there were a concerning individuals whose tests are current review process and one favored minimum requirement of twelve follow- canceled on a pre-employment test individual certification for every SAP, up tests during the year? The because of a serious, long-term the vast majority favored the Department seeks comment on this disability. These individuals could Department’s proposal to require matter. perform safety-sensitive functions after National Commission for Certifying Finally, because of the Department’s ‘‘passing’’ a physician’s evaluation for Agencies (NCCA) accreditation for growing concern that no adverse signs or symptoms of drug abuse, which certification agencies wishing to have consequences exist for most applicants could include a blood test. Because pre- their certified counselors included in for DOT safety-sensitive positions who employment alcohol tests are no longer the SAP definition. Because two test positive on or refuse to take a pre- mandatory, is it necessary to include a counselor organizations—the National employment drug test, we propose to similar provision in ‘‘insufficient Association of Alcoholism and Drug prohibit those individuals from breath’’ situations? The Department Abuse Counselors Certification performance of any and all DOT safety- seeks comment on this question. Commission (NAADAC) and the sensitive duties until and unless the International Certification Reciprocity person completes the SAP evaluation, Alcohol Test Administration Consortium / Alcohol & Other Drug referral, and treatment process. DOT Alcohol testing requirements are not Abuse (ICRC)—have been through the agency regulations would be modified proposed to be changed as much as the current rigorous DOT evaluation accordingly. older drug testing requirements. Some process, the Department believes that of the changes proposed include NAADAC and ICRC will not need NCCA Confidentiality and Release of mandatory retraining for BATs and accreditation to have their certified Information STTs who make a mistake resulting in counselors remain in the SAP The basic confidentiality provision of the cancellation of a test (§ 40.213(a)(3), definition. the existing part 40 would continue in new requirements for test site security The NPRM would add training effect: Information about an employee’s (§ 40.223(a)), authorization for foreign- requirements for SAPs (§ 40.281(c)). The drug or alcohol tests can be released to language testing forms (e.g., in Spanish NPRM also clarifies the role of the third parties only with the written for use in Mexico), more specific employer, employee, and SAP in the consent of the employee. The NPRM instructions on the steps for beginning return-to-duty process (§§ 40.283 specifies that this consent must be alcohol tests (§ 40.241) and through 40.291), including a specific to the information in question, clarifications concerning the timing of strengthened prohibition on waivers of not a ‘‘blanket’’ release (§ 40.321(b)). confirmation tests (§ 40.251). There are liability. The NPRM would also However, a service agent (e.g., an MRO)

VerDate 29-OCT-99 11:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00010 Fmt 4701 Sfmt 4702 E:\FR\FM\A09DE2.011 pfrm02 PsN: 09DEP2 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules 69085 can transfer their records to a successor The existing rule requires laboratories expanded provisions on the relationship without obtaining such consent, as long to provide certain information to between service agents and MROs. as no disclosure to outside parties employees about, among other things, The Department is concerned about occurs (§ 40.325(a)). MROs can, with their HHS certifications. Despite this any potential for conflicts of interest employee consent, contact a prescribing requirement, laboratories have with all service agents and welcomes physician to determine if an alternative sometimes refused to provide the comments in this area. The Department medication not having side effects that information. Section 40.331 specifies has a long-standing prohibition against adversely affect safety can be the scope of this requirement in greater the laboratory and the MRO having an substituted (§ 40.327(c)). detail and emphasizes the laboratories’ affiliation or financial arrangement with The NPRM specifies that MROs obligation to comply. It should be noted one another that may be construed as a would be required to report drug test that refusal by a laboratory to provide conflict of interest. Should this information directly, and only, to actual required information could subject the prohibition be strengthened? If so, how? employers. They could not report laboratory to public interest exclusion We are also interested in your results via an intermediary, such as a proceedings under subpart R. comments on what limitations, if any, consortium or third-party administrator. The NPRM currently authorizes the should be placed upon laboratories and Use of intermediaries has the potential provision of information about a post- MROs serving as third-party to delay the transmission of results and accident drug or alcohol test to the administrators. How can we ensure that increase the likelihood of administrative National Transportation Safety Board there exists no conflict of interest in a error. There is one exception to this (NTSB), in connection with an NTSB laboratory-based third-party requirement: DOT agencies could have investigation of an accident to which administrator’s selection of an MRO? a regulatory provision authorizing the the post-accident test pertained. The Or, in an MRO-based third-party provision of results through an Department seeks comment on whether administrator’s selection of a laboratory? intermediary. At the present time, only this provision should be broadened to Public Interest Exclusions (PIEs) the Coast Guard has such a provision. apply to other types of tests (e.g., pre- The Department of Transportation No other DOT agency authorizes this employment, random, follow-up) in the requires hundreds of thousands of practice. individual employee’s past. Should the transportation employers to conduct The proposed approach is based on provision apply to the employee’s urine drug and alcohol tests on millions of the Department’s 1995 guidance on the specimens collected for the post- employees performing safety-sensitive role of consortia and third-party accident test (on which NTSB might functions. As part of this program, the administrators. As that guidance want to conduct additional testing)? The Department requires the employers to suggests, reporting through an issue involves how best to balance the comply with the specific and detailed intermediary might be appropriate in potential relevance of the additional testing procedures in part 40. These certain specific situations (e.g., when information to NTSB’s investigation of procedures ensure the accuracy, use of a third party is the only the accident with the additional effects integrity, and privacy of the testing practicable way to direct an owner- of broader dissemination of the process, and they contain significant operator to cease performing safety- information on the individual’s privacy. safeguards for employers and employees sensitive functions or to report a If we do broaden the availability of such alike. Employers who do not comply violation to a DOT agency for purposes information to the NTSB, should the with these procedures are subject to of taking licence or certification action rule place conditions limiting further sanctions, such as civil penalties or following a violation). The Department disclosure (e.g., in the text of NTSB withdrawal of Federal funding. is reluctant to extend these provisions reports)? Most DOT-regulated employers today any wider. What are the advantages Finally, in some situations a service do not use their own personnel to versus the disadvantages of the current agent may be aware that an individual provide drug and alcohol testing system? is continuing to perform safety-sensitive services. Rather, they rely on a series of To resolve a dilemma that some functions despite having violated a DOT ‘‘service agents’’ (e.g., collectors, BATs, MROs have faced, § 40.329 would agency regulation. For example, a third- laboratories, MROs, substance abuse authorize MROs who work for more party administrator may learn that a professionals, testing consortia, third- than one DOT employer to inform truck driver is continuing to drive a party administrators), with whom they Employer B that an employee has had commercial motor vehicle after having contract to provide these services. When a positive test or a refusal to test in his tested positive for drug use. There is no service agents fail or refuse to carry out capacity as an employee of Employer A. present requirement for the service part 40 requirements, employers who This proposed exception to the agent to report such a situation to the engage their services in good faith are employee consent rule has a number of DOT agency involved. In the interest of placed at risk of being found in protections to ensure that it is not safety, should there be such a noncompliance and subjected to DOT abused or used too broadly. Should this requirement? sanctions. The employers—especially provision be broadened (e.g., so that the Service Agent Roles and Responsibilities the many small businesses involved— MRO could provide the information to do not have the expertise or resources an employer whom the MRO does not Subpart Q of the rule is based in part to determine whether the service agents serve)? If so, how should a broadened on existing DOT guidance concerning are providing services in a way that provision be drafted in order to avoid an the roles and responsibilities of service meets part 40 requirements. open-ended license to share information agents, such as third-party Relying on employer penalties alone (e.g., within an organization with many administrators and consortia. There is to ensure service agent compliance does MROs and/or a large data base)? One also new material, such as an explicit not adequately address the problem. For purpose of part 40 is to maintain an statement that service agents cannot example, imposing a $1000 civil penalty appropriate balance between safety and impose requirements not authorized by on a small trucking company that has privacy considerations, and we seek DOT rulemaking, a reference to the used a service agent that is not comment on how best to strike this subpart R public interest exclusion performing its functions properly does balance in this situation. process and its consequences, and little to correct the service agent’s

VerDate 29-OCT-99 11:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00011 Fmt 4701 Sfmt 4702 E:\FR\FM\A09DE2.013 pfrm02 PsN: 09DEP2 69086 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Proposed Rules malfeasance. The service agent can go requirements. The proposed process regulations. Provisions of both part 40 right on performing badly for the many would work as follows: and DOT agency drug and alcohol other DOT employers with which it • When a DOT agency, ODAPC, or testing regulations already govern in contracts. Attempting to address the the Inspector General’s office becomes detail the activities conducted by problem through employer-by-employer aware of a problem with service agent laboratories, MROs, collectors, sanctions is also a very inefficient use performance, through an inspection or substance abuse professionals, and other of the Department’s resources. If a DOT complaint, the office in question would service agents. The proposed provision agency must conduct separate civil first decide whether to pursue the adds no new substantive requirements. penalty actions against 30 different matter through this process. This would Rather, it uses the Department’s existing employers to address the effects of a be a ‘‘prosecutorial discretion’’ decision regulatory authority over transportation single service agent’s malfeasance, its by the office, made in view of the employers to direct the employers, in use of resources is much less efficient seriousness of the problem and would, the public interest and in the interest of than if there is one DOT action focused of course, be subject to the availability their own compliance with our on the service agent itself. Nor are of DOT resources. We contemplate the regulations, not to use service agents educational efforts likely to be use of this process only in cases having whose conduct violates part 40. The sufficient: existing DOT agency and considerable significance, not for minor General Counsel of the Department of private training efforts, while useful, mistakes. In addition, in most cases, Transportation has determined that the have not prevented some recurring DOT offices would resort to this process Department has sufficient legal problems about which we know. only after having unsuccessfully tried authority to implement these proposed other means of resolving the problem. requirements. Noncompliance by service agents • with part 40 requirements can have Because the primary purpose of the The Department also seeks comment serious consequences that go beyond the process is compliance, the initiating on three alternative methods to achieve possibility of DOT sanctions on office would first send a correction the objective of this provision. We employers. For example, if an MRO is notice to the service agent, spelling out believe that all these alternative unqualified, does not conduct the problem and asking the service approaches could use due process verification interviews, or disregards agent to fix it. procedures like those outlined above: • If the service agent corrected its (1) The process would work as DOT rules and guidance for making problem(s) within 60 days, no further described above, but instead of issuing verification decisions, individuals who proceedings would be necessary. a PIE, the Department would issue an apparently have tested positive for • If the problem(s) was not corrected, advisory notice to employers telling drugs can have their test results the initiating office would notify the them that the service agent was not invalidated and be put back to work in service agent in writing that the providing services as required by part safety-sensitive positions, endangering Department was proposing to issue a 40, placing employers using the agent at transportation safety, or individuals can PIE. peril of enforcement action. be unfairly identified as drug users. If a • To ensure that the service agent had (2) As a condition of participation, all collector or BAT does not conduct the administrative due process, it would service agents would be required to self- collection process as part 40 provides, have the opportunity to contest the certify that they provide all services as then valid tests can be overturned, tests issuance of a proposed PIE. This would required by Part 40. Instead of issuing will have to be repeated, and hiring include the opportunity to submit a PIE, the Department would decertify actions may be delayed (in the case of information and arguments in writing service agents that failed to carry out pre-employment tests), creating and to meet with the ODAPC Director in requirements properly. potential safety and cost problems. If a situations where there were material (3) A contract provision in all laboratory or MRO breaches facts in dispute. (To ensure separation agreements between service agents and confidentiality requirements, of functions, the ODAPC Director, as the regulated employers (see § 40.11(d)) employees’ privacy rights can be decisionmaker, would not participate in would bind service agents to providing compromised, upsetting the program’s the decision to initiate the proceeding, services in compliance with Part 40. carefully constructed balance between and there would be a firewall between Noncompliance would breach this the government’s interest in safety and the Director and other ODAPC, DOT provision, leading to termination of the the employee’s interest in privacy. agency, or IG staff concerning the case.) contract. To address these concerns, the • The Director would notify the The Department seeks comment on all Department is proposing a new subpart service agent of the decision and the the alternatives, combinations of them, that would create a ‘‘public interest reasons for it in writing and issue a or other means to accomplish the exclusion’’ mechanism. A public Federal Register notice to inform purpose of the proposed Subpart R, as interest exclusion (PIE) would be a employers when a PIE was issued. well as on the general concept of a directive from the Department to its • The PIE would stay in effect for a mechanism to protect employers and regulated employers to not use a service period of from one to five years, employees from noncomplying service agent that fails or refuses to provide its depending on the seriousness of the agents. services as part 40 requires. While a PIE problem. However, it could be lifted obviously has adverse business earlier if the service agent was able to Table of Sources consequences for the service agent show that the problem(s) resulting in As noted earlier in the preamble, this involved, its imposition is not for the the order had been corrected. proposed rule would significantly purpose of punishment. Its purpose is to This process is analogous to the change the organization of Part 40. To serve the public interest by making it procedure for imposing suspension and help readers follow the origin of the easier for employers to comply with our debarment in nonprocurement proposed provisions, we have created a rules and to protect them from situations (see 49 CFR part 29). It should table that lists a provision of the current noncompliance with DOT regulations. be noted that this proposed provision is Part 40 or other sources of each We also believe it is important to protect not a sweeping new assertion of provision. The following are examples employees from the consequences of regulatory authority over entities who of some of the most common types of services that do not meet DOT were previously untouched by DOT source notations:

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• ‘‘§ 40.33(b)’’—The material in the DOT agency regulation (e.g., the FRA alcohol testing procedures, or vice- proposed rule originated in § 40.33(b) of drug testing rule). versa. • the existing rule. This does not mean ‘‘New’’—The material in the Using the table, readers should be that the proposed section is the same as proposed rule would add material not able to readily identify the source of a found in the present Part 40 or in the existing section, but simply that the given provision and where the proposed proposed section addresses the same written interpretations or guidance. rule differs from the present Part 40. subject matter as the existing provision. • ‘‘HHS’’—The material in the This should help commenters determine Often, the language of the proposing and proposed rule would incorporate whether they support proposed changes, exiting provisions will be different. material from the Department of Health • ‘‘Interp.’’—The material in the and Human Services drug testing support existing language, or whether proposed rule text comes from an guidelines or HHS guidance interpreting they wish to recommend alternatives to interpretation issued by the Department those guidelines. the proposals. In a version of the NPRM under the present Part 40. • ‘‘Comment’’—The material in the on the Department’s web site, we have • ‘‘9/98 guidance’’—The material in proposed rule responds to a comment placed these source notes in brackets the proposed rule text comes from a on the ANPRM. after each section, for greater guidance memorandum issued by the • ‘‘Alcohol (or Drug) parallel’’—The convenience to the reader (Federal Department in September 1998. proposed rule text concerning drug Register format does not permit this • ‘‘Modal regulation’’—The material testing procedures would be parallel to placement in the published version of in the proposed rule text comes from a language on a similar provision in the the document). The table follows:

Section of NPRM Source

40.1 ...... 40.1 40.3 ...... 40.3, HHS, except ``alcohol test,'' ``designated employer representa- tive,'' ``dilute specimen,'' ``notice,'' ``service agents,'' and ``substituted specimen,'' which are new. 40.5 ...... New 40.7 ...... 49 CFR part 5, interp. 40.11 ...... New 40.13(a) ...... New (b) ...... Comment 40.15 (a), (b), (d), (e), (f) ...... Interp. (c) ...... 40.21(c) 40.17(a) ...... Guidance (b), (c) ...... New 40.19 ...... Interp. 40.21 ...... New 40.31 (a), (b) ...... New (c) ...... 40.23(d)(3), interp. (d) ...... 40.23(d)(3) 40.33 (a)(1) ...... New (a)(2)(i) ...... 40.23(d)(2) (a)(2)(iii) ...... 40.23(d)(1) (a)(3)±(5) ...... New (b) ...... New 40.35 ...... New 40.37 ...... New 40.41 (a), (b) ...... New (c) ...... 40.25(a)(1) (d)(1), (3) ...... 40.25(a)(2) (d)(2) ...... New (e) ...... 40.25(a)(2), HHS (f), (g) ...... 40.25(a)(1) 40.43(a) ...... 40.25(b) (b)(1)±(6) ...... 40.25(b)(1)±(2) (b)(7)±(8) ...... New (c) ...... 40.25(b)(2) (d)(1) ...... 40.25(d) (d)(2) ...... 40.25(g) (d)(3) ...... 40.25(d) (d)(4) ...... 40.25(f)(25)(ii) (d)(5) ...... 40.25(f)(25)(i) (e) ...... 40.25(d) (e)(1)±(4) ...... New 40.45(a) ...... 40.23(a)(1)(i) (b)(1) ...... 40.23(a)(1)(ii) (b)(2)±(5) ...... Comments (c) ...... 40.23(a)(1)(ii) (d) ...... 40.23(a)(1)(iii) (e) ...... New 40.47(a) ...... Interp. (b) ...... Interp., new 40.49 ...... New 40.51 ...... Interp., new

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Section of NPRM Source

40.61(a) ...... 40.25(f)(3), new (b) ...... Interp. (b)(1) ...... New (b)(2) ...... 40.25(j) (b)(3) ...... Interp. (c) ...... 40.25(f)(2), HHS (d) ...... 40.25(f)(2), new (e) ...... Alcohol parallel (f)(1)±(2) ...... 40.25(f)(4) (f)(3) ...... Interp., HHS (f)(4)±(6) ...... New (g) ...... 40.25(f)(22)(ii) 40.63 (a) ...... Alcohol parallel (b) ...... 40.25(f)(5)±(6), (11) (c) ...... 40.25(f)(7), HHS, interp. (d) ...... 40.25(f)(10), new (e) ...... 40.25(f)(8), new 40.65 ...... Checklist format new (a) ...... New, interp. (b) (1)±(5) ...... 40.25(e)(2) (b)(6) ...... Interp. (b)(7) ...... Interp., new (c) ...... New, interp. 40.67(a)(1) ...... HHS (a)(2) ...... New (b)(1) ...... 40.25(e)(2)(iv) (b)(2) ...... 9/98 guidance (c)(1) ...... New (c)(2) ...... 40.25(e)(2)(iii); new (c)(3) ...... 40.25(e)(2)(i) (c)(4) ...... 40.25(e)(2)(iii) (d) ...... HHS (e) ...... New (f) ...... 40.25(f)(16), interp., HHS (g) ...... New (h) ...... Interp. (i) ...... Interp., HHS (j) ...... HHS (k) ...... Interp. 40.69(a) ...... 40.25(f)(9) (b)±(c) ...... New (d)±(h) ...... 40.25(f)(9), Interp. (i) ...... HHS (j) ...... Interp. 40.71(a) ...... 40.25(f)(10)(iii) (b) ...... New (c) ...... 40.25(f)(19), HHS (d) ...... 40.25(f)(10)(iii), 40.25(f)(17) (e) ...... 40.25(f)(20) (f) ...... New 40.73 (a)±(b) ...... 40.25(f)(19)(ii)(B)(1), new (c) ...... New (d) ...... 40.25(f)(19), HHS (e) ...... 40.25(f)(10)(iii), 40.25(f)(17) (f) ...... 40.25(f)(20) 40.75(a)(1) ...... 40.25(f)(22)(i), HHS (a)(2) ...... 40.25(f)(23), HHS (a)(3)±(4) ...... HHS (a)(5) ...... New (a)(6)±(7) ...... HHS (a)(8)±(10) ...... New (a)(11) ...... HHS (b) ...... 40.25(c), (h), (k) (c) ...... New 40.81(a) ...... 40.39(a) (b) ...... 40.39(b) (c)±(d) ...... New 40.83(a)±(c) ...... 40.25(k), 40.29(a)(2) (d) ...... HHS, new (e) ...... Interp. (f) ...... Interp., new (g) ...... New 40.85 ...... 40.21(a) 40.87(a) ...... 40.29(e)(1), new

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Section of NPRM Source

(b) ...... 40.29(f) 40.89(a) ...... 40.29(e)(1) and (f)(1) (b)±(c) ...... 40.29(g)(2) 40.91 (a)±(b) ...... New, HHS (c) ...... 9/98 guidance (d) ...... HHS 40.93 ...... New, HHS 40.95(a) ...... 40.29(g)(1) (b)±(e) ...... HHS, new 40.97(a) ...... 40.29(g)(4), new (b)(1) ...... HHS, new (b)(2) ...... 40.29(g)(4), new (c) ...... 40.29(g)(4) (d)±(e) ...... New 40.99(a)(1) ...... 40.29(b)(2), HHS (a)(2) ...... 40.29(h), HHS (b) ...... 40.29(h) (c)±(e) ...... New 40.101(a) ...... 40.29(n)(6), new (b) ...... New 40.103(a) ...... 40.31(d)(1)±(2), new (b) ...... 40.31(d)(5), new (c) ...... 40.31(d)(3) (c)(1) ...... HHS (c)(2) ...... New (d) ...... HHS, new 40.105(a) ...... 40.31(d)(7)±(8), new (b) ...... 40.31(d)(8) (c) ...... 40.31(d)(7), new (d) ...... 40.31(d)(8), new 40.107 ...... 40.29(1) 40.109(a)±(b) ...... New (c) ...... 40.29(g)(6), 40.29(m) (d) ...... 40.29(m), new (e) ...... HHS, new 40.111 ...... 40.29(g)(6), HHS, new 40.113 ...... New 40.121(a) ...... 40.33(b)(1) (b) ...... 40.33(a) (c)±(f) ...... New 40.123 ...... New 40.125 ...... 40.33(b)(2), new 40.127(a) ...... 40.33(a)(2), new (b) ...... Interp., new (c)±(d) ...... New (e) ...... 9/98 guidance, new 40.129(a)(1) ...... 40.33(a), interp. (a)(2) ...... New (a)(3) ...... 40.33(c)(1)±(2) (a)(4) ...... 40.33(a)(2) (a)(5) ...... New (b) ...... Interp., new (c) ...... 9/98 guidance (d) ...... Interp., new 40.131(a)±(c) ...... 40.33(c)(2), new (d) ...... 40.33(c)(3)±(4), new 40.133(a) ...... 40.33(c)(3), (c)(5) (b) ...... New (c) ...... 40.33(c)(6) 40.135 (a)±(c) ...... New (d) ...... 40.33(i)(2) 40.137(a)±(b) ...... 40.33(a), (b)(3), (c) (c)±(d) ...... Interp. 40.139(a) ...... 40.33(d) (b) ...... New (c) ...... 40.33(d), new (c)(1)±(4) ...... Interp., new, MRO training materials 40.141 ...... New (a) ...... 40.33(a), (b)(3), new (b) ...... 40.33(b)(3), new (c) ...... 40.33(e) 40.143(a) ...... 40.33(b)(3), interp. (b) ...... New (c) ...... Interp.

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Section of NPRM Source

(d) ...... Interp., MRO training materials (e) ...... Interp. (f) ...... Guidance 40.145(a) ...... New (b) ...... 40.33(e)±(f) (c) ...... New (d) ...... New, interp. (e) ...... 40.33(e)±(f) (f) ...... Interp. 40.147(a)±(b) ...... 9/98 guidance, new (c) ...... Interp., new 40.149(a)±(b) ...... 9/98 guidance, new (c) ...... Interp., new 40.151(a) ...... 9/98 guidance (b)±(c) ...... Interp., new 40.153(a) ...... 9/98 guidance, new (b) ...... Interp., new 40.155 ...... New 40.157 (a)±(b) ...... Alcohol parallelÐ40.65(i) (c) ...... FMCSA regulationÐ49 CFR 382.407(a)(1) (d) ...... New 40.159(a) ...... 40.33(a)(1),interp., new (b) ...... New (c)±(f) ...... 9/98 guidance, new (g) ...... New 40.161(a) ...... Interp. (b) ...... New 40.163 ...... New 40.171(a) ...... 40.33(f) (b) ...... 40.33(g) (c) ...... Interp. (d) ...... 40.25(f)(10)(E) 40.173 ...... Interp. 40.175(a) ...... 40.129(b)(2), new (b) ...... New (c) ...... 40.29(c) (c)(1)±(2) ...... 40.29(b)(2), new (d) ...... 40.25(f)(10)(F) (e) ...... 40.33(f) (f) ...... Interp. (g) ...... New 40.177(a) ...... HHS (b) ...... 40.29 (b)(3) (c)±(d) ...... HHS (e) ...... Interp. 40.179 ...... New 40.181 ...... HHS 40.183 ...... 9/98 guidance, new 40.185 ...... New 40.187 ...... New 40.191(a)(1) ...... Interp., comment (a)(2) ...... Modal regulations (a)(3) ...... Interp. (a)(4) ...... 40.25(f)(10)(iv)(2), 40.69(d)(2)(ii) (a)(5)±(6) ...... Interp. (a)(7) ...... 40.67(a) (b) ...... 9/98 guidance (c) ...... Modal regulations (d) ...... 40.67(a), interp. (e) ...... Comment 40.193 (a)±(f), (h)±(i) ...... 40.25(f)(10)(iv) (g) ...... Guidance, new 40.195 ...... Guidance, new 40.197 ...... DOT and HHS guidance, interp. 40.199 ...... Guidance, new 40.201 ...... DOT and HHS guidance, interp., new 40.203(a) ...... 40.67(b), new (b) ...... New, interp. 40.205 ...... Interp. 40.207 ...... Interp., new 40.211(a)±(c) ...... 40.51, 40.93 (d) ...... 40.51(b), new 40.213(a)(1) ...... 40.51(a)(1) (a)(1)(i) ...... 40.51(a)(2)

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Section of NPRM Source

(a)(1)(ii) ...... 40.51(a)(3) (a)(1)(iii) ...... Interp. (a)(1)(iv) ...... Drug parallel (a)(2) ...... 40.93(c) (a)(3) ...... New (b)(1) ...... 40.51(a)(1) (b)(1)(i) ...... 40.51(a)(2) (b)(1)(ii) ...... 40.51(a)(3) (b)(1)(iii) ...... New (b)(1)(iv) ...... Drug parallel (b)(3) ...... New (c) ...... Interp. (d) ...... 40.51(c) (e)±(g) ...... New 40.215 ...... New 40.217 ...... New 40.221(a)±(b) ...... New (c)±(d) ...... 40.57(a) (e) ...... 40.57(e) (f) ...... 40.57(b) 40.223(a) ...... 40.57, new (b) ...... 40.55(c) (c) ...... 40.57(c) (d) ...... 40.57(e), 40.99(b) (d)(1) ...... New (d)(2) ...... Interp. (d)(3) ...... 40.57(e), 40.99(b) 40.225(a) ...... 40.59(a) (b)(1) ...... Drug parallel±40.23(a)(1)(i) and CCF (b)(2) ...... 40.59(a) (b)(3)±(6) ...... Comment (c) ...... New 40.227(a) ...... Interp. (b) ...... New 40.229 ...... 40.53, 40.91 40.231(a) ...... 40.53(a), 40.91 (b) ...... 40.53(b) 40.233(a) ...... 40.55(a) (a)(1) ...... 40.55(a)(1)±(3) (a)(2) ...... 40.55(a)(4) (b) ...... 40.55(b), (b)(1), new (c) ...... 40.55(a)(1) (d) ...... 40.55(b)(2) (e) ...... 40.55(b)(4) (f) ...... 40.55(b)(3) 40.235(a) ...... 40.95 (a), (a)(1) (b) ...... 40.95(b), (c) (c) ...... New (d) ...... 40.55(a)(2) 40.241(a) ...... New (b)(1) ...... New, Drug parallelÐ40.25(f)(3) (b)(2), (b)(2)(i) ...... New (b)(2)(ii) ...... Drug parallelÐ40.25(j) (b)(3) ...... Drug parallelÐ40.25(f)(2) (b)(4) ...... Drug parallelÐ40.25((f)(2), new (b)(5) ...... 40.61(b), 40.101(d)(1) (b)(6)±(7) ...... 40.63(a), 40.101(b) 40.243(a) ...... Drug parallelÐ40.25(f)(7), HHS, interp. (b) ...... 40.63(b) (c) ...... 40.63(c) (d) ...... 40.63(d)(2)(i), (d)(3), (d)(4) (e) ...... New (f) ...... 40.63(d)(3) (g) ...... 40.63(d)(2)(i) 40.245(a) ...... 40.101(d)(2) (b) ...... 40.101(d)(3) (c) ...... New (d) ...... 40.101(d)(5) (e) ...... 40.101(d)(6) (f) ...... 40.101(d)(7) (g) ...... 40.101(d)(8) (h) ...... 40.101(d)(9) (i) ...... 40.101(d)(10) 40.247(a) ...... 40.101(e)

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Section of NPRM Source

(b)(1) ...... 40.63(e)(1), 40.101(e) (b)(2) ...... 40.62(e)(i)(3) (b)(3) ...... 40.63(e)(2) (c)(1) ...... 40.63(f) (c)(2) ...... 40.63(g), 40.101(e) (c)(3)(i)±(iv) ...... 40.63(h)(1) (c)(3)(v)±(vii) ...... 40.63(h)(2) (c)(3)(viii) ...... New (c)(3)(ix) ...... 40.63(h)(3) (d) ...... 40.63(e)(4) 40.251(a)±(b) ...... 40.65(b), new (c) ...... 40.63(a), 40.101(b) (d) ...... 40.65(b), new 40.253(a) ...... 40.65(d) (b) ...... 40.63(b), 40.65(c)(2) (c) ...... 40.65(e) (d) ...... 40.63(b), 40.65(c)(2) (e)±(f) ...... 40.65(g)(1)±(2) (g) ...... 40.65(g)(1) 40.255(a)(1) ...... 40.65(h)(1) (a)(2) ...... 40.65(h)(1)±(2) (a)(3) ...... 40.65(h)(3) (a)(4) ...... 40.65(i)(1) (a)(4)(i) ...... 40.65(i)(1)±(2) (a)(4)(ii) ...... 40.65(i)(4) (b)(1) ...... 40.65(i)(3) (b)(2) ...... 40.65(i)(4) 40.257 ...... New, drug parallel 40.261(a)(1) ...... Interp., comment (a)(2) ...... Modal regulations (a)(3) ...... 40.63(e)(3) (a)(4) ...... 40.69(d)(2)(ii), drug parallel±40.25(f)(10)(iv)(2) (a)(5) ...... Interp. (a)(6) ...... 40.67(a), interp. (b) ...... Modal regulations (c) ...... 40.67(a), interp. 40.263 ...... 40.105 40.265 ...... 40.69, 40.105 40.267(a)(1) ...... 40.107(a)(1) (a)(2) ...... 40.107(a)(2) (a)(3) ...... 40.107(a)(3) (b) ...... 40.79(a)(7), 40.107(b) (c)(1) ...... 40.79(a)(2) (c)(2)±(3) ...... 40.79(a)(3) (c)(4) ...... 40.79(a)(6) (c)(5) ...... 40.79(a)(1) 40.269(a) ...... 40.79(a)(4) (b) ...... 40.79(a)(5), 40.107(b) (c) ...... 40.107(a)(4) (d) ...... New 40.271(a) ...... 40.67(b), new (b) ...... New, interp. 40.273 ...... Interp. 40.275 ...... New, interp. 40.277 ...... Interp. 40.281 ...... Interp., new, 40.3 40.283 ...... Modal regulations, new 40.285 ...... Modal regulations, new 40.287(a) ...... Modal regulations, interp. (b) ...... Modal regulations, new (c)±(e) ...... Interp. 40.289 ...... Modal regulations, SAP guidelines 40.291 ...... Interp. 40.293 ...... Interp., SAP guidelines, modal regulations 40.295 ...... Interp. 40.297 ...... Interp., SAP guidelines 40.299(a) ...... SAP guidelines (b) ...... SAP guidelines, modal regulations (c) ...... Modal regulations, examples new (d) ...... New 40.301 ...... Interp., SAP guidelines, modal regulations 40.303 ...... New 40.305 ...... Interp., SAP guidelines 40.307 ...... Modal regulations, interp., SAP guidelines

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Section of NPRM Source

40.309 ...... Modal regulations, interp., SAP guidelines 40.311 all except ...... Interp., SAP guidelines (e)(10), (f) ...... New 40.313 ...... New 40.321 ...... 40.3(i), 40.35, 40.81(b), (g), (i) (a) ...... New (b) ...... Interp. 40.323 ...... 40.35, 40.81(H) 40.325 ...... New 40.327 (a) ...... 40.33(i)(1)Ð(2), new (b) ...... 40.33(i)(1)(ii)Ð(iii) (c) ...... New 40.329 ...... New 40.331(a) ...... 40.37, 40.81(c) (b)Ð(c) ...... Interp. 40.333 (a) ...... 40.81(g), (i) (b)(1) ...... 40.81(d) (b)(2) ...... 40.81(e), new (c)(1) ...... 40.81(d) (c)(2) ...... 40.81(e), new (d) ...... 40.81(f) (e) ...... New 40.335 ...... 40.81, 382.401 40.341Ð40.353 ...... Consortium/third party administrator guidance 40.361Ð40.385 ...... New

Regulatory Analyses and Notices situations in which an employee has provisions of the regulation, such as the This rule is a significant rule for substituted something other than reductions in blind specimen purposes of Executive Order 12866. It is normal human urine for the required requirements and mitigation of some significant because of its policy urine specimen. As the result of work by reporting requirements. The additional importance and its impact upon sizeable HHS and the laboratories, these training requirements discussed in the industries. It is not, however, an protocols are already in place and are previous paragraphs will help to reduce being used by most laboratories, so we economically significant regulation. It is costs from errors in the system. For expect the incremental costs of this a reworking of existing requirements, example, every time a better-trained requirement to be modest. The imposing few new mandates, and collector conducts a collection properly Department believes that public safety is should not have significant incremental instead of making a mistake, the costs of well-served by these steps to identify costs. Because of its multimodal impact developing memorandums for and hold accountable employees in and policy interest to regulated parties correction, preparing laboratory safety-sensitive positions who attempt and service agents, it is a significant rule litigation packages, arbitration or court to cheat the testing process. proceedings, and reversing personnel for purposes of the DOT Regulatory Second, the Department is proposing Policies and Procedures. Throughout actions are avoided. additional training requirements for The Department has made some this regulation, we have attempted to some service agents. Errors in the testing balance the costs of new requirements preliminary estimates of the cost process resulting from lack of training increases and decreases that could be with the cost savings accrued through can lead to increased employer program the elimination of some current expected if the proposed rule’s costs and increased paperwork required provisions are made final. It is requirements. to document the errors and repeat the important to understand that this is a There are two features of the proposed testing process. The NPRM would big program, touching some 8.34 million regulation that would add new upgrade requirements for urine employees working for about 673,413 requirements that may have some collectors and other personnel. This employers. Around 30,000 individuals economic impacts. The first is the additional training requirement can be and organizations work as service requirement that laboratories test for met without formalized instruction to agents. dilute, substituted, and adulterated minimize the cost impact. specimens. Existing regulations were Also, MROs and SAPs would either In terms of new costs, the Department devised before the widespread use of attend a training session every two years estimates an annual cost of about ‘‘designer’’ adulterants that some to keep current on developments in the $902,000 for adulterant testing plus employees are putting into their urine to field or would be permitted to self- about $25,322 for training mask the results of positive drug tests. certify they have re-reviewed and documentation. We believe there will The DOT has worked with HHS and understand the regulations in lieu of not be any measurable additional costs laboratory scientists to develop a set of training. These training courses already for actual SAP and MRO training, appropriate forensic testing protocols exist and are widely attended. Again, because most SAPs and MROs already for identifying these masking agents. we anticipate that overall net costs of undergo such training as part of The revision expands existing these new training requirements and professional continuing education regulations and guidance concerning options would be quite modest because requirements. The option also exists for these difficult testing situations by the requirement may be met without MROs and SAPs to self-administer making mandatory laboratories’ use of formalized instruction. training through study of DOT rules and additional protocols for discovering At the same time, the Department guidance. In addition, we estimate that adulteration, as well as for detecting anticipates cost savings from some there will be one-time costs for a variety

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There are a number of other Executive from the proposed reduction in blind As noted elsewhere in this preamble, Orders that can affect rulemakings. specimen testing (the savings will this proposed rule would amend 49 CFR These include Executive Orders 13084 probably be somewhat greater, because Part 40 to clarify and update the (Consultation and Coordination with fewer organizations will be required to Department’s alcohol and drug testing Indian Tribal Governments), 12988 submit blind specimens). By changing procedures. In the course of so doing, (Civil Justice Reform), 12875 (Enhancing the current quarterly laboratory report the proposal would increase some the Intergovernmental Partnership), requirement to require a semiannual information collection requirements and 12630 (Governmental Actions and report, we anticipate saving another decrease others, resulting in what we Interference with Constitutionally $1.69 million annually. By permitting estimate to be a modest net reduction in Protected Property Rights), 12898 positive test results to be faxed rather information collection burdens, (Federal Actions to Address than sent by overnight express, we compared to the present regulation. The Environmental Justice in Minority project an annual $3.1 million saving. information collections involve such Populations and Low-Income These annual savings are greater than subjects as drug and alcohol specimen Populations), 13045 (Protection of the additional annual costs we collection, quality control, and the Children from Environmental Health anticipate for the proposed rule. reporting and retention of drug and Risks and Safety Risks), and 12889 This NPRM does not have sufficient alcohol testing information. (Implementation of North American Federalism impacts to warrant a The regulated parties to whom these Free Trade Agreement). We have Federalism assessment under Executive requirements apply are transportation considered these Executive Orders in Order 13132. With respect to the employers and participants in the drug the context of this NPRM, and we Regulatory Flexibility Act, the and alcohol testing industry, the believe that the proposed rule does not Department certifies that, if adopted, numbers of which are summarized directly affect the matters that the this rule would not have a significant above. As summarized above, the Executive Orders cover. economic impact on a substantial Department anticipates that there will We have prepared this rulemaking in number of small entities, so a be new costs of $2.86 million and new accordance with the Presidential Regulatory Flexibility analysis has not savings of about $10.9 million, most of Directive on Plain Language. been prepared. While this rule affects a which represent costs involved with large number of small entities, we do information collection. In terms of List of Subjects in 49 CFR Part 40 not expect the rule to have a significant burden hours, we anticipate new Administrative practice and economic impact on anyone. collections amounting to 65,000 hours procedure, Alcohol abuse, Alcohol This rulemaking involves a ‘‘610 and savings on collections amounting to testing, Drug testing, Laboratories, Review’’ under the Small Business 168,888 hours, resulting in a net Reporting and recordkeeping Regulatory Enforcement Fairness Act. reduction of 103,888 hours compared to requirements, Safety, Transportation. We have reviewed the existing program the present regulation. to identify areas in which the rule can The Department is soliciting Issued this 29th day of November, 1999, at be improved with the effect of assisting comments to (1) evaluate whether the Washington, DC. small businesses to comply in a rational proposed collections are necessary for Rodney E. Slater, and cost-effective manner. In addition to the functioning of the drug and alcohol Secretary of Transportation. the general clarification of the program testing program, including whether the For the reasons set forth in the this rule provides, we have identified information will have practical utility; preamble, the Department of some specific areas (e.g., blind specimen (2) evaluate the accuracy of the Transportation proposes to revise part requirements, the addition of the public Department’s estimate of the burden; (3) 40 of Title 49, Code of Federal interest exclusion provision) that should enhance the quality, utility, and clarity Regulations, to read as follows: be particularly helpful to small of the information to be collected; and regulated employers. We seek comment (4) minimize the burden of information PART 40ÐPROCEDURES FOR on any changes that commenters might collection for regulated parties, TRANSPORTATION WORKPLACE suggest to further assist small businesses including through the use of appropriate DRUG AND ALCOHOL TESTING who are affected by this rule. automated, electronic, mechanical, or PROGRAMS Part 40 is one portion of a ‘‘ONE- other technological information Subpart A—Administrative Provisions DOT’’ drug and alcohol testing program collection techniques or other forms of that also involves regulations from six information technology (for example, Sec. 40.1 Whom does this regulation cover? DOT agencies. The costs and impacts of permitting electronic submission of 40.3 What do the terms used in this Part 40 are intertwined with the costs reports). regulation mean? and impacts of the DOT agency Individuals and organizations may 40.5 Who issues authoritative regulations. In connection with the 610 submit comments on the information interpretations of this regulation? review, we are seeking comments on the collection elements of this NPRM by 40.7 How are exemptions granted from this effects of the entire program, including April 7, 2000 and should direct them to regulation? all its regulatory components, on small the DOT docket specified at the Subpart B—Participant Responsibilities entities and on ways of improving the beginning of the NPRM. According to OMB’s regulations implementing the 40.11 What are the basic responsibilities of program from this point of view. employers under this regulation? This proposed rule also contains PRA (5 CFR 1320.8(b)(2)(vi)), an agency 40.13 If an employer has employees subject information collection requirements. As may not conduct or sponsor, and a to testing under both DOT and the required by the Paperwork Reduction person need not respond to, a collection Nuclear Regulatory Commission (NRC) Act of 1995 (the PRA, 44 U.S.C. of information unless it displays a regulations, what procedures does it 3507(d)), the Department has submitted currently valid OMB control number. follow?

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40.15 If an employer conducts non-DOT 40.93 What methods and criteria do 40.161 May the employer or MRO change a testing, under its own authority, as well laboratories use for validity testing? verified drug test result? as DOT testing, what Federal restrictions 40.95 What do laboratories need to report to 40.163 Where is other information apply for the two tests? MROs regarding primary specimen concerning the role of MROs found in 40.17 Can an employer use a service agent results? this regulation? to meet DOT drug and alcohol testing 40.97 Through what methods and to whom requirements? must a laboratory transmit results? Subpart H—Split Specimen Tests and Retests 40.19 May service agents impose 40.99 How long does the laboratory retain requirements on employers that DOT specimens after testing? 40.171 How does an employee request a test agency regulations do not specifically 40.101 What relationship may a laboratory of a split specimen? authorize? have with an MRO? 40.173 Who is responsible for paying for 40.21 Do service agents have to comply 40.103 What blind specimens must be sent the test of a split specimen? with DOT drug and alcohol testing to a laboratory? 40.175 What steps does the first laboratory requirements? 40.105 What happens if there is a laboratory take with a split specimen? error on any test? 40.177 What does the second laboratory do Subpart C—Urine Collection Personnel 40.107 Who may inspect laboratories? with the split specimen? 40.31 Who collects urine specimens for 40.109 What documentation must the 40.179 Through what methods and to DOT drug testing? laboratory keep, and for how long? whom must a laboratory transmit split 40.33 What requirements must a collector 40.111 When and how must a laboratory specimen results? meet? disclose statistical summaries and other 40.181 What information do laboratories 40.35 What requirements must information it maintains? need to report to MROs regarding split organizations employing collectors meet? 40.113 Where is other information specimen results? 40.37 Where is other information on the concerning laboratories found in this 40.183 What does the MRO do with the role of collectors found in this regulation? split specimen laboratory results? regulation? Subpart G—Medical Review Officers 40.185 Are employees’ requests for reanalysis of the specimen from a single Subpart D—Collection Sites, Forms, (MROs) specimen collection handled the same Equipment and Supplies Used in DOT Urine 40.121 Who is qualified to act as an MRO? way as requests for the test of the split Collections 40.123 What are the MRO’s responsibilities specimen? in the DOT drug testing program? 40.41 Where does a urine collection for a 40.125 What relationship may an MRO 40.187 Where is other information DOT drug test take place? have with a laboratory? concerning split specimens found in this 40.43 What steps must collection sites take 40.127 What are the MRO’s functions in regulation? to protect the security and integrity of reviewing negative test results? urine collections? Subpart I—Problems in Drug Tests 40.129 What are the MRO’s functions in 40.45 What form is used to document a reviewing laboratory confirmed positive 40.191 What is a refusal to take a DOT drug DOT urine collection? drug test results? test, and what are the consequences? 40.47 May employers use the CCF for non- 40.131 How is the employee notified of the 40.193 What happens when an employee is DOT collections or non-Federal forms for verification process after a confirmed unable to provide a sufficient amount of DOT collections? positive test result? urine for a drug test? 40.49 What materials are used to collect 40.133 Under what circumstances may the 40.195 What happens when an individual urine drug specimens? MRO verify a test as positive without is unable to provide a sufficient amount 40.51 What materials are used to send urine interviewing the employee? of urine for a pre-employment drug test specimens to the laboratory? 40.135 What does the MRO tell the because of a permanent or long-term disability? Subpart E—Drug Test Collections employee at the beginning of the verification interview? 40.197 What problems will always result in 40.61 What are the preliminary steps in the 40.137 On what basis does the MRO verify a drug test being canceled? collection process? test results involving marijuana, cocaine, 40.199 What problems will always result in 40.63 What steps does the collector take in amphetamines, and PCP? a drug test being canceled and may result the collection process before the 40.139 On what basis does the MRO verify in a requirement for another collection? employee provides a urine specimen? test results involving opiates? 40.201 What problems will result in the 40.65 What does the collector check for 40.141 How does the MRO obtain drug test being canceled unless they are when the employee presents a specimen? information for the verification decision? corrected? 40.67 When and how is a directly observed 40.143 What are MROs prohibited from 40.203 How are drug test problems collection conducted? doing as part of the verification process? corrected? 40.69 When and how is a monitored 40.145 How does the MRO notify 40.205 What is the effect of a canceled drug collection conducted? employees of their right to a test of the test? 40.71 How does the collector process a split specimen or to a retest of a single 40.207 What is the effect of procedural single specimen collection? specimen? problems that are not sufficient to cancel 40.73 How does the collector process a split 40.147 What happens when a negative or a drug test? specimen collection? positive test result is also dilute? Subpart J—Alcohol Testing Personnel 40.75 How is the collection process 40.149 What happens when a test is not completed? performed because of a fatal or 40.211 Who conducts DOT alcohol tests? uncorrected flaw? 40.213 What requirements must STTs and Subpart F—Drug Testing Laboratories 40.151 What happens when a drug test BATs meet? 40.81 What laboratories may be used for specimen is unsuitable for testing? 40.215 What requirements must DOT drug testing? 40.153 What happens when a drug test organizations employing STTs and/or 40.83 How do laboratories process specimen is substituted or adulterated? BATs meet? incoming specimens? 40.155 What happens when a drug test 40.217 Where is other information on the 40.85 What drugs do laboratories test for? specimen is rejected for testing? role of STTs and BATs found in this 40.87 What methods do laboratories use for 40.157 How does the MRO report test regulation? screening and confirmation tests? results to the employer? 40.89 What are the cutoff concentrations for 40.159 When MROs send reports of Subpart K—Testing Sites, Forms, Equipment screening and confirmation tests? positive, dilute, unsuitable, substituted, and Supplies Used In Alcohol Testing 40.91 What additional testing must be done or adulterated test results to employers, 40.221 Where does an alcohol test take by laboratories on primary specimens? what is an employer to do? place?

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40.223 What steps must be taken to protect 40.289 What is the role of the SAP in the Subpart Q—Roles and Responsibilities of the security of alcohol testing sites? evaluation, referral, and treatment Service Agents 40.225 What form is used for an alcohol process of an employee who has violated 40.341 Can an employer use a service agent test? the DOT drug and alcohol regulations? to meet DOT drug and alcohol testing 40.227 May employers use the BATF for 40.291 Can employees who are referred for requirements? non-DOT tests, and vice-versa? SAP evaluations be required to waive 40.343 May service agents impose 40.229 What devices are used to conduct liability with regard to negligence or requirements on employers that DOT alcohol screening tests? malpractice on the part of the SAP? agency regulations do not authorize? 40.231 What devices are used to conduct 40.293 What is the SAP’s function in 40.345 If, as a service agent, you fail to alcohol confirmation tests? conducting the initial evaluation of an comply with DOT regulations, can 40.233 What are the requirements for employee? employers use your services? proper use and care of EBTs? 40.295 Can employees or employers seek a 40.347 What functions can service agents 40.235 What are the requirements for second SAP evaluation if they disagree perform with respect to selection for proper use and care of ASDs? with the first SAP’s recommendations? testing? 40.297 Does anyone (e.g., employer, Subpart L—Alcohol Screening Tests 40.349 What requirements must a service managed-care ‘‘gatekeeper,’’ or any agent implement concerning the use and 40.241 What are the first steps in any service agent or service agent network) confidentiality of information? have the authority to change a SAP’s alcohol screening test? 40.351 What principles govern the initial assessment recommending 40.243 What is the procedure for an alcohol interaction between MROs and other assistance? screening test using an EBT or non- service agents? 40.299 What is the SAP’s role and what are evidential breath ASD? 40.353 What other limitations apply to the the limits on a SAP’s discretion in 40.245 What is the procedure for an alcohol activities of service agents? screening test using a saliva ASD? referring employees for treatment and 40.247 What happens next after the alcohol education? Subpart R—Public Interest Exclusions 40.301 What is the SAP’s function in the screening test result? 40.361 What is the purpose of a public follow-up evaluation of an employee? interest exclusion? Subpart M—Alcohol Confirmation Tests 40.303 What happens if the SAP believes 40.363 In what circumstances does the the employee needs additional 40.251 What are the first steps in an alcohol Department issue a public interest treatment, aftercare, or support group confirmation test? exclusion concerning a service agent? 40.253 What are the procedures for services even after the employee returns to safety-sensitive duties? 40.365 Who issues public interest conducting an alcohol confirmation test? exclusions on behalf of the Department? 40.305 Must an employer return an 40.255 What happens next after the alcohol 40.367 Who initiates the public interest confirmation test result? employee to safety-sensitive functions following a SAP determination that the exclusion process? 40.257 When BATs report test results of employee demonstrated successful 40.369 Does a service agent have the 0.02 or greater to employers, what is an compliance with the SAP’s opportunity to correct a problem before employer to do? recommendation? becoming subject to a public interest exclusion? Subpart N—Problems in Alcohol Testing 40.307 What is the SAP’s function in prescribing the employee’s follow-up 40.371 How does the process leading to a 40.261 What is a refusal to take an alcohol tests? public interest exclusion begin? test, and what are its consequences? 40.309 What are the employer’s 40.373 How does a service agent contest the 40.263 What happens when an employee is responsibilities with respect to the SAP’s issuance of a public interest exclusion? unable to provide an adequate amount of directions for follow-up tests? 40.375 How does the Department make saliva for an alcohol screening test? 40.311 Are there any special instructions decisions in public interest exclusion 40.265 What happens when an employee is regarding SAP reports to employers and matters? unable to provide a sufficient amount of SAP records? 40.377 How does the Department notify breath for an alcohol test? 40.313 Where is other information on SAP service agents and employers about 40.267 What problems always cause an functions found in this regulation? decisions on public interest exclusions? alcohol test to be canceled? 40.379 To whom does a public interest 40.269 What problems cause an alcohol test Subpart P—Confidentiality and Release of exclusion apply? to be canceled unless they are corrected? Information 40.381 What is the effect of a public interest 40.271 How are alcohol testing problems 40.321 What is the general confidentiality exclusion? corrected? rule for drug and alcohol test 40.383 How long does a public interest 40.273 What is the effect of a canceled information? exclusion stay in effect? alcohol test? 40.323 Can program participants release 40.385 What is the role of the Inspector 40.275 What is the effect of procedural drug or alcohol test information in General’s office? problems that are not sufficient to cancel connection with legal proceedings? Appendix A to Part 40—DOT Standards for an alcohol test? 40.325 May service agents transfer drug or Urine Collection Kits 40.277 Are alcohol tests other than saliva or alcohol test information to one another? Appendix B to Part 40—DOT Drug Testing breath for screening and breath for 40.327 When may the MRO release medical Semi-annual Laboratory Report confirmation permitted under these information gathered in the verification Appendix C to Part 40—CCF Copies Needed regulations? process? for the MRO Review Subpart O—Return-to-Duty Process and Role 40.329 May an MRO provide information Appendix D to Part 40—DOT Drug Testing of Substance Abuse Professionals (SAPs) about a positive drug test result to MRO Report Summary another employer? Appendix E to Part 40—Report Format For 40.281 Who is qualified to act as a SAP? 40.331 What information must laboratories Split Specimen Failure To Reconfirm 40.283 When is a SAP evaluation required? and other service agents release to Appendix F to Part 40—SAP Equivalency 40.285 What information is an employer employees? Requirements for Certification required to provide concerning SAP 40.333 To what additional parties must Organizations services to an employee who has a DOT employers and service agents release drug and alcohol regulation violation? Authority: 49 U.S.C. 102, 301, 322, 5331, information? 40.287 Are employers required to provide 20140, 31306, and 45101 et seq. 40.335 What records must employers keep? SAP and treatment services to employees?

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Subpart AÐAdministrative Provisions for alcohol, and may not be used for quantitative data of the alcohol confirmation tests. concentration. § 40.1 Whom does this regulation cover? Alcohol use. The drinking or Confirmed drug test. A confirmation (a) This part tells all parties required swallowing of any beverage, liquid test result received by an MRO from a to conduct drug and alcohol tests by mixture or preparation (including any laboratory. Department of Transportation (DOT) medication), containing alcohol. Designated employer representative agency regulations how to conduct these Blind specimen or blind performance (DER). An employer or individual(s) tests and what procedures to use. test specimen. A urine specimen identified by the employer as able to (b) This part covers transportation submitted to a laboratory for quality receive communications and test results employers, safety-sensitive control testing purposes, with a directly from medical review officers, transportation employees (including fictitious identifier, so that the BATs, screening test technicians, self-employed individuals and laboratory cannot distinguish it from collectors, and substance abuse volunteers), and everyone who provides employee specimens, and which is professionals, and who is authorized to drug or alcohol testing services to them, spiked with known quantities of take immediate actions to remove including, but not limited to, consortia, specific drugs or which is blank, employees from safety-sensitive duties third-party administrators, medical containing no drugs. and to make required decisions in the review officers (MROs), substance abuse Breath Alcohol Technician (BAT). A testing and evaluation processes. professionals (SAPs), urine collectors, trained and certified individual who Service agents cannot serve as DERs, breath alcohol technicians (BATs), instructs and assists individuals in the except where a DOT agency has issued screening test technicians (STTs), and alcohol testing process and operates an regulations permitting them to do so. Dilute specimen. A urine specimen laboratories. evidential breath testing device. whose creatinine and specific gravity Canceled test. In drug testing, a drug § 40.3 What do the terms used in this values are diminished by the employee test that has been declared invalid by an regulation mean? through the introduction of fluid MRO. A canceled test is neither a When the terms listed in this section (usually water) into the specimen either positive nor a negative test. For occur in this part, they have the directly or through excessive purposes of this part, a specimen that following meanings: consumption of fluids. Adulterated specimen. A urine has been rejected for testing by a DOT. Department of Transportation or specimen into which the employee has laboratory is treated the same as a any designee of the Secretary, introduced a foreign substance. canceled test. In alcohol testing, a test Department of Transportation. Affiliate. Persons are affiliates of one that is deemed to have a problem DOT agency. Any agency of the another if, directly or indirectly, one identified which cannot be or has not Department of Transportation controls or has the power to control the been corrected. administering regulations related to other, or a third party controls or has the Chain of custody. The procedure used drug or alcohol testing, including but power to control both. Indicia of control to document the handling of the urine not limited to the United States Coast include, but are not limited to: specimen from the time the employee Guard (for drug testing purposes only), interlocking management or ownership, gives the specimen to the collector until the Federal Aviation Administration, identity of shared interest among family the specimen is destroyed. This the Federal Railroad Administration, the members, shared facilities or procedure uses the Federal Drug Testing Federal Motor Carrier Safety equipment, common use of employees, Custody and Control Form (CCF). Administration, the Federal Transit or a business entity organization Collection container. An authorized Administration, the Research and following the issuance of a public container into which the employee Special Programs Administration, and interest exclusion which has the same urinates to provide the specimen for a the Office of the Secretary. This term or similar management, ownership, or drug test. includes a designee of the DOT agency. principal employees as the service agent Collection site. A place selected by Drugs. The drugs for which tests are concerning whom a public interest the employer where employees present required under this part and DOT exclusion is in effect. themselves for the purpose of providing agency regulations are marijuana, Air blank. A reading by an evidential a urine specimen for a drug test and/or cocaine, amphetamines, Phencyclidine breath testing device of ambient air a breath or saliva specimen for an (PCP), and opiates. containing no alcohol. (In evidential alcohol test. Employee. An individual who is breath testing devices using gas Collector. A trained individual who designated in a DOT agency regulation chromatography technology, a reading instructs and assists employees at a as subject to drug testing and/or alcohol of the device’s internal standard.) collection site, who receives and makes testing. The term includes individuals Alcohol. The intoxicating agent in an initial inspection of the urine currently occupying safety-sensitive beverage alcohol, ethyl alcohol or other specimen provided by those employees, positions designated in DOT agency low molecular weight alcohols, and who initiates and completes the regulations and applicants for including methyl or isopropyl alcohol. CCF. employment subject to pre-employment Alcohol concentration. The alcohol in Confirmation (or confirmatory) test. In testing. a volume of breath expressed in terms drug testing: the test conducted by gas Employer. An entity employing one or of grams of alcohol per 210 liters of chromatography/mass spectrometry more employees (including an breath as indicated by a breath test (GC/MS) to confirm the presence of individual who is self-employed) that is under this part. drug(s) or drug metabolite(s) detected by subject to DOT agency regulations Alcohol screening device (ASD). A the screening test at concentrations at or requiring compliance with this part. The breath or saliva device, other than an above cutoff concentrations established term includes an employer’s officers, EBT, that is approved by the National by the Department of Health and Human representatives, and management Highway Traffic Safety Administration Services. In alcohol testing: a second personnel. The term, as used in this (NHTSA) and placed on a conforming test using an evidential breath testing document, references the entity products list (CPL) for such devices. An device, following a screening test with responsible for overall implementation ASD can be used only for screening tests a result of 0.02 or greater, that provides of DOT drug and alcohol program

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In drug testing: the employer(s) for which he or she employers, except where a DOT agency urine specimen that is opened and evaluates employees who have engaged has issued regulations so designating tested by a first laboratory to determine in a DOT drug and alcohol regulation them. whether the employee has drug(s) or violation. Evidential Breath Testing Device drug metabolite(s) in his or her system. Substituted specimen. A specimen, (EBT). A device approved by the The primary specimen is distinguished not consistent with human urine, that National Highway Traffic Safety from the split specimen, defined in this has been submitted by the employee in Administration (NHTSA) for the section. place of his or her own urine. evidential testing of breath, placed on Screening test (or initial test). In drug Verified drug test. A certified NHTSA’s Conforming Products List testing: an immunoassay screen to laboratory drug test result that has (CPL) for ‘‘Evidential Breath eliminate ‘‘negative’’ urine specimens undergone review and final Measurement Devices’’ and identified from further analysis. In alcohol testing: determination by the MRO. on the CPL as conforming with the an analytic procedure to determine model specifications available from whether an employee may have a § 40.5 Who issues authoritative NHTSA, Office of Traffic Injury Control prohibited concentration of alcohol in a interpretations of this regulation? Programs. breath or saliva specimen. The Department of Transportation HHS. The Department of Health and Screening Test Technician (STT). A (DOT) Office of Drug and Alcohol Policy Human Services or any designee of the trained individual who instructs and and Compliance (ODAPC) and the DOT Secretary, Department of Health and assists individuals in the alcohol testing Office of General Counsel (OGC) Human Services. process and operates an alcohol provide written interpretations of the Laboratory. Any laboratory which screening device. provisions of this part. Such meets the minimum standards to engage Secretary. The Secretary of interpretations are the only official and in urine drug testing, as set forth in Transportation or the Secretary’s authoritative interpretations of DOT Subpart C of the HHS Mandatory designee. concerning the provisions of this part. Guidelines for Federal Workplace Drug Service agents. All parties who DOT agencies may incorporate ODAPC/ Testing Programs. To participate in the provide services to employers in OGC interpretations in written guidance DOT drug testing program, laboratories connection with DOT drug and alcohol they transmit to parties they regulate. must be certified by HHS under the testing requirements. This includes, but Only Part 40 interpretations issued after National Laboratory Certification is not limited to, collection site [effective date of the final regulation] Program or, in the case of foreign personnel, BATs and STTs, laboratories, shall be considered valid and binding. laboratories, be approved for MROs, substance abuse professionals, participation by DOT. (The HHS consortia, and third-party § 40.7 How are exemptions granted from Mandatory Guidelines for Federal administrators. this regulation? Workplace Drug Testing Programs is Shipping container. A container that (a) If you want an exemption from any available at www.health.org/workpl.htm. is used for transporting and protecting provision of this part, you must request and at Division of Workplace Programs, one or more urine specimen bottle(s) it in writing from the Office of the 5600 Fishers Lane, Rockwall II, Suite and associated documents from the Secretary of Transportation, under the 815, Rockville, MD 20856.) collection site to the laboratory. provisions and standards of 49 CFR part Medical Review Officer (MRO). A Specimen bottle. The bottle that, after 5. The address to send requests for an licensed physician (doctor of medicine being sealed and labeled according to exemption is the following: Department or osteopathy) responsible for receiving the procedures in this part, is used to of Transportation, Assistant General laboratory results generated by an hold the urine specimen during Counsel for Regulation and employer’s drug testing program who transportation to the laboratory. Enforcement, 400 7th Street, SW., Room has knowledge of substance abuse Split specimen. A part of the urine 10424, Washington, DC 20590. disorders and has appropriate training specimen that is sent to the first (b) Under the standards of 49 CFR to interpret and evaluate an individual’s laboratory and retained unopened, and part 5, we will grant the request only if confirmed positive or ‘‘unsuitable’’ drug which will be transported to a second the request documents special or test results together with his or her laboratory in the event that the exceptional circumstances, not likely to medical history and any other relevant employee requests it be tested following be generally applicable, and not biomedical information. The MRO is a verified positive test of the primary contemplated in connection with the also required to have a working specimen. rulemaking that established this part, knowledge of this part and the DOT Substance Abuse Professional (SAP). that make your compliance with a agency regulations applicable to the A licensed physician (doctor of specific provision of this part employer(s) for which he or she medicine or osteopathy); or a licensed impracticable. evaluates drug test results. or certified psychologist, social worker, (c) As the party granted the Notice. In the context of a public or employee assistance professional; or exemption, you must agree to take steps interest exclusion proceeding, a written an addiction counselor (certified by the we specify to comply with the intent of communication served in person or sent National Association of Alcoholism and the provision from which an exemption by certified mail, return receipt Drug Abuse Counselors Certification is granted. requested, or its equivalent, to the last Commission or by the International (d) We will issue written responses to known address of a service agent, its Certification Reciprocity Consortium / all exemption requests. identified counsel, or agent for the Alcohol & Other Drug Abuse). All must (e) When the Office of the Secretary service of process, or any partner, have knowledge of and clinical grants or denies an exemption request, officer, director, owner, or joint venturer experience in the diagnosis and the decision is implemented as to

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(b) As an employer who has use a service agent to perform the tasks employees subject to both DOT agency needed to comply with this part and Subpart BÐParticipant drug and alcohol testing regulations and DOT agency drug and alcohol testing Responsibilities the NRC’s drug and alcohol testing regulations. regulations, you are required to collect § 40.11 What are the basic responsibilities (b) As an employer, you must ensure of employers under this regulation? and maintain all drug and alcohol that the service agent you use performs testing information, in accordance with these tasks in accordance with DOT (a) As an employer, you are either DOT or NRC regulations, and agency regulations. responsible for making sure that make arrangements for that information (c) If a service agent fails to comply everything required by this part occurs. to be available for inspection or with DOT agency regulations, a DOT (b) You must conduct DOT tests of submission to representatives of either agency can subject you and/or the your employees in accordance with this agency upon request. service agent to sanctions for the part. This responsibility includes noncompliance of a service agent who ensuring that all service agents you use § 40.15 If an employer conducts non-DOT works for you. comply with all requirements in this testing, under its own authority, as well as part. DOT testing, what Federal restrictions apply § 40.19 May service agents impose (c) You are responsible for all actions for the two tests? requirements on employers that DOT of your officials, representatives, and (a) Non-DOT tests must be completely agency regulations do not specifically agents in carrying out the requirements separate from DOT tests in all respects. authorize? of the DOT agency regulations. (b) The DOT tests must take priority No. As a service agent, you must not (d) You must include in each contract and must be conducted and completed impose conditions or requirements on or agreement you enter into, renew, or before a concurrent non-DOT test is employers that DOT regulations do not modify with a service agent, the begun. authorize. For example, as a consortium following statement: (c) No tests may be performed on DOT or third-party administrator serving urine or breath specimens other than Compliance With 49 CFR Part 40 employers in the pipeline or motor those specifically authorized by this carrier industry, you may not require [Name of service agent] agrees to provide part or DOT agency regulations. For employers to have provisions in their all services concerning drug and/or alcohol example, you may not test a DOT urine tests required by Department of DOT plans that RSPA or FMCSA specimen for additional drugs, and a regulations do not require. Transportation regulations in full compliance laboratory may not make a DOT urine with the provisions of 49 CFR Part 40. Compliance with Part 40 is a mandatory term specimen available for a DNA test or § 40.21 Do service agents have to comply of this agreement. If the Department of other types of specimen identity testing. with DOT drug and alcohol testing Transportation determines that [name of (d) The single exception to paragraph requirements? service agent] is in noncompliance with Part (c) of this section is when a DOT drug (a) As a service agent, you must 40 with respect to DOT regulated drug and test collection is conducted as part of a comply with this part and the DOT alcohol programs, this agreement will be physical examination required by DOT agency drug and alcohol testing terminated for cause by the employer unless agency regulations. It is permissible to regulations that apply to the the noncompliance is corrected. conduct required medical tests related transportation employer for whom you (e) If there is not a written agreement, to this physical examination on any are providing services. you must ensure that the statement in urine remaining in the collection (b) If you do not comply, DOT may paragraph (d) of this section is container after the drug test urine make you ineligible to participate in stipulated to in writing and signed by specimen has been sealed into the DOT drug and alcohol testing. DOT will the service agent. specimen bottles. use the procedures in Subpart R of this (f) The statement in paragraph (d) of (e) No one may change or disregard part to make decisions in eligibility this section shall be signed by the the results of DOT tests based on the cases. service agent. results of non-DOT tests. For example, an employer may not disregard a Subpart CÐUrine Collection Personnel § 40.13 If an employer has employees verified positive DOT drug test result § 40.31 Who collects urine specimens for subject to testing under both DOT and the because the employee presents a Nuclear Regulatory Commission (NRC) DOT drug testing? negative test result from a blood or urine regulations, what procedures does it (a) Collectors meeting the specimen collected by the employee’s follow? requirements of this subpart are the only physician or a DNA test result (a) As an employer who has persons authorized to collect urine purporting to question the identity of employees subject to both DOT agency specimens for DOT drug testing. drug and alcohol testing regulations and the DOT specimen. (f) Employers are prohibited from (b) A collector must be trained to the NRC’s drug and alcohol testing using the Federal Drug Testing Custody proficiency in correctly carrying out the regulations, you may use either and Control Form (CCF) and the DOT urine collection requirements of this procedures in this part or procedures in Breath Alcohol Testing Form (BATF) in part. NRC regulations to conduct DOT- (c) As the direct supervisor of a your non-DOT drug and alcohol testing required tests of those employees. For particular employee, you may not act as programs. This prohibition includes the example, suppose you are a nuclear the collector when that employee is use of the DOT forms with references to power plant that employs technicians tested, unless no other collector is DOT programs and agencies crossed out. subject to NRC testing. Some of these available and you are permitted to do so technicians are also truck drivers who § 40.17 Can an employer use a service under DOT agency regulations. are subject to testing under FMCSA agent to meet DOT drug and alcohol testing (d) You may not act as the collector regulations. You can follow either this requirements? for a particular employee if you work for part or NRC procedural regulations to (a) As an employer, you are held fully a HHS-certified laboratory (e.g., as a test these double-covered employees, responsible for compliance with this technician or accessioner) and could

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(1) Read the drug testing procedures the collection procedures of this part by in this part and the current ‘‘DOT Urine § 40.73—role in split specimen collections. completing three consecutive error-free § 40.75—chain of custody completion and Specimen Collection Procedures trial collections before you conduct finishing the collection process. Guidelines’’ and attest in writing to your another DOT collection of a safety- § 40.191—action in case of refusals to take understanding of them. (The ‘‘DOT sensitive employee. test. Urine Specimen Collection Procedures (iv) The person providing the § 40.193—action in ‘‘shy bladder’’ situations. Guidelines’’ is available at ODAPC, § 40.197–40.199—collector errors in tests, instruction will monitor, evaluate, and Department of Transportation, 400 7th effects, and means of correction. attest whether or not the trial collections Street, SW., Room 10403, Washington are ‘‘error-free.’’ Subpart DÐCollection Sites, Forms, DC, 20590.) (b) As a collector, you must be (2) Be trained to proficiency on Equipment and Supplies Used in DOT retrained in the elements of paragraph collection procedures in this part by Urine Collections (a) of this section by [date one year from another person(s) sufficiently the effective date of the final regulation], § 40.41 Where does a urine collection for knowledgeable in the applicable a DOT drug test take place? collection procedures of this part to be or two years from the date you became able to evaluate the collector’s a collector, whichever is later, and once (a) A urine collection for a DOT drug performance. every two years, thereafter. test must take place in a collection site (i) The person providing the (c) As a collector, you must maintain meeting the requirements of this instruction must provide written all documentation of training/retraining section. documentation that you have as long as you serve as a collector. (b) If you are operating a collection site, you must make sure that it meets demonstrated proficiency in collections § 40.35 What requirements must under this part by your completing five organizations employing collectors meet? the security requirements of § 40.43. (c) If you are operating a collection consecutive error-free trial collections. This section becomes effective [date site, you must have all needed (A) The five trial collections must six months from the effective date of the personnel, materials, equipment, include both uneventful and final regulation]. facilities and supervision to provide for problematic examples. (a) As an organization employing the (B) In addition to two uneventful the collection, temporary storage, and collector (e.g., a transportation collection scenarios, one must address shipping of urine specimens to a employer, third-party administrator, insufficient quantity of urine, one the laboratory, and a suitable clean surface occupational health clinic), you must temperature out of range, and one in for writing. maintain in your files the following which the employee refuses to sign the information: (d) Your collection site must include CCF. a closed room within which urination (ii) The person providing the (1) A signed statement by the collector that he or she has read and understood can occur. instruction will monitor, evaluate, and (1) The room must provide visual and attest whether or not the trial collections the drug testing procedures in this part and the current ‘‘DOT Urine Specimen aural privacy to the employee and a are ‘‘error-free.’’ toilet for completion of urination (iii) The person providing the Collection Procedures Guidelines’; and (2) A signed statement by an official of (unless a single-use collection container instruction must emphasize that you are with sufficient capacity to contain the responsible for maintaining the integrity the organization that the collector has received training/retraining and has complete void is used). of the collection process, ensuring the (2) Whenever available, the closed privacy of employees being tested, and demonstrated proficiency as required by this part. room must be a single-toilet room with avoiding conduct or statements that a full-length privacy door. could be viewed as offensive or (b) You must retain these signed (3) No one but the employee may be inappropriate. statements as long as the person (3) Meet the requirements of performs collector functions for the present in the room during the paragraph (b)(2) of this section by [date organization and for 2 years after the collection, except for the observer in the six months from the effective date of the person ceases to perform these functions event of a directly observed collection. final regulation], if you were a collector for the organization. (e) If you are operating a collection prior to [effective date of the final (c) You must provide to collectors the site, you must have a source of water for regulation]. Meet the requirements of name and telephone number of a washing hands, that, if practicable, paragraph (b)(2) of this section prior to designated employer representative should be external to the closed room your first collection, if you become a (DER) to contact about any problems or where urination occurs. If a water collector after [effective date of the final issues that may arise during the source is not available, you may meet regulation]. collection process. this requirement by providing moist (4) Receive additional training, as towelettes outside the closed room. § 40.37 Where is other information on the (f) If a collection site fully meeting all needed, to ensure proficiency as the role of collectors found in this regulation? technology you use changes. the visual and aural privacy (5) Be retrained to proficiency if you You can find other information on the requirements and security requirements make a mistake in the collection process role and functions of collectors in the of paragraph (d) of this section is not that has caused a test to be canceled. following sections of this part: readily available, the collection may (i) This retraining must be provided § 40.1—coverage. take place at a site that partially meets and your proficiency documented in § 40.3—definition. these requirements.

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(1) Such a site is one that provides distraction of the collection site person purposes necessary to the collection substantial visual privacy but not aural and limited-access signs are posted. process. privacy (e.g., a toilet stall with a partial- (d) As a collector, you must take the (2) The CCF must include the length door in a multi-stall restroom) following additional steps to ensure employer’s name, address and and meets all other requirements of this security during the collection process: telephone number, which may be section. (1) To avoid distraction that could preprinted, typed, or handwritten. In (2) If you use a multi-stall restroom, compromise security, make sure you addition, a consortium’s or third-party you must secure all water sources and have only one employee under your administrator’s name, address, and place bluing agent in all toilets or secure supervision at any time. telephone number may be included. the toilets to prevent access. (2) To the greatest extent you can, (3) Instead of printing the entire pages (3) Such a site may be used only for keep an employee’s collection container of the CCF in the colors specified by monitored collections (see § 40.69). In within view of both you and the HHS, you may use white pages with this case, the site must afford aural employee before and after the employee clearly discernible borders in the privacy to the employee to the greatest has urinated. specified color for each page. extent practicable. (3) Make sure you are the only person (4) As an employer, you may add, in (g) A collection site can be in a in addition to the employee who the ‘‘Remarks’’ section of the CCF, the medical facility, a mobile facility (e.g., handles specimens before they are name of the DOT agency under whose a van), a dedicated collection facility, or secured in the shipping container. authority the test occurred. any other location meeting the (4) In the time between when the (5) As a collector, you may use a CCF requirements of this section. employee gives you the specimen and with your name, address, and telephone the time you seal the specimen, remain number preprinted but under no § 40.43 What steps must collection sites within the collection site. circumstances are any signatures to be take to protect the security and integrity of (5) Maintain personal control over added before the collection event. urine collections? each specimen and CCF throughout the (c) Under no circumstances may the (a) Collectors and collection sites collection process. CCF transmit personal identifying must take the steps listed in this section (e) If you are operating a collection information about an employee (other to prevent unauthorized access which site, you must prevent unauthorized than a social security number or other could compromise the integrity of personnel from entering any part of the employee identification number) to a collections. site. laboratory. (b) As a collector, you must do the (1) The only people you are to treat (d) As the collector, you must make following before each collection: as authorized persons are employees sure that medical information about the (1) Secure any water sources or being tested, collectors and other employee (e.g., medications the otherwise make them unavailable to collection site workers, DERs, employee employee has taken) appears only on employees (e.g., turn off water inlet, representatives authorized by the the copy of the CCF given to the tape handles to prevent opening employer (e.g., employer policy; labor- employee. faucets); management agreement), and (e) As an employer outside the United (2) Make sure that the water in the representatives of DOT. States, you may use a foreign-language toilet is blue; (2) You must make sure that all (equivalent) version of the CCF (3) Make sure that no soap, authorized persons are under the approved by ODAPC (e.g., in French for disinfectants, cleaning agents, or other supervision of a collector at all times use in Canada or Spanish for use in possible adulterants are present; when permitted into the site. Mexico). (4) Inspect the site to make sure that (3) You may remove any person who no foreign or unauthorized substances obstructs, interferes with, or causes a § 40.47 May employers use the CCF for are present; non-DOT collections or non-Federal forms delay in the collection process. for DOT collections? (5) Tape or otherwise secure shut any (4) You must make sure that no one movable toilet tank top, or put bluing in except the employee, collector, and (a) No. As an employer, you are the tank; monitor or direct observer enters the prohibited from using the CCF for non- (6) Make sure that undetected access room in which urination occurs. DOT urine collections. You are also (e.g., through a door not in your view) (f) If you are operating a collection prohibited from using non-Federal is not possible; site, you must minimize the number of forms for DOT urine collections. Doing (7) Secure areas and items (e.g., persons handling specimens. either subjects you to enforcement ledges, trash receptacles, paper towel action under DOT agency regulations. holders, under-sink areas) that appear § 40.45 What form is used to document a (b) In the rare case where the suitable for concealing contaminants; DOT urine collection? collector, either by mistake, or as the and (a) The Federal Drug Testing Custody only means to conduct a test under (8) Recheck items in paragraphs (b) (1) and Control Form (CCF) must be used difficult circumstances (e.g., post- through (7) of this section following to document every urine collection accident test with insufficient time to each collection to ensure the site’s required by the DOT drug testing obtain the CCF), uses a non-Federal continued integrity. program. The CCF must be a seven-part form for a DOT collection, the use of a (c) If the collection site uses a facility carbonless manifold form. (The CCF is non-Federal forms does not, in and of normally used for other purposes, like a available at U.S. Government Printing itself, present a reason for the laboratory public rest room or hospital examining Office, Superintendent of Documents, to reject the specimen for testing or for room, you must, as a collector, also P.O. Box 371954, Pittsburgh, PA 15250– an MRO to cancel the result. However, make sure before the collection that: 7954.) if the laboratory discovers use of the (1) Access to collection materials and (b) As a participant in the DOT drug incorrect form, they must obtain a specimens is effectively restricted; and testing program, you may not modify or signed statement from the collector (2) The facility is secured against revise the CCF except as follows: stating the reason why the CCF was not access during the procedure to ensure (1) You may include other used for the DOT collection. The MRO privacy to the employee and prevent information needed for billing or other must accomplish this if use of the wrong

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Your part. identification must include your name § 40.63 What steps does the collector take and your employer’s name, address, and in the collection process before the § 40.51 What materials are used to send employee provides a urine specimen? urine specimens to the laboratory? telephone number but does not have to (a) A shipping container (e.g., include your picture, address, or As the collector, you must take the standard courier cardboard box, small telephone number. following steps before the employee cardboard box) must be used that (e) Explain the basic collection provides the urine specimen: procedure to the employee, including adequately protects the specimen bottles (a) Complete Step 1 of the CCF. showing the employee the instructions from shipment damage in the transport (b) Instruct the employee to wash and of specimens from collection site to the on the back of the CCF. (f) Direct the employee to remove dry his or her hands at this time. You laboratory. outer clothing (e.g., coveralls, jacket, must tell the employee not to wash his (b) A shipping container box is not or her hands again until after delivering necessary if a laboratory courier hand- coat, hat) and to leave these garments and any briefcase, purse, or other the specimen to the collector. You must delivers the specimens from the not give the employee any further access collection site to the laboratory. personal belongings with you. (1) If the employee asks for a receipt to water or other materials that could be Subpart EÐDrug Test Collections for any belongings left with you, you used to adulterate or dilute a specimen. must provide one. (c) Select, or allow the employee to § 40.61 What are the preliminary steps in (2) You must allow the employee to select, an individually wrapped or the collection process? keep his or her wallet. sealed collection container from As the collector, you must take the (3) You must not ask the employee to collection kit materials. Either you or following steps before actually remove other clothing (e.g., shirts, the employee, with both of you present, beginning a collection: pants, dresses, underwear), to remove must unwrap or break the seal of the (a) If an employee does not show up all clothing, or to change into a hospital collection container. You must not at the collection site at the scheduled or examination gown (unless the urine unwrap or break the seal at this time on time, contact the DER to determine the collection is being accomplished any specimen bottle. You must not appropriate interval within which the simultaneously with a DOT agency- allow the employee to take anything employer has determined the employee authorized medical examination). from the collection kit into the room is authorized to arrive. If the employee’s (4) You must direct the employee to used for urination except the collection arrival is delayed beyond that time, you empty his or her pockets and display container. the items in them to ensure that no must notify the DER that the employee (d) Direct the employee to go into the items are present which could be used is a ‘‘no show.’’ room used for urination, provide a (b) Make sure that, when the to adulterate the specimen. If nothing is specimen of at least 45 mL (split employee enters the collection site, you there that can be used to adulterate a specimen collections) or 30 mL (single begin the testing process without delay. specimen, the employee can place the specimen collections), not flush the For example, you must not wait because items back into the pockets. The toilet, and return to you with the the employee says he or she is not ready employee must allow you to make this specimen as soon as the employee has or is unable to urinate or because an observation. completed the void. Except in the case authorized employer or employee (5) You must require an employee of an observed or a monitored collection representative is delayed in arriving. who is wearing boots (e.g., work boots (1) If the employee is also going to or cowboy boots) to remove the boots (see §§ 40.67 and 40.69), neither you nor take a DOT alcohol test, you must make and allow you to look into the boots to anyone else may go into the room with sure that the alcohol test is completed ensure that no items are present which the employee. before the urine collection process could be used to adulterate the (e) You must pay careful attention to begins. specimen. If nothing is there that can be the employee during the entire (2) If the employee needs medical used to adulterate a specimen, the collection process to note any conduct attention (e.g., an injured employee in employee can put the boots back on. that clearly indicates an attempt to an emergency medical facility who is The employee must allow you to make substitute or adulterate a specimen (e.g., required to have a post-accident test), do this observation. substitute urine in plain view or an not delay this treatment to collect a (6) If, in your duties under paragraphs attempt to bring into the collection site specimen. (f)(4) and (5) of this section, you find a an adulterant or urine substitute.). If you (3) You may not collect (e.g., by material or materials that could be used detect such conduct, you must direct means of catheterization) urine from an to alter a specimen, you must: that a collection take place immediately unconscious employee for purposes (i) If the material appears to be under direct observation (see § 40.67) drug test under this part. brought to the collection site with the and note the conduct and the fact that (c) Require the employee to provide intent to alter the specimen, conduct a the collection was observed in the positive identification. You must see a directly observed collection using direct ‘‘Remarks’’ section of the CCF. You photo ID issued by the employer or a observation procedures (see § 40.67); or must also, as soon as possible, inform Federal, state, or local government (ii) If the material appears to be the DER and collection site supervisor agency for this purpose. You may not inadvertently brought to the collection that the collection took place under accept faxes or photocopies of site, secure and maintain it until the direct observation and the reason for identification. Positive identification by collection process is completed and doing so.

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§ 40.65 What does the collector check for excessive foaming when shaken, smell the directly observed collection in the when the employee presents a specimen? of bleach), you must immediately ‘‘Remarks’’ section of the CCF. As a collector, you must check the conduct a new collection using direct (e) In a case where two specimens (or following when the employee gives the observation procedures (see § 40.67). sets of specimens, where the split collection container to you: (2) In a case where a specimen is specimen method of collection is used) (a) Sufficiency of specimen. You must collected under direct observation are being sent to the laboratory because check to make sure that the specimen because of showing signs of adulteration of suspected adulteration or substitution contains a sufficient amount of urine (45 or substitution, you must process both at the collection site, enter in the mL for a split specimen collection; 30 the original specimen and the specimen ‘‘Remarks’’ section of the CCF for each mL for a single specimen collection). collected using direct observation and specimen a notation to this effect (e.g., (1) If it does not, you must follow send them to the laboratory. This is true collection 1 of 2, or 2 of 2.). ‘‘shy bladder’’ procedures (see § 40.193). even in a case in which the original (f) As the collector, you must make (2) When you follow ‘‘shy bladder’’ specimen has insufficient volume but it sure that the observer is the same gender procedures, you must discard the shows signs of adulteration or as the employee. You must never permit original specimen, unless another substitution. an opposite gender person to act as the problem (i.e., temperature out of range, (3) In a case where the employee observer. The observer can be a different apparent adulteration) also exists. refuses to provide another specimen person from the collector and need not (3) You are never permitted to (see § 40.191(a)(3)) or does not provide be a qualified collector. combine urine collected from separate the requisite amount of urine (see (g) As the collector, if someone else is voids to create a specimen. § 40.193(b)(4)) under direct observation, to observe the collection, you must (b) Temperature. You must check the you must notify the DER. As soon as verbally instruct that person to follow temperature of the specimen no later you have notified the DER, you may procedures at paragraphs (h) and (i) of than four minutes after the employee discard the previous specimen. this section. If you, the collector, are the has given you the specimen. observer, you too must follow these (1) The acceptable temperature range § 40.67 When and how is a directly procedures. ° ° observed collection conducted? is 32–38 C/90–100 F. (h) As the observer, you must watch (2) You must determine the (a) As an employer you must direct an the employee urinate into the collection temperature of the specimen by reading immediate collection under direct container. Specifically, you are to watch the temperature strip attached to the observation with no advance notice to the urine go from the employee’s body collection container. the employee, if: into the collection container. (3) If the specimen temperature is (1) The laboratory reported a (i) As the observer but not the within the acceptable range, you must specimen as unsuitable for testing, and collector, you must not take the mark the ‘‘Yes’’ box on the CCF. the MRO reported to you that there was collection container from the employee, (4) If the specimen temperature is not an adequate medical explanation for but you must observe the specimen as outside the acceptable range, you must the unsuitability; or the employee takes it to the collector. mark the ‘‘No’’ box on the CCF. (2) The MRO reported to you that the (j) As the collector, when someone (5) If the specimen temperature is original positive test result had to be else has acted as the observer (e.g., in outside the acceptable range, you must canceled because the test of the split order to ensure a same gender observer), immediately conduct a new collection specimen was not performed. you must include the observer’s name in using the direct observation procedures (b) As an employer you may direct a the remarks section of the CCF. (see § 40.67). collection under direct observation of an (k) As the employee, if you decline to (6) In a case where a specimen is employee if: allow a directly observed collection collected under direct observation (1) The drug test is a return-to-duty required or permitted under this section because of the temperature being out of test or a follow-up test; or to occur, this is a refusal to test. range, you must process both the (2) The MRO reports that the original specimen and the specimen employee’s immediately prior drug test § 40.69 When and how is a monitored collected using direct observation and result was dilute. collection conducted? send them to the laboratory. This is true (c) As a collector, you must conduct (a) As a collector, you are permitted even in a case in which the original a collection under direct observation to conduct a monitored collection only specimen has insufficient volume but under the following circumstances if: if these conditions are met: the temperature is out of range. (1) You are directed by the DER to do (1) A collection site fully meeting all (7) In a case where the employee so (see paragraphs (a) and (b) of this the visual and aural privacy refuses to provide another specimen section); or requirements and security requirements (see § 40.191(a)(3)) or does not provide (2) You observed materials brought to of § 40.41(d) is not readily available; and the requisite amount of urine (see the collection site or employee conduct (2) The available collection site does § 40.193(b)(4)) under direct observation, clearly indicating an attempt to offer substantial visual privacy but not you must notify the DER. As soon as adulterate or substitute a specimen (see aural privacy (e.g., a toilet stall with a you have notified the DER, you may §§ 40.61(f)(6)(i) and 40.63(e)); or partial-length door in a multi-stall discard the previous specimen. (3) The temperature on the original restroom) and meets the other (c) Signs of adulteration or specimen was out of range (see requirements of § 40.41. substitution. You must inspect the § 40.65(b)(5)); or (b) No one is permitted to conduct a specimen for unusual color, presence of (4) The original specimen appeared to monitored collection under any other foreign objects or material, or other have been adulterated or substituted circumstances. signs of adulteration (e.g., if you notice (see § 40.65(c)(1)). (c) As the collector, you must enter any unusual odor). (d) As the collector, you must the reasons for conducting the (1) If it is apparent from this complete a new CCF for the directly monitored collection in the ‘‘Remarks’’ inspection that the employee has observed collection. You must enter the section of the CCF. adulterated or substituted the specimen reason (e.g., suspected adulteration, (d)(1) As the collector, you must (e.g., blue dye in the specimen, prior specimen dilute) for conducting secure the room being used for the

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(c) You, not the employee, must write indicating whether this was a split (2) You must also put bluing agent the date on the tamper-evident bottle specimen collection; printing your into the toilet’s water before the seal. name; recording the time and date of the collection takes place and direct the (d) You, not the employee, must seal collection; and signing the certification employee not to flush the toilet until the bottle by placing the tamper-evident statement. after giving the specimen to the bottle seal over the bottle cap/lid and (3) Sign the first line of the chain of collector. down the sides of the bottle. custody block of the CCF (Step 6), (e) As the collector, you must make (e) You must then make sure that the indicating that you received the sure that the monitor is the same gender employee initials the tamper-evident specimen from the employee, and print as the employee. You may permit an bottle seal for the purpose of certifying your name and the date. opposite gender person to act as the that the bottle contains the specimen he (4) Complete the second line of the monitor only if that person is a medical or she provided. chain of custody by printing and signing professional (e.g., nurse, doctor, (f) You must dispose of the extra your name in the ‘‘Specimen Released physician’s assistant). The monitor can tamper-evident bottle seal if it was By’’ block and completing the be a different person from the collector included in the collection kit or on the ‘‘Specimen Received By’’ block by and need not be a qualified collector. CCF. printing the specific name of the courier or shipping service and the date. You (f) As the collector, if someone else is § 40.73 How does the collector process a to monitor the collection, you must split specimen collection? must also complete the ‘‘Purpose of verbally instruct that person to follow Change’’ block to indicate the reason for As the collector, you must take the transfer (e.g., ‘‘shipment to lab’’). procedures at paragraph (g) of this following steps, in order, after the (5) Ensure that all copies of the CCF section. If you, the collector, are the employee brings the urine specimen to are legible and complete. monitor, you too must follow these you: (6) Remove Copy 5 of the CCF, give procedures. (a) You, not the employee, must—in it to the employee. (g) As the monitor, you must not the presence of the employee—first pour (7) Place the specimen bottle(s) and watch the employee urinate into the 30 mL of urine from the collection Copies 1 and 2 (plus Copy 3 in the case collection container. However, you must container into one specimen bottle, to of a split specimen collection) of the stand near the enclosure in which the be used for the primary specimen. CCF in the appropriate pouches of the collection is taking place and listen for (b) You, not the employee, must—in plastic bag. any sounds that could indicate an the presence of the employee—then (8) Using the tamper-evident seal for attempt to substitute or adulterate a pour at least 15 mL of urine from the the plastic bag, secure both pouches of specimen (e.g., opening of a plastic collection container into the second the plastic bag, initial the seal and enter package or tube, an object dropping to specimen bottle to be used for the split the collection date. the floor). If you hear such sounds or specimen. make other observations indicating an (c) You, not the employee, must place (9) Advise the employee that he or she attempt to substitute a specimen, there and secure (i.e., tighten or snap) the may leave the collection site. must be an additional collection under lids/caps on the bottles. (10) To prepare the sealed plastic bag direct observation (see §§ 40.63(e) and (d) You, not the employee, must write containing the specimens and CCFs for 40.67(c)). the date on the tamper-evident bottle shipment you must: (h) As the monitor, you must ensure seals. (i) Place the sealed plastic bag in a that the employee takes the collection (e) You, not the employee, must seal shipping container (e.g., standard container directly to the collector as the bottles by placing the tamper- courier box) designed to minimize the soon has the employee has exited the evident bottle seals over the bottle caps/ possibility of damage during shipment. enclosure. lids and down the sides of the bottles. (More than one sealed plastic bag can be (i) As the collector, when someone (f) You must then make sure that the placed into a single shipping container else has acted as the monitor (e.g., in employee initials the tamper-evident if you are doing multiple collections.) order to ensure a same gender monitor), bottle seals for the purpose of certifying (ii) Seal the container as appropriate. you must include the name of the that the bottles contain the specimens (iii) If a laboratory courier hand- monitor in the remarks section of the he or she provided. delivers the specimens from the CCF. collection site to the laboratory, prepare (j) As the employee, if you decline to § 40.75 How is the collection process the sealed plastic bag for shipment as permit a collection required or completed? directed by the courier process. permitted to be monitored under this (a) As the collector, you must do the (11) Send Copy 4 of the CCF to the section to be monitored, this is a refusal following things to complete the MRO and Copy 7 to the DER. Keep Copy to test. collection process: 6 for the period of time specified by (1) Direct the employee to read and applicable DOT agency regulations. § 40.71 How does the collector process a sign the certification statement on Copy (b) Each time a specimen is handled single specimen collection? 4 of the CCF and provide date of birth, or transferred, the date and purpose of As the collector, you must take the printed name, and day and evening the action, as well as the individual following steps, in order, after the contact telephone numbers. If the taking the action, must be documented employee brings the urine specimen to employee refuses to sign the CCF, you on the CCF. The following are you: must note this in the ‘‘Remarks’’ section exceptions to this general rule: (a) You, not the employee, must—in of the CCF. (1) The activity of couriers, express the employee’s presence—pour at least (2) Complete the collector carriers, postal service personnel, and 30mL of urine from the collection certification section of the CCF (Step 5) other persons who are involved only container into the specimen bottle. by printing the name, address, and with the transportation of the specimen

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The provisions of vice versa) if: expeditiously as possible, the same day § 40.75(b) apply to your use of chain of (i) The primary specimen appears to preferably. You must also make sure custody documentation. have leaked out of its sealed bottle and that all copies of the CCF are sent to the (b) Inspect each specimen and CCF for the laboratory believes a sufficient persons designated on the bottom of the the following ‘‘fatal flaws’’ and take the amount urine exists in the split CCF as soon as the specimen is sent to appropriate reporting actions outlined specimen to conduct all appropriate the laboratory. in § 40.95(d)(4): primary laboratory testing; or (1) The specimen ID numbers on the (ii) The primary specimen is labeled Subpart FÐDrug Testing Laboratories specimen bottle and the CCF do not as Bottle B, and the split specimen as match; Bottle A; or § 40.81 What laboratories may be used for (2) There is no specimen ID number (iii) The laboratory opens the split DOT drug testing? on the specimen bottle; specimen instead of the primary (a) As a drug testing laboratory (3) The specimen bottle seal is broken specimen, the primary specimen located in the U.S., you are permitted to or shows evidence of tampering (unless remains sealed, and the laboratory participate in DOT drug testing only if a split specimen can be redesignated, believes a sufficient amount of urine you are certified by HHS under the see paragraph (f) of this section); and exists in the split specimen to conduct National Laboratory Certification (4) There is insufficient amount of all appropriate primary laboratory Program (NLCP). urine in the primary or single specimen testing; or (b) As a drug testing laboratory bottle for analysis and any necessary (iv) The primary specimen seal is located outside of the U.S. which is not reanalysis for quality control (unless the broken but the split specimen remains certified by HHS under the NLCP, you specimens can be redesignated, see sealed and the laboratory believes a are permitted to participate in DOT drug paragraph (f) of this section) and, in the sufficient amount of urine exists in the testing only if: case of a single specimen, split specimen to conduct all (1) The DOT, based on a written reconfirmation of results. appropriate primary laboratory testing. recommendation from HHS, has (c) Inspect each specimen and CCF for You must also follow appropriate certified your laboratory as meeting the following ‘‘correctable flaws’’ and procedures outlined in § 40.175(b) HHS laboratory certification standards take the appropriate actions as noted in regarding the unavailability of the split or deemed your laboratory fully § 40.203(b): specimen for testing. (1) The collector’s signature is omitted equivalent to a laboratory meeting HHS (2) In situations outlined in paragraph on the certification statement on the laboratory certification standards; or (f)(1) of this section, the laboratory shall CCF. mark through the ‘‘A’’ and write ‘‘B,’’ (2) The DOT, based on a written (2) The chain of custody block on the recommendation from HHS, has then initial and date the change. A CCF is incomplete. corresponding change shall be made to recognized a foreign certifying (3) The employee’s social security the other bottle by marking through the organization as having equivalent number or ID number is omitted from ‘‘B’’ and writing ‘‘A,’’ and initialing and laboratory certification standards and the CCF, unless the employee’s refusal dating the change. A notation shall be procedures to those of HHS, and the to provide the information is noted in made on the original CCF (Copy 1) and foreign certifying organization has the ‘‘Remarks’’ section. on the split specimen copy (Copy 3). certified your laboratory under those (d) Inspect each specimen for integrity (g) Comply with all applicable equivalent standards and procedures. and consistency (e.g., foreign material or provisions of the HHS Guidelines (c) As a laboratory participating in the color differences between the primary concerning accessioning and processing DOT drug testing program, you must and the split specimens). comply with the requirements of this (1) If, as a result of your receipt- of urine drug specimens. part. You must also comply with all inspection protocol, you note that the § 40.85 What drugs do laboratories test applicable requirements of HHS in primary specimen contains a visible for? testing DOT specimens, whether or not foreign material and you are unable to As a laboratory, you must test for the the HHS requirements are explicitly test the specimen, take appropriate following five drugs or classes of drugs stated in this part. reporting actions outlined in in a DOT drug test. You must not test (d) If DOT determines that you are in § 40.95(d)(3) and (4)(viii). ‘‘DOT specimens’’ for any other drugs. noncompliance with this part, you will (2) If, as a result of your receipt- (a) Marijuana metabolites. be ineligible to participate in the DOT inspection protocol, you note that the (b) Cocaine metabolites. drug testing program, and employers primary specimen shows a marked color (c) Amphetamines. covered by DOT agency regulations will difference (e.g., light vs. dark, blue vs. (d) Opiate metabolites. be prohibited from using your services yellow) from the split specimen, do not (e) Phencyclidine (PCP). for DOT drug testing. You will be test the specimen but take appropriate ineligible to participate under these reporting actions outlined in § 40.87 What methods do laboratories use circumstances even if you continue to § 40.95(d)(3) and (4)(viii). for screening and confirmation tests? meet the requirements of paragraph (a) (e) If the CCF is marked indicating As a laboratory, you must use the or (b) of this section. that a split specimen collection was following methods for a DOT drug test.

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You may not use any other testing (b) For the confirmation test, you following chart for screening and methods. must use gas chromatography/mass confirmation tests. All cutoff (a) For the screening test, you must spectrometry (GC/MS) and perform a concentrations are expressed in use an immunoassay test that meets quantitative analysis. nanograms per milliliter (ng/mL). The Food and Drug Administration chart follows: requirements for commercial § 40.89 What are the cutoff concentrations distribution, and has had its application for screening and confirmation tests? in the laboratory approved by HHS (a) As a laboratory, you must use the inspection criteria or validation. cutoff concentrations displayed in the

Type of drug Screening test Confirmation test

(1) Marijuana metabolites ...... 50 ...... (i) Delta-9-Tretrahydrocannabinol-9-carbolic acid (THC) ...... 15 (2) Cocaine metabolites ...... 300 ...... (i) Benzoylecgonine ...... 150 (3) Phencyclidine (PCP) ...... 25 25 (4) Amphetamines ...... 1000 ...... (i) Amphetamine ...... 500 (ii) Methamphetamine ...... 500 (Specimen must also contain amphetamine at a concentration greater than or equal to 200 ng/mL.) (5) Opiate metabolites ...... 2000 ...... (i) Codeine ...... 2000 (ii) Morphine ...... 2000 (Test for 6-acetylmorphine (6±AM) in the specimen) (iii) 6-acetylmorphine (6±AM) ...... 10 (Conduct this test only when specimen contains morphine at a concentration greater than or equal to 2000 ng/mL.)

(b) On a screening test, you must identify the interfering substance/ (c) For substituted specimens, at a report a result below the cutoff adulterant. If you are unable to identify minimum, creatinine must be measured concentration as negative. If the result is it, you may send the specimen to by at least one quantitative procedure at or above the cutoff concentration, you another HHS certified laboratory that on two different aliquots both utilizing must conduct a confirmation test. has the capability of doing so. Such the specified cutoff of 5 mg/dL. At a (c) On a confirmation test, you must specimen transfers must be documented minimum, specific gravity must be report a result below the cutoff with appropriate chains of custody. performed on one of these aliquots concentration as negative and a result at (b) Specimen validity must be utilizing the specified cutoffs of 1.001 or or above the cutoff concentration as conducted on the split specimen if the 1.020. confirmed positive. split specimen fails to reconfirm the (1) As a laboratory you must consider presence of the drug/analyte that was § 40.91 What additional testing must be the primary specimen to be substituted done by laboratories on primary determined to be present in the primary (i.e., the specimen does not exhibit the specimens? specimen. clinical signs or characteristics (c) You must not use the split (a) As a laboratory, you must subject associated with normal human urine) if specimen to verify the primary ≤ each primary specimen to specimen the creatinine concentration is 5 mg/dL specimen results for a substituted or ≤ validity testing. Specimen validity and the specific gravity is 1.001 or adulterated result. ≤1.020. testing is the evaluation to determine if (d) You must make every effort to the specimen is consistent with normal (2) [Reserved] conserve the specimen volume for (d) For adulterated specimens, human urine. Specifically, you will possible future testing. determine if certain adulterants or concerning pH and nitrites, at a foreign substances were added to the § 40.93 What methods and criteria do minimum, two procedures must be urine, if the urine was diluted, or if the laboratories use for validity testing? performed for pH and nitrites. One specimen was substituted. (a) Specimen validity can be procedure must be quantitative and (1) Each primary specimen must be determined by establishing parameters utilize the specified cutoff. The second tested for creatinine, pH, and nitrite that are consistent with normal human procedure may be qualitative, must be at concentration. You must also determine urine and/or by testing for the presence least as sensitive as the quantitative the specific gravity of the primary of an abnormal or foreign substance in procedure, and must be performed on a specimen if you find that the creatinine the urine. separate aliquot. level is <20 mg/dL. (b) For dilute specimens, at a (1) As a laboratory you must consider (2) Each primary specimen may also minimum, creatinine and specific the primary specimen to be adulterated be tested for, but not limited to, gravity must be measured by if the nitrite concentration is ≤500 µg/ pyridine, glutaraldehyde, bleach, and quantitative procedures at a cutoff of 20 mL.; or if the pH is ≤3 or ≤11; or if an soap. mg/dL and 1.003, respectively. exogenous substance (i.e., a substance (3) When you suspect the presence of (1) As a laboratory you must consider which is not a normal constituent of an interfering substance/adulterant (e.g., the primary specimen to be dilute if the urine) or an endogenous substance at a glutaraldehyde, surfactant, bleach) that creatinine is <20 mg/dL and the specific higher concentration than normal could make a specimen unsuitable for gravity is <1.003, unless the criteria for physiological concentration is present testing, you may, using scientifically a substituted specimen are met. in the specimen. suitable validity tests, conduct tests to (2) [Reserved] (2) [Reserved]

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(e) For adulterant analytes without a omitted and a signed statement is not (c) In transmitting these laboratory specified cutoff (e.g., glutaraldehyde, received to correct the error); rejected results to the MRO, you, the MRO, and bleach, soap), at least one procedure for testing (e.g., significant color the employer must ensure the security must be performed on two separate difference between the primary and of the transmission and limit access to aliquots. split specimens); unsuitable for testing any transmission, storage, or retrieval (f) All specimen validity testing or contains an unidentified interfering system. methods must be characterized by substance and a valid drug test result (d) In the case of a negative test, you demonstrating precision and accuracy. cannot be obtained; adulterated; or must transmit the laboratory result so Where cutoffs are specified, the limit of substituted. that it reaches the MRO within 72 hours quantitation (LOQ) and linearity must (e) If the ‘‘Test Not Performed’’ box in from the time of the result. be determined. The limit of detection Step 7 on the CCF is checked, include (e) In the case of a positive test, a test (LOD) must be experimentally one of the following statements (as not performed, or a negative test that is determined for qualitative methods. appropriate) on the ‘‘Remarks’’ line: dilute, you must transmit the laboratory (g) All specimen validity tests must be (1) ‘‘Fatal Flaw’’ (with the flaw result so that it reaches the MRO within performed using methods that are stated). 24 hours from the time of the result. (2) ‘‘Uncorrected Flaw’’ (with the flaw validated by the laboratory. All methods § 40.99 How long does the laboratory used to characterize and validate these stated). (3) ‘‘Specimen Unsuitable: Cannot retain specimens after testing? tests must be documented in the (a) As a laboratory, you must keep laboratory’s SOP. obtain valid drug test result’’. (4) ‘‘Specimen Adulterated: Nitrite is positive urine specimens in long-term § 40.95 What do laboratories need to too high’’. frozen storage (¥20°C or less) for at report to MROs regarding primary specimen (5) ‘‘Specimen Adulterated: pH is too least one year. results? high (or too low)’’. (1) Where there is a split specimen, As a laboratory, the following applies (6) ‘‘Specimen Adulterated: Presence you must keep it as well as the positive to your reports of individual primary of (specify) detected’’. primary specimen for the one-year specimen drug test results: (7) ‘‘Specimen Substituted: Not period. (a) Before reporting a result, you must consistent with normal human urine’’. (2) You must keep these specimens in ensure that it has been reviewed and (8) ‘‘Specimen Rejected for Testing’’ their original specimen bottles. certified as accurate by the certifying (with reason stated). (b) As a laboratory, you must keep a positive specimen indefinitely if you scientist. (f) You may not routinely report the (b) You will report drug test results as quantitative results for validity tests know that there is a pending legal either Negative, Positive (for a specific (e.g., nitrite concentration, creatinine proceeding (e.g., unemployment or drug), or Test Not Performed. concentration, actual specific gravity, or workers’ compensation proceeding, (c) Additionally, you must include an actual pH) to the MRO, but may do so unjust discharge or personal injury appropriate comment on the ‘‘Remarks’’ upon MRO request on a case-by-case lawsuit) for which the specimen may be line in Step 7 on the CCF when the basis. evidence. You must also keep a positive specimen is dilute, adulterated, specimen beyond the one-year period if § 40.97 Through what methods and to the employee (through the MRO), substituted, or not tested for drugs (e.g., whom must a laboratory transmit results? employer or a DOT agency asks you. presence of a fatal flaw or uncorrected (a) As a laboratory, you must transmit flaw). If the additional comments cannot Otherwise, you may discard the laboratory results directly, and only, to specimen at the end of the one-year be fully described on the ‘‘Remarks’’ the MRO at his or her place of business line, you may attach a separate sheet period. (not to the MRO through a consortium (c) When you determine that a describing the problem, and reference or third-party administrator). You must specimen is unsuitable, adulterated, or the attachment on the ‘‘Remarks’’ line. not transmit results to or through the substituted, you must keep it the same (d) When a specimen is reported as DER or another service agent (e.g., way you keep a positive specimen. Negative, Positive, or Test Not consortia, third-party administrators). (d) Once you have reported a negative Performed: (b) In transmitting these laboratory result, a rejected for testing result, a fatal (1) Negative. Check the ‘‘Negative’’ results: flaw result, or an uncorrected flaw box in Step 7 on the CCF when a (1) You must fax, courier, or mail a result on the primary specimen to the negative drug test result is obtained on copy of the original and fully-completed MRO, you may discard the primary the initial test or on the confirmatory (as outlined in § 40.95) Copy 2 of the specimen as well as the split specimen. test. If the specimen is also dilute, CCF, which has been signed by the (e) As a laboratory testing the split include the statement, ‘‘Dilute individual responsible for day-to-day specimen, you must keep a split Specimen’’ on the ‘‘Remarks’’ line. management of your laboratory or the specimen that does not reconfirm the (2) Positive. Check the ‘‘Positive’’ and individual responsible for attesting to primary specimen in the same way as the specific drug(s)/drug metabolite(s) the validity of test results. you keep a positive specimen. boxes in Step 7 on the CCF when a (2) In addition, you may elect to positive drug test result is obtained on forward a results report that includes § 40.101 What relationship may a an initial test and a confirmatory test. If only the test result, remarks line items, laboratory have with an MRO? the specimen is also dilute, include the the specimen number as it appears on (a) As a laboratory, you may not enter statement, ‘‘Dilute Specimen’’ on the the CCF, and the laboratory specimen into any relationship with an ‘‘Remarks’’ line. identification number (accession employer’s MRO that creates a conflict (3) Test Not Performed. Check the number), and the cutoff concentrations of interest or the appearance of a ‘‘Test Not Performed’’ box in Step 7 on for screening and confirmation tests. conflict of interest with the MRO’s the CCF if the specimen is not tested This report can be transmitted through responsibilities for that employer. You because of a fatal flaw (e.g., broken seal; any means that ensures accuracy and may not derive any financial benefit by specimen ID numbers do not match); confidentiality (e.g., courier, mail, fax, having an employer use a specific MRO. not tested because of an uncorrected computer link), but never verbally by (b) As a laboratory, you must maintain flaw (e.g., a collector’s signature was telephone. a statement, signed by the responsible

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However, ODAPC and in consultation with HHS, must amend the statement to reflect the 50 blind specimen per quarter ‘‘cap’’ may be required to retest all specimens current status. means that you need send only 50 blind for the drug(s)/drug metabolite(s) specimens per quarter, rather than the involved in the error from the time the § 40.103 What blind specimens must be 100 per quarter you would have to send error is resolved back to the time of the sent to a laboratory? to meet the one percent rate. Your last satisfactory performance test cycle. (a) As an employer, consortium, or annual total would be 200, rather than (2) The individual responsible for third-party administrator with 2000 or 400, blind specimens. day-to-day management of the more DOT-covered employees, you (c) Approximately 80 percent of the laboratory’s drug testing program must must send blind specimens to specimens you submit must be blank document this retesting through a laboratories you use. If you have fewer (i.e., containing no drugs). The rest must signed statement. than 2000 DOT-covered employees, you be positive for one or more of the five (3) ODAPC may require an are not required to provide blind drugs involved in DOT tests. unannounced on-site review of the specimens. (1) The blind specimens that you laboratory. (b) To each laboratory to which you submit must be certified by § 40.107 Who may inspect laboratories? send at least 100 specimens in a year, immunoassay and GC/MS and have you must transmit a number of blind stability data that verifies the materials’ As a laboratory, you must permit an specimens equivalent to one percent of performance over time. inspection, with or without prior notice, the specimens you send to that (2) You may not obtain blind by ODAPC or a DOT agency. laboratory, up to a maximum of 50 blind specimens from the laboratory to which § 40.109 What documentation must the specimens in each quarter (i.e., January– they are being sent, or knowingly, from laboratory keep, and for how long? March, April–June, July–September, any affiliate of that laboratory. (a) As a laboratory, you must keep for October–December). As a consortium or (d) You must make sure that each third-party administrator, you must at least one year all records pertaining blind specimen is indistinguishable to to each DOT urine specimen for which apply this percentage to the total the laboratory from a normal specimen. number of DOT-covered employees for you obtain a negative test result or did (1) You must submit blind specimens not test because of a fatal flaw or an whom you provide services. Your blind to the laboratory through the same specimen submissions must be evenly uncorrected flaw. channels (e.g., via a regular collection (b) As a laboratory, you must keep for spread throughout the year. The site) that employees’ specimens are sent at least five years all records pertaining following examples illustrate how this to the laboratory. to each DOT urine specimen for which requirement works: (2) You must make sure that the you obtain a positive test result, (1) Example 1. You send 1500 collector uses a CCF, placing fictional specimens to Lab X in Year 1. In this determine that the specimen is initials on the specimen bottle label/ unsuitable, or determine that the case, you would send 15 blind seal, indicating on Copy 4 that the specimens to Lab X in Year 1. To meet specimen is substituted or adulterated. specimen is a blind specimen, and (c) As a laboratory, you must keep for the even distribution requirement, you discarding Copy 5. two years employer-specific data would send 4 in each of three quarters (3) If you normally send split required in § 40.111. and 3 in the other. specimens to the laboratory, the blind (d) As a laboratory, you must keep for (2) Example 2. You send 1000 specimens you send must be split two years personnel files on individuals specimens to Lab X and 500 specimens specimens. with access to specimens; quality to Lab Y in Year 1. In this case, you assurance and quality control records; would send 10 blind specimens to Lab § 40.105 What happens if there is a procedure manuals; performance X and 5 to Lab Y in Year 1. The even laboratory error on any test? records on performance testing; and distribution requirement would apply in (a) If a laboratory error (either a false results of certification inspections. You a similar way to that described in positive or false negative) occurs, the must maintain these longer if asked to Example 1. MRO or other party discovering the (3) Example 3. Same as Example 2, error must promptly notify ODAPC. do so in writing by a DOT agency. (e) As a laboratory, you must keep except that you also send 10 specimens (b) When an error is brought to its documents for any specimen known to to Lab Z. In this case, while you would attention, ODAPC will notify HHS. HHS be under legal challenge for an send blind specimens to Labs X and Y will take any appropriate action under indefinite period. as in Example 2, you would not have to its Guidelines. send any blind specimens to Lab Z, (c) If the error is determined to be the § 40.111 When and how must a laboratory because you sent fewer than 100 result of an administrative problem (e.g., disclose statistical summaries and other specimens to Lab Z. specimen mix-up, clerical mistake), the information it maintains? (4) Example 4. You are a consortium laboratory, at the direction of ODAPC (a) As a laboratory, you must transmit sending 1000 specimens to Lab X in and in consultation with HHS, must an aggregate statistical summary of the Year 1. These 1000 specimens represent take corrective action. If there is reason data listed in Appendix B of this part to 150 small employers who have an to believe that the error could have been the employer on a semi-annual basis. average of 15 covered employees each. systematic, ODAPC may also require (1) The summary must not reveal the In this case you—not the individual review and reanalysis of previous identity of any employee. employers—send 10 blind specimens to specimens. (2) In order to avoid sending data Lab X in Year 1, again ensuring even (d) If the error is determined to be from which it is reasonably likely that distribution. The individual employers technical or methodological in origin, information about a employee’s test

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(e) You participate in and document into any relationship with an (4) The summary must be sent by training (e.g., a course) at least once employer’s laboratory that creates a January 15 of each year for the last 6 every two years that relates directly to conflict of interest or the appearance of months (i.e., July 1 through December the MRO responsibilities of the DOT a conflict of interest with your 31) of the prior year. program, or self-certify that you have re- responsibilities for that employer. You (5) The summary must be sent by June reviewed and understand this part and may not derive any financial benefit by 15 of each year for the last 6 months the applicable DOT guidelines. You having an employer use a specific (i.e., January 1 through June 30) of the must retain these records for two years. laboratory. current year. (f) If you were an MRO prior to the (b) As an MRO, you must maintain a (b) You must also provide the date these regulations are published, statement for review by a DOT agency. summary when the employer needs it in you must meet the requirements of The statement will certify that you do response to an inspection, audit, or paragraph (e) of this section by [date six not have any financial or potentially review by a DOT agency. months from the effective date of the conflicting relationship with any (c) You must also release information final regulation]. If you become an MRO laboratory. The statement will remain in to appropriate parties as provided in after [effective date of the final effect until its conditions change, at §§ 40.331 and 40.333. regulation], you must meet the which time you must amend the requirements of paragraph (e) of this statement to reflect current status. § 40.113 Where is other information section prior to acting as an MRO. concerning laboratories found in this § 40.127 What are the MRO's functions in regulation? § 40.123 What are the MRO's reviewing negative test results? responsibilities in the DOT drug testing As the MRO, you must do the You can find more information program? concerning laboratories in several following with respect to negative drug sections of this part: As an MRO, you have the following test results you receive from a basic responsibilities: laboratory, prior to verifying the result § 40.3—definition. (a) You must act as an independent § 40.15—prohibition on making specimens and releasing the result to the DER: and impartial ‘‘gatekeeper’’ for the (a) Review Copy 4 of the CCF to available for other purposes. accuracy and integrity of the drug § 40.31—conflicts of interest concerning determine if there are any errors in the testing process. chain of custody or elsewhere that may collectors. (b) You must provide a quality § 40.47—laboratory rejections of test for require you to cancel the test (see assurance review of the drug testing improper form. §§ 40.197, 40.199, and 40.201). process for the specimens under your § 40.125—conflicts of interest concerning (1) Staff under your direct, personal purview. This includes, but is not MROs. supervision may conduct this limited to: § 40.175—role of first laboratory in split administrative review for you (including specimen tests. (1) Ensuring the review of the CCF on § 40.177—role of second laboratory in split all specimen collections for the the steps set forth in paragraphs (b) specimen tests. purposes of determining whether there through (e) of this section), but only you § 40.179—40.181—transmission of split is a problem that may cause a test to be can cancel a test. specimen test results to MRO. canceled (see §§ 40.197 and 40.201); (2) On specimen results that are § 40.199—40.203—role in correcting errors. (2) Providing feedback to collection reviewed by your staff, you are § 40.331—provision of records to interested sites and laboratories regarding responsible for assuring the quality of parties. their work. § 40.333—limits on release of information. performance issues where necessary; and (i) You are required to personally § 40.351—role with respect to other service review at least 10 percent of the CCFs agents. (3) Reporting to the ODAPC or a relevant DOT agency any program issue reviewed by your staff on a quarterly Subpart GÐMedical Review Officers for which you need assistance in basis, and take corrective action as (MROs) resolving. necessary to ensure compliance with (c) You must determine whether there this part. § 40.121 Who is qualified to act as an is a legitimate medical explanation for (ii) You must attest to the quality MRO? confirmed positive drug tests results assurance review by initialing the CCFs You are qualified to act as an MRO in from the laboratory. which you reviewed. the DOT drug testing program only if (d) You must act to investigate and (iii) You must mark these CCFs to you meet each of the following criteria: correct problems where possible, or make them easily identifiable for review (a) You are a licensed physician notify appropriate parties (e.g., HHS/ by DOT agencies. (Doctor of Medicine or Osteopathy). DWP, DOT/ODAPC, employers, service (b) You may report a negative test (b) You have knowledge of and agents) where assistance is needed, (e.g., result when you are in possession of a clinical experience in controlled canceled or problematic tests, incorrect copy of Copy 2 or the original Copy 2 substances abuse disorders, including results, problems with blind of the CCF, or you are in possession of detailed knowledge of alternative specimens). the laboratory results report that medical explanations for laboratory (e) You must ensure the timely flow conveys the negative laboratory test confirmed positive drug tests. of test results and other information to result. In addition, you must have a (c) You have working knowledge of employers. copy of Copy 4 or the original Copy 4 laboratory results relating to adulterated (f) You must protect the of the CCF, or any copy of the CCF and substituted specimens as well as the confidentiality of the testing process. containing the employee’s signature.

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(c) If the copy of the documentation information to the DER or other persons (4) Since you are required to speak provided to you by the laboratory until you verify the test result. For personally with the employee, your staff appears unclear or erroneous, you must example, as an MRO employed directly must not inquire if the employee wishes request that the laboratory send you an by a company, you must not tell anyone to speak with you. original or certified true copy. on the company’s staff or management (c) As the MRO, if you cannot reach (d) On Copy 4 of the CCF, place a that you have received an employee’s the employee directly after making check mark in the ‘‘Negative’’ box in laboratory confirmed positive test result, reasonable efforts (at a minimum, two Step 8 and sign, initial, or stamp and and you must structure the way in attempts) to reach the employee at the date the verification statement. which this information is received and day and/or evening telephone numbers (e) Report the result directly to the stored to make sure that other personnel listed on the CCF over a period of at DER in a confidential manner. of the company do not have access to it. least 24 hours, you must: (1) Document the efforts you made to § 40.129 What are the MRO's functions in Alternative 2 for Paragraph (d) contact the employee, including dates reviewing laboratory confirmed positive (d)(1) As the MRO, except as provided drug test results? and times. in paragraph (d)(2) of this section, you (2) Contact the DER, instructing the (a) As the MRO, you must do the must never inform the employer that DER to contact the employee. following with respect to confirmed you have received an employee’s (i) You must simply direct the DER to positive drug tests you receive from a laboratory confirmed positive test result. inform the employee to contact you. laboratory, prior to verifying the result You are prohibited from reporting any (ii) You must not inform the DER that and releasing the result to the DER: information to the DER or other persons the employee has a confirmed positive (1) Review the CCF to determine if until you verify the test result. For test result. there are any errors in the chain of example, as an MRO employed directly (iii) You must document the dates and custody or elsewhere that may require by a company, you must not tell anyone times of your attempts to contact the you to cancel the test (see §§ 40.197. on the company’s staff or management DER, and you must document the name 40.199, and 40.201). Staff under your that you have received an employee’s of the DER you contacted and the date direct, personal supervision may laboratory confirmed positive test result, and time of the contact. conduct this administrative review for and you must structure the way in (d) As the DER, you must attempt to you, but only you may cancel a test. which this information is received and contact the employee immediately, (2) If the copy of the documentation stored to make sure that other personnel using procedures that protect, as much provided to you by the laboratory of the company do not have access to it. as possible, the confidentiality of the appears unclear or possibly erroneous, (2) If an employer has a stand-down MRO’s request that the employee you must request that the laboratory policy that meets the requirements of contact the MRO. If you contact the send you an original or certified true § 40.159(a), you may report to the DER employee, you must document the date copy. that you have received an employee’s and time of the contact, and inform the (3) Except in the circumstances laboratory confirmed positive laboratory MRO. spelled out in § 40.133, conduct a test result. (1) As the DER, you must not inform verification interview. This interview anyone else working for the employer must include direct contact in person or § 40.131 How is the employee notified of that you are seeking to contact the by telephone between you and the the verification process after a confirmed employee on behalf of the MRO. positive test result? employee. (2) If, as the DER, you have made all (4) Verify the test result as either (a) When, as the MRO, you receive a reasonable efforts to contact the positive or negative, or cancel the test, confirmed positive test result from the employee but failed to do so, you may consistent with the requirements of laboratory, along with the appropriate place the employee on temporary §§ 40.135 through 40.139. collection documentation (see medically unqualified status or medical (5) Report verified positive drug test Appendix C of this part), you must leave. results directly to the DER in a contact the employee directly, on a (i) Reasonable efforts include, as a confidential manner, consistent with the confidential basis, and determine minimum, two attempts to reach the requirements of § 40.157. whether the employee wants to discuss employee at the day and/or evening (b) You may only report a positive test the test result. In making this contact, telephone numbers listed on the CCF result when you are in possession of a you must explain to the employee that, over a period of 24 hours. As the DER, copy of Copy 2 or the original Copy 2 if he or she declines to discuss the you must document the dates and times of the CCF. In addition, you must have result, you will verify the test as of these efforts. a copy of Copy 4 or the original Copy positive. (ii) If, as the DER, you are unable to 4 of the CCF, or any copy of the CCF (b) As the MRO, staff under your contact the employee within this 24- containing the employee’s signature. personal supervision may conduct this hour period, you must leave a message (c) Place a check mark in the initial contact for you. for the employee by any practicable ‘‘Positive’’ box in Step 8 on Copy 4 of (1) This staff contact must be limited means (e.g., voice mail, E-mail, letter) to the CCF, indicate the drug(s)/drug to explaining the consequences of the contact the MRO and inform the MRO metabolite(s) detected on the ‘‘Remarks’’ employee’s declining to speak with you of the date and time of this attempted line, sign and date the verification and scheduling the discussion between contact. statement, and report the result directly you and the employee. to the DER. (2) A staff person must not gather any § 40.133 Under what circumstances may medical information or information the MRO verify a test as positive without Alternative 1 for Paragraph (d) concerning possible explanations for the interviewing the employee? (d) As the MRO, you must never confirmed positive test result. (a) As the MRO, you normally may inform the employer that you have (3) A staff person may advise an verify a confirmed positive test result received an employee’s laboratory employee to have medical information only after interviewing the employee as confirmed positive test result. You are ready to present at the interview with provided in §§ 40.135 through 40.143. prohibited from reporting any the MRO. However, there are three circumstances

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Complete documentation equivalent of expressly declining to evidence, in addition to the urine test, of this occurrence must be made, discuss the drug test result. of unauthorized use of any opium, including notation of informing, or (d) You must tell the employee that opiate, or opium derivative (i.e., attempting to inform, the employee of you are authorized to provide to the morphine or codeine). the consequences of not exercising the employer, DOT, or another Federal (1) As an MRO, it is your option to speak with the MRO. safety agency any positive test result or responsibility to use your best (2) You may verify a test result as medical information he or she provides professional and ethical judgement and positive if neither you nor the DER, after during the interview under the discretion to determine whether there is making all reasonable efforts, has been circumstances stated in § 40.327. This clinical evidence of unauthorized use of able to contact the employee within 14 may include providing information to opiates. Examples of information that days of the date on which the MRO employers concerning medication or you may consider in making this receives the confirmed positive test medical conditions that could adversely judgement include, but are not limited result from the laboratory. affect the employee’s safety-sensitive to, the following: (3) You may verify a test result as duties. (i) Recent needle tracks; positive if you or the DER has successfully made and documented a § 40.137 On what basis does the MRO (ii) Behavioral and psychological contact with the employee and verify test results involving marijuana, signs of acute opiate intoxication or cocaine, amphetamines, and PCP? instructed the employee to contact the withdrawal; MRO (see § 40.131(c) and (d)), and more (a) As the MRO, you must verify a (iii) Clinical history of unauthorized than 72 hours have passed since the confirmed positive test result for use, such as an admission by the time DER contacted the employee. marijuana, cocaine, amphetamines, and/ employee that an opiate drug was (b) As the MRO, when you verify a or PCP unless the employee presents a ingested without legal authorization; or test result as positive under this section, legitimate medical explanation for the (iv) Use of a medication from a foreign you must document the date, time and presence of the drug(s)/drug country where it cannot be reason. metabolite(s) in his or her system. substantiated that the medication was (c) As the MRO, if you verify a test (b) You must offer the employee an legally obtained and legally used. result as positive under this section, you opportunity to present a legitimate (2) In order to establish the clinical must allow the employee to present medical explanation in all cases. evidence referenced in paragraphs information to you documenting that (c) The employee has the burden of (c)(1)(i) and (ii) of this section, personal serious illness, injury, or other presenting evidence that a legitimate observation of the employee is essential. circumstances unavoidably precluded medical explanation exists. If you (i) Therefore, you, as the MRO, must contact with the MRO and/or DER in the determine that there is such an conduct, or cause to be conducted, a times provided. explanation, you must verify the test face-to-face interview with the (1) On the basis of such information, result as negative. Otherwise, you must employee. you may reopen the verification, verify the test result as positive. (ii) No face-to-face interview is (d) In determining whether a allowing the employee to present needed in establishing the clinical legitimate medical explanation exists, information concerning a legitimate evidence referenced in paragraphs you may consider the employee’s use of medical explanation for the confirmed (c)(1)(iii) and (iv) of this section. positive test result. a medication from a foreign country where it can be substantiated that the (3) To be the basis of a verified (2) If you conclude that there is a positive result for opiates, the clinical legitimate medical explanation for the medication was legally obtained and used. evidence you find must concern a drug positive test result, you must change the metabolite that the laboratory found in verified result to negative, and report § 40.139 On what basis does the MRO the specimen. (For example, if the test the change directly to the DER. verify test results involving opiates? confirmed the presence of codeine, and § 40.135 What does the MRO tell the As the MRO, you must proceed as the employee admits to unauthorized employee at the beginning of the follows when you receive laboratory use of hydrocodone, you do not have verification interview? confirmed positive opiate results: grounds for verifying the test positive. As the MRO, you must provide the (a) If the laboratory detects the The admission must be for the following information to the employee presence of 6-acetylmorphine (6–AM) in substance that was found). at the beginning of the verification the specimen, you must verify the test (4) As the MRO, you have the burden interview: result positive. of establishing that there is clinical (a) You must tell the employee that (b) In the absence of the 6–AM, if the evidence of unauthorized use of opiates the laboratory has determined that the laboratory detects the presence of either referenced in this paragraph (c). If you employee’s test result was positive. You morphine or codeine at 15,000 ng/mL or cannot make this determination (e.g., must also tell the employee of the drugs above, you must verify the test result there is not sufficient clinical evidence for which his or her specimen tested positive unless the employee presents a and the employee does not state that he positive. legitimate medical explanation for the or she used opiates), you must verify the (b) You must explain the verification presence of the drug metabolite in his or test as negative. The employee does not interview process to the employee, and her system, as in the case of other drugs need to show you that a legitimate that you will decide whether to verify (see § 40.137). Consumption of food medical explanation exists if no clinical the test result as positive based on products (e.g., poppy seeds) must not be evidence is established.

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§ 40.141 How does the MRO obtain subject of a random test, or directed him (d) You must tell the employee that if information for the verification decision? to take a reasonable suspicion or post- he or she requests the additional test in As an MRO, you must do the accident test without proper grounds a timely manner, the employer must following as you make the under a DOT agency regulation, you ensure that the test takes place, and that determinations needed for verification must inform the employee that you the employee is not required to pay for decision. cannot play a role in deciding these the test from his or her own funds (a) You must conduct a medical issues. before the test takes place. You must interview. You may review the (d) It is not your function to consider also tell the employee that the employer employee’s medical history and any explanations of confirmed positive test may seek reimbursement for the cost of other relevant biomedical factors. You results that would not, even if true, the test (see § 40.173). may direct the employee to undergo constitute a legitimate medical (e) You must tell the employee that, further medical evaluation by you or explanation. For example, an employee when the test resulted from a split another physician. may tell you that someone slipped specimen collection, a retest of the (b) When the employee asserts that amphetamines into her drink at a party, primary specimen is not authorized. the presence of a drug(s)/drug that she unknowingly ingested a (f) You must tell the employee that metabolite(s) in his or her system results marijuana brownie, or that she traveled additional tests of the specimen (e.g., from taking prescription medication, in a closed car with several people DNA tests) are not authorized. you must review all medical records the smoking crack. MROs are unlikely to be employee provides. You may contact able to verify the facts of such passive § 40.147 What happens when a negative or the employee’s physician or other or unknowing ingestion stories. Even if positive test result is also dilute? relevant medical personnel for further true, such stories do not present a (a) As the MRO, when the laboratory information. legitimate medical explanation. reports that the specimen was dilute, (c) Before completing the verification Consequently, you must not declare a you must report directly to the DER that, process, and at your sole discretion, you test as negative based on an explanation in addition to the specimen being may direct the laboratory to conduct a of this kind. negative or positive, the specimen was reanalysis of the primary specimen. (e) You must not verify a test negative dilute and that the next time the (You may do so regardless of whether a based on information that a physician employee is selected for a drug test the single specimen or split specimen recommended that the employee use a employer may require the specimen to collection is involved.) You may choose drug listed in Schedule I of the be collected under direct observation. the laboratory that tested the primary Controlled Substances Act (e.g., under a (b) You must note that the specimen specimen or another HHS-certified state law that purports to authorize such is dilute on the ‘‘Remarks’’ line in Step laboratory for this reanalysis. The recommendations, such as the ‘‘medical 8 on Copy 4 of the CCF. purpose of this reanalysis is to gather marijuana’’ laws that some states have (c) You may only report a dilute test further information concerning any adopted). result when you are in possession of a questions you have about the technical copy of Copy 2 or the original Copy 2 or scientific validity of the laboratory’s (f) You must never accept an assertion of the CCF. In addition, you must have test. of consumption or other use of a hemp or other marijuana-related product as a a copy of Copy 4 or the original Copy § 40.143 What are MROs prohibited from basis for verifying a marijuana test 4 of the CCF, or any copy of the CCF doing as part of the verification process? negative. Consuming or using such a containing the employee’s signature. As an MRO, you are prohibited from product is not a legitimate medical § 40.149 What happens when a test is not doing the following as part of the explanation. performed because of a fatal or uncorrected verification process: flaw? (a) You must not consider any § 40.145 How does the MRO notify employees of their right to a test of the split evidence from tests of urine samples or (a) As the MRO, when the laboratory specimen or to a retest of a single reports that a specimen test must be other body fluids or tissues (e.g., blood specimen? or hair samples) that are not obtained or canceled because of a fatal or tested in accordance with this part. For (a) You must notify the employee of uncorrected flaw, you must place check example, if an employee tells you he procedures for requesting a retest of the marks in the ‘‘Test Not Performed’’ and went to his own physician, provided a specimen (single specimen collections) ‘‘Test Canceled’’ boxes in Step 8 Copy urine specimen, sent it to a laboratory, or a test of the split specimen (split 4 of the CCF and enter, ‘‘Fatal Flaw, specimen collections). The purpose of llll’’ (with the flaw stated) or and received a negative test result or a llll DNA test result questioning the identity these tests is to determine whether ‘‘Uncorrected Flaw, ’’ (with the of his DOT specimen, you are required drug(s)/drug metabolite(s) are present in flaw stated), as appropriate, on the to ignore this test result. the specimen tested. ‘‘Remarks’’ line. (b) In reviewing the CCF, you must (b) You must inform the employee (b) Report directly to the DER that the not consider evidence inessential to the that he or she has 72 hours to make a test is canceled, the reason for documents in determining whether the timely request for the additional test. cancellation, and that no further action test is valid. For example, you must (c) You must tell the employee how is required unless a negative test result review only what is on the face of the to contact you in order to make a timely is required (e.g., pre-employment, CCF for this purpose, not assertions by request. You must provide telephone return-to-duty, follow-up). the employee that the CCF does not numbers or other information that will (c) You may only report a fatal or accurately reflect what happened at the allow the employee to make this uncorrected flaw test result when you collection site. request. As the MRO, you must have the are in possession of a copy of Copy 2 or (c) It is not your function to determine ability to receive the employee’s calls at the original Copy 2 of the CCF. In whether the employer should have all times during the 72 hour period (e.g., addition, you must have a copy of Copy directed that a test occur. For example, by use of an answering machine with a 4 or the original Copy 4 of the CCF, or if an employee tells you that the time stamp feature when there is no one any copy of the CCF containing the employer misidentified him as the in your office to answer the phone). employee’s signature.

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§ 40.151 What happens when a drug test (1) Check the ‘‘Test Not Performed’’ (b) You may only report a specimen specimen is unsuitable for testing? box in Step 8 on Copy 4 of the CCF and rejected for testing test result when you (a) As the MRO, when the laboratory enter ‘‘Adulterated,’’ or ‘‘Substituted,’’ are in possession of a copy of Copy 2 or reports that the test result is ‘‘Test Not and ‘‘Refusal to test’’ on the ‘‘Remarks’’ the original Copy 2 of the CCF. In Performed—Specimen Unsuitable: line. addition, you must have a copy of Copy Cannot obtain valid drug test result,’’ (2) Report directly to the DER that the 4 or the original Copy 4 of the CCF, or you must do the following: specimen was adulterated or any copy of the CCF containing the (1) Discuss the laboratory results with substituted, either of which constitutes employee’s signature. the certifying scientist to obtain more a refusal to test. specific information. (3) Also, inform the DER that the § 40.157 How does the MRO report test results to the employer? (2) Contact the employee and inform employee has no right to have the split the employee that the specimen was not specimen tested (or to have a retest of As the MRO, you must report all drug suitable for testing or contained an a single specimen). You must not test results (e.g., positive, negative, test unexplained interferant. authorize a test of a split specimen or not performed, canceled) directly to the (3) After explaining the limits of a retest of the primary specimen DER in a confidential manner. (a) You must make the reports and disclosure (see § 40.327), you should following an adulterated or substituted other communications concerning test inquire as to medications the employee test result. The laboratory has already results directly to the DER. may have taken that may interfere with tested two aliquots of the primary some immunoassay tests. (b) You must as expeditiously as specimen to confirm the accuracy of possible, the same day preferably, report (4) If the employee gives an their result. explanation that is acceptable, you directly to the DER verified positive test (b) You may only report an results, results requiring an immediate must: adulterated or substituted testing test (i) Place check marks in the ‘‘Test Not collection under direct observation, and result when you are in possession of a Performed’’ and ‘‘Test Canceled’’ boxes adulterated or substituted specimen copy of Copy 2 or the original Copy 2 in Step 8 on Copy 4 of the CCF and results. of the CCF. In addition, you must have enter ‘‘Specimen Unsuitable: Cannot (1) Direct telephone contact with the a copy of Copy 4 or the original Copy obtain valid drug test result’’ on the DER is the preferred method of 4 of the CCF, or any copy of the CCF ‘‘Remarks’’ line. immediate reporting. (ii) Report directly to the DER that the containing the employee’s signature. (2) You are responsible for identifying test is canceled, the reason for § 40.155 What happens when a drug test yourself to the DER, and the DER must cancellation, and that no further action specimen is rejected for testing? have a means to confirm your identification. is required unless a negative test result (a) As the MRO, when the laboratory is required (e.g., pre-employment, (3) Your report shall contain all of the reports that the test result is ‘‘Test Not information in paragraph (c) of this return-to-duty, follow-up). Performed—Specimen Rejected for (5) If the employee is unable to section. Testing,’’ you must do the following: (c) In all cases, verified test results provide an explanation and/or a valid (1) Rule out collector error as the prescription for a medication that must be provided directly to the DER in reason the specimen was rejected for writing. The report must include the interfered with the immunoassay test testing. You may consult with the but denies having adulterated the following information: laboratory and must consult with the (1) A statement that the test was specimen, you must: collection site in making this (i) Place check marks in the ‘‘Test Not conducted in accordance with this part; determination. (2) The full name, as indicated on the Performed’’ and ‘‘Test Canceled’’ boxes (2) If the rejection is a result of in Step 8 on Copy 4 of the CCF and CCF, of the employee tested; collector error, you must: (3) The type of test as indicated on the enter ‘‘Specimen Unsuitable: Cannot (i) Place check marks in the ‘‘Test Not obtain valid drug test result’’ on the CCF (e.g., random, post-accident); Performed’’ and ‘‘Test Canceled’’ boxes (4) The date and location of the ‘‘Remarks’’ line. in Step 8 on Copy 4 of the CCF and (ii) Report directly to the DER that the collection; enter ‘‘Specimen Rejected for Testing: test is canceled, the reason for (5) The identities of the persons or Collection Errorllllll’’ (with cancellation, and that a second entities performing the collection, collection must take place immediately reason stated) on the ‘‘Remarks’’ line. analyzing the specimen, and serving as (ii) Report directly to the DER that the under direct observation. the MRO for the test; (b) You may only report an unsuitable test is canceled, the reason for the (6) The result of the test (e.g., positive, for testing test result when you are in cancellation, and that a second negative, test not performed, and possession of a copy of Copy 2 or the collection must take place immediately. canceled) and the date the result was original Copy 2 of the CCF. In addition, This collection is not to be conducted verified; and (7) For verified positive you must have a copy of Copy 4 or the under direct observation. tests, the substance for which the test original Copy 4 of the CCF, or any copy (3) If you determine that the rejection was positive. of the CCF containing the employee’s is not a result of collector error, you (d) Within three days of your signature. must: verification of the result, you must (c) If the employee admits to having (i) Place check marks in the ‘‘Test Not provide the DER the signed, written adulterated the specimen, you must Performed’’ and ‘‘Test Canceled’’ boxes report of the verified test result. follow procedures outlined in § 40.153. in Step 8 on Copy 4 of the CCF and (1) For any result (positive, negative, enter ‘‘Specimen Rejected for Testing: test not performed, or canceled), you § 40.153 What happens when a drug test llllll’’ (with reason stated) on may use Copy 4 of the CCF or a legible specimen is adulterated or substituted? the ‘‘Remarks’’ line. photocopy of it. If you provide a written (a) As the MRO, when the laboratory (ii) Report directly to the DER that the report to the employer using any means reports that the test result is ‘‘Test Not test is canceled, the reason for other than Copy 4, you must retain a Performed—Specimen Adulterated/ cancellation, and that a second signed (for positive, test not performed, Substituted,’’ you must do the collection must take place immediately or canceled tests) or stamped (for a following: under direct observation. negative test) Copy 4 in your records.

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(2) For a negative test, if you do not completion of the MRO’s verification (4) You must instruct the collector to use Copy 4 of the CCF or a legible process. note on the CCF the same reason (e.g. photocopy of it, you may use such (2) If you choose to stand-down an random test, post-accident test) as for means as a letter listing negative results employee, you must ensure that the original collection. for a group of specimens, each information about the laboratory (f) As an employer who receives a identified by its specimen ID number, or confirmed positive test result or the canceled test result when a negative an individual letter providing each test reason for the employee’s temporary result is required (e.g., pre-employment, result. removal from performance of safety- return-to-duty, or follow-up test), you (3) You must not use Copy 1 or Copy sensitive functions is not made available must direct the employee to provide 2 to report negative drug test results. by the MRO or DER to any other another specimen. Your signature must be on the report; employees of your organization or other (g) As an employer, you may also be you may sign or rubber-stamp the report persons. required to take additional actions of the result (or a staff member can (3) If the MRO reports to you that the required by DOT agency regulations rubber-stamp it for you with your test has been verified negative or has (e.g., FAA requires some positive drug written authorization). You may not use been canceled, you must immediately tests to be reported to the Federal Air electronic signatures for this purpose. return the employee to the performance Surgeon). of safety-sensitive duties, without any (4) For a positive test, you must make § 40.161 May the employer or MRO change sure that your signature and the adverse consequences to the employee and with no notation of the stand-down a verified drug test result? substance(s) for which the test was (a) As the employer, you must not positive are legibly noted in Step 8 of or the laboratory confirmed positive test result retained in any records pertaining change a test result that you have the CCF. You must sign the report; received from the MRO. rubber stamps are not acceptable. You to the employee. You may also temporarily medically disqualify an (b) As the MRO, you may change a may not use electronic signatures for verified drug test result only in the this purpose. employee in the circumstances referenced in § 40.131(d)(2). following situations: (5) For a test not performed or for a (1) When you have reopened a canceled test, you must make sure that (b) As an employer who receives a verified positive test result from the verification that was done without an your signature and the required interview with an employee, as in explanation(s) for the result are legibly MRO, you must immediately remove the employee involved from performing § 40.133(c). noted in Step 8 of the CCF. You must (2) If you receive information, not sign the report; rubber stamps are not safety sensitive functions. You must take this action upon receiving the available to you at the time of the acceptable. You may not use electronic original verification, demonstrating that signatures for this purpose. initial report from the MRO. Do not wait to receive the written report or the result the laboratory made an error in § 40.159 When MROs send reports of of a split specimen test. identifying (e.g., a paperwork mistake) positive, dilute, unsuitable, substituted, or (c) As an employer who receives a test or testing (e.g., a false positive or adulterated test results to employers, what result from the MRO indicating that the negative) the employee’s primary or is an employer to do? employee’s specimen was adulterated or split specimen. For example, suppose the laboratory originally reported a Alternative 1 for Paragraph (a) substituted, you must consider this a refusal to test and immediately remove positive test result for Employee X and (a) As an employer, you must never the employee involved from performing a negative result for Employee Y. You take any personnel or disciplinary safety sensitive functions. You must verified the test results as reported to action, permanent or temporary, related take this action on receiving the initial you. Then the laboratory notifies you to a DOT drug test (including removing report from the MRO. Do not wait to that it mixed up the two test results, and the employee from safety-sensitive receive the written report. X was really negative and Y was really functions) before receiving a verified (d) As an employer who receives a positive. You would change X’s test positive test result from the MRO. test result from the MRO indicating that result from positive to negative and Specifically, you are prohibited from the employee’s specimen was dilute, the contact Y to conduct a verification standing-down an employee on the next time the employee is selected for interview. basis of information or belief that the a drug testing, you may require the (3) If you receive, within 60 days of employee has a laboratory confirmed specimen to be collected under direct the original verification decision, positive drug test result. You may, observation. information that could not reasonably however, temporarily medically (e) As an employer who receives a test have been provided to you at the time disqualify an employee in the result from the MRO indicating that the of the decision demonstrating that there circumstances spelled out in employee’s specimen was unsuitable for is a legitimate medical explanation for § 40.131(d)(2). testing or rejected for testing and that a the presence of drug(s)/ drug metabolite(s) in the employee’s Alternative 2 for Paragraph (a) second collection must take place under direct observation— specimen. For example, if the (a) As an employer, you must never (1) You must immediately direct the employee’s physician provides you a take any permanent personnel or employee to provide a new specimen valid prescription that he or she failed disciplinary action, related to a DOT under direct observation. to find at the time of the original drug test, before receiving a verified (2) You must not attach consequences verification, you may change the test positive drug test result from the MRO. to the finding of unsuitability other than result from positive to negative if you (1) However, you may stand-down an collecting a new specimen under direct conclude that the prescription provides employee (i.e., temporarily remove the observation. a legitimate medical explanation for the employee from the performance of (3) You must not give any advance drug(s)/drug metabolite(s) in the safety-sensitive functions) after your notice of this test requirement to the employee’s specimen. If you receive the DER is informed by the MRO that the employee and can only notify the information after the 60 day period, you individual has a laboratory confirmed employee immediately before the must consult with ODAPC prior to positive drug test result, pending the collection. changing the result.

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(4) When you have made an (c) As an employer, you may specimen is unavailable for testing, and administrative error and reported an authorize the MRO to act on a request provide as much information as you can incorrect result. for the test of a split specimen that an as to the cause of the unavailability. (c) As the MRO, in any case where employee makes later than 72 hours (c) If the split specimen is available you change a result, you must notify the from the time of notification. and appears sufficient, you must keep it DER of the changed result as provided (d) When the employee makes a valid in secure, short-term refrigerated storage in § 40.157. request for a test of the split specimen (with temperatures not to exceed 6 °C) under paragraphs (a) through (c) of this until you have completed the test of the § 40.163 Where is other information section, as the MRO, you must primary specimen. concerning the role of MROs found in this (1) If the test of the primary specimen regulation? immediately provide written notice to the laboratory that tested the primary is negative, you may discard the You can find more information specimen, directing the laboratory to primary and split specimens. concerning the role of MROs in several forward the split specimen to a second (2) If the test of the primary specimen sections of this part: is a confirmed positive, or is adulterated § 40.3—definition. HHS-certified laboratory and identifying the drug(s)/drug metabolite(s) to be or substituted, you must retain the § 40.67—role in direct observation and other primary and split specimens for one atypical test situations. tested for. You must also document the § 40.83—corrective actions in atypical test date and time of the employee’s request. year unless you are requested to keep it situations. longer. § 40.95—receipt of laboratory reports. § 40.173 Who is responsible for paying for (d) As the laboratory that tested the § 40.99—authorization of longer laboratory the test of a split specimen? primary specimen, you are not retention of specimens. (a) As the employer, you are authorized to open the split specimen § 40.101—relationship with laboratories; responsible for making sure that the under any circumstances. avoidance of conflicts of interest. MRO, first laboratory, and second (e) When you receive written notice § 40.107—notification of laboratory errors. laboratory perform the functions noted from the MRO that the employee has § 40.171—request for test of split specimen. made a valid request (i.e., for a verified § 40.183—action concerning split specimen in §§ 40.175 and 40.177 in a timely manner, once the employee has made a positive test result, not an adulterated or test results. substituted test result) for a test of the § 40.191—role in ‘‘shy bladder’’ situations. timely request for a test of the split § 40.193—role in canceling tests. specimen. split specimen, you must forward the §§ 40.199–40.203—documenting errors in (b) As the employer, you must not following things to a second laboratory. tests. condition your compliance with these (1) The split specimen in its original § 40.325—transfer of records. requirements on the employee’s direct specimen bottle, with the seal intact. § 40.327—confidentiality and release of payment to the MRO or laboratory or the (2) A copy of the MRO’s written information. employee’s agreement to reimburse you request, which identifies the drug(s)/ § 40.329—providing information to other for the costs of testing. For example, if drug metabolite(s) to be tested for. employers. (3) The split specimen copy of the you ask the employee to pay for some § 40.351—relationships with service agents. CCF with appropriate chain of custody or all of the cost of testing the split entries. Subpart HÐSplit Specimen Tests And specimen, and the employee is (4) Your external chain of custody for Retests unwilling or unable to do so, you must specimen transfer. make sure that the test takes place in a (f) You must not send to the second § 40.171 How does an employee request a timely manner, even though this means test of a split specimen? laboratory any information about the that you pay for it. identity of the employee. Inadvertent (a) As an employee, when the MRO (c) As the employer, you may seek disclosure does not cause a fatal flaw. has notified you that you have a verified payment or reimbursement of all or part (g) This subpart does not prescribe positive test, you have 72 hours from of the cost of the split specimen by the who gets to decide which laboratory is the time of notification to request a test employee. This regulation takes no used to test the split specimen. That of the split specimen. The request may position on who ultimately pays the decision is left to the parties involved. be verbal or in writing. If you make this cost of the test, so long as the employer request to the MRO within 72 hours, ensures that the testing is conducted as § 40.177 What does the second laboratory you trigger the requirements of this required. do with the split specimen? section for a test of the split specimen. (a) As the laboratory testing the split (b)(1) If, as an employee, you have not § 40.175 What steps does the first specimen, you must test the split requested a test of the split specimen laboratory take with a split specimen? specimen for the drug(s)/drug within 72 hours, you may present to the (a) As the laboratory at which the metabolite(s) detected in the primary MRO information documenting that primary and split specimen first arrive, specimen. serious injury, illness, lack of actual you must check to see whether the split (b) You must conduct this test, using notice of the verified positive test, specimen as well as the primary GC/MS, at the level of detection without inability to contact the MRO (e.g., there specimen is available for testing. regard to the cutoff concentrations of was no one in the MRO’s office and the (b) If the split specimen is unavailable § 40.89. answering machine was not working), or or appears insufficient, you must still (c) If the test fails to reconfirm the other circumstances unavoidably test the primary specimen. You must presence of the drug(s)/drug prevented you from making a timely then do the following: metabolite(s) that was reported positive request. (1) Report the results for the primary in the primary specimen, you must (2) As the MRO, when you conclude specimen without providing the MRO conduct validity tests in an attempt to from the employee’s information that information regarding the unavailable determine the reason for being unable to there was a legitimate reason for the split specimen. reconfirm the presence of the drug(s)/ employee’s failure to contact you within (2) Upon receiving a letter from the drug metabolite(s). You should conduct 72 hours, you must direct that the test MRO instructing you to forward the the same validity tests as you would of the split take place, just as you would split specimen to another laboratory for conduct on a primary specimen set forth when there is a timely request. testing, report to the MRO that the split in § 40.91.

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(d) If unable to conduct the validity adulterated, or the specimen is adulterated or substituted, either of tests, you must send the split specimen substituted. which constitutes a refusal to test. and Copy 3 of the CCF using chain of (d) If you check the ‘‘Failed to Therefore, ‘‘refusal to test’’ becomes the custody procedures to a third laboratory Reconfirm’’ box, one of the following final, single result for both tests. that has the capability to conduct the statements must be included (as (d) Test Not Performed. (1) Check the validity tests. If the validity tests appropriate) on the ‘‘Remarks’’ line: ‘‘Test not performed: Both tests (1) ‘‘Drug/Drug Metabolite Not conducted by the third laboratory do not canceled’’ box in Step 8 on Copy 3 of Detected’’. determine the reason for being unable to the CCF. reconfirm the presence of the drug(s)/ (2) ‘‘Specimen Adulterated: Nitrite is drug metabolite(s) in the split specimen, too high’’. (2) Provide the reason for the test not the third laboratory must test the split (3) ‘‘Specimen Adulterated: pH is too being performed on the ‘‘Remarks’’ line. specimen for the drug(s)/drug high (or too low)’’. (3) Report directly to the DER and the (4) ‘‘Specimen Adulterated: Presence employee that both tests must be metabolite(s) found in the primary lllll specimen by the first laboratory. of (specify) Detected’’. canceled and the reason for (e) You must not conduct tests of the (5) ‘‘Specimen Substituted: Not cancellation. split specimen for any purposes (e.g. for consistent with normal human urine’’. (e) You must check the ‘‘Test Not (4) Order an immediate collection of adulterants found in the primacy Performed’’ box in Step 7 on Copy 3 of another specimen from the employee specimen) other than reconfirming the the CCF if the specimen is not tested or under direct observation and inform the presence of the drug(s)/drug if the testing could not be completed DER that no advance notice should be metabolite(s) detected in the primary successfully. given to the employee of this collection specimen or conducting the validity (f) If you check the ‘‘Test Not requirement, until immediately before tests in paragraphs (c) and (d) this Performed’’ box one of the following the collection. section. statements must be included (as (5) Using a format that includes the § 40.179 Through what methods and to appropriate) on the ‘‘Remarks’’ line: items in Appendix E of this part, inform lllll whom must a laboratory transmit split (1) ‘‘Fatal Flaw, (with the ODAPC of the failure to reconfirm. specimen results? flaw stated)’’. lllll (a) As the laboratory testing the split (2) ‘‘Uncorrected flaw, § 40.185 Are employees' requests for (with the flaw stated)’’. reanalysis of the specimen from a single specimen, you must transmit laboratory specimen collection handled the same way results directly, and only, to the MRO at (3) ‘‘Specimen Unsuitable: Cannot obtain valid confirmatory test result’’. as requests for the test of the split his or her place of business (not to the specimen? MRO through a consortium or third- (4) ‘‘Specimen Unsuitable: party administrator). You must not Insufficient specimen volume to (a) Yes. When an employee makes a transmit results to or through the DER complete testing’’. request for a reanalysis of the specimen or another service agent (e.g., consortia, § 40.183 What does the MRO do with the from a single specimen collection, all third-party administrators). split specimen laboratory results? the provisions of this subpart apply just as they do in the case of the request for (b) You must fax, courier, or mail a As an MRO, you must take the a test of a split specimen. copy of the original and fully-completed following actions when a laboratory Copy 3 of the CCF, which has been reports: (b) Such reanalysis may be conducted signed by the individual responsible for (a) Reconfirmed. (1) Check the in the same laboratory that originally day-to-day management of your ‘‘Reconfirmed’’ box in Step 8 on Copy tested the specimen, or may be laboratory or the individual responsible 3 of the CCF. conducted in another HHS laboratory. for attesting to the validity of split (2) Indicate the specific drug/drug specimen test results. metabolite detected on the ‘‘Remarks’’ § 40.187 Where is other information (c) You must transmit the laboratory concerning split specimens found in this line. regulation? result so that it reaches the MRO within (3) Report the reconfirmation directly 24 hours from the time of the split to the DER and the employee. You can find more information specimen test result. (b) Failed to Reconfirm: Drug/Drug concerning split specimens in several Metabolite Not Detected. (1) Check the sections of this part: § 40.181 What information do laboratories ‘‘Failed to reconfirm: Both tests need to report to MROs regarding split § 40.3—definition. specimen results? canceled’’ box in Step 8 on Copy 3 of §§ 40.63–40.65—quantity of split specimen. the CCF. (a) As the laboratory responsible for § 40.67—directly observed test when split (2) Report directly to the DER and the specimen is unavailable. testing the split specimen, you must employee that both tests must be §§ 40.73–40.75—collection process for split report split specimen test results as canceled. specimens. either Reconfirmed [notating the (3) Using a format that includes the § 40.83—laboratory accessioning of split specific drug in the appropriate drug(s)/ items in Appendix E, inform ODAPC of specimens. drug metabolite(s) box(es)], Failed to the failure to reconfirm. § 40.95—laboratory reports of unavailability. Reconfirm, or Test Not Performed in (c) Failed to Reconfirm: Specimen § 40.99—laboratory retention of split Step 7 on Copy 3 of the CCF. Adulterated/Substituted. (1) Check the specimens. (b) Additionally, you must include an ‘‘Failed to Reconfirm’’ box. § 40.103—blind split specimens. appropriate comment on the ‘‘Remarks’’ (2) Line through the accompanying § 40.145—MRO notice to employees on tests of split specimen. line if you find that the specimen is phrase, ‘‘Both tests canceled.’’ adulterated or substituted, or if the drug § 40.153—use for other purposes prohibited. (3) Enter (as appropriate) § 40.157—employer actions. test was not performed. ‘‘Adulterated’’ or ‘‘Substituted,’’ and §§ 40.193–40.205—MRO actions on (c) You must check the ‘‘Failed to ‘‘Refusal to test’’ on the ‘‘Remarks’’ line insufficient or unavailable split Reconfirm’’ box in Step 7 on Copy 3 of in Step 8 on Copy 3 of the CCF. specimens. the CCF if the drug(s)/drug metabolite(s) (4) Report directly to the DER and the § 40.329—MRO provision of information to is not detected, the specimen is employee that the specimen was other employers.

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Subpart IÐProblems in Drug Tests § 40.193 What happens when an employee documented pre-existing psychological is unable to provide a sufficient amount of disorder, but does not include § 40.191 What is a refusal to take a DOT urine for a drug test? unsupported assertions of ‘‘situational drug test, and what are the consequences? (a) If an employee is unable to provide anxiety’’ or dehydration. (a) As an employee, you have refused a sufficient amount of urine to permit a (f) As the examining physician, after to take a drug test if you: valid drug test (i.e., 30 mL of urine for making your determination, you must (1) Fail to show up for any test within a single specimen collection or 45 mL provide a written statement of your a reasonable time after being directed to of urine for a split specimen collection), conclusions to the MRO. You must not do so by the employer. This includes the following steps must be taken. include in this statement detailed the failure of an employee (including an (b) As the collector, you must do the information on the employee’s medical owner-operator) to appear for a test following: condition. when called by a third-party (1) Discard the insufficient specimen, (g) If, as the examining physician in administrator or consortium. (see except where the insufficient specimen the case of a pre-employment test, you § 40.61(a)); was out of temperature range or showed determine that the employee’s medical (2) Fail to provide a urine specimen evidence of adulteration or tampering condition is a serious and permanent or for any drug test required by this part (see § 40.65(b) and (c)). long-term disability that is highly likely or DOT agency regulations; (2) Direct the employee to drink up to to prevent the employee from providing (3) In the case of a directly observed 40 ounces of fluid, distributed a sufficient volume of urine for a very or monitored collection in a drug test, reasonably through a period of up to long or indefinite period of time, you fail to permit the observation or three hours, or until the individual has must set forth your determination and monitoring of your provision of a provided a new sufficient amount of the reasons for it in your written specimen (see §§ 40.67(k) and 40.69(i)); urine, whichever occurs first. statement to the MRO. Upon receiving (4) Fail to provide a sufficient amount (3) If the employee refuses to drink such a report, the MRO must follow the of urine when directed, unless the fluids as directed or to provide a new requirements of § 40.195. physician has determined, through a urine specimen, you must discontinue (h) As the MRO, you must report the required medical evaluation, that there the collection, note the fact in the examining physician’s determination was an adequate medical explanation ‘‘Remarks’’ section of the CCF, and directly to the DER in writing as soon for the failure (see § 40.193(d)(2)); immediately notify the DER. This is a as you receive it. (5) Fail to drink fluids as directed by refusal to test. (i) As the employer, when you receive the collector following a failure to (4) If the employee has not provided a report from the MRO indicating that provide a sufficient amount of urine (see a sufficient specimen within three hours a test is canceled as provided in § 40.193(b)(2)); of the first unsuccessful attempt to paragraph (d)(1) of this section, you take (6) Fail to undergo an additional provide the specimen, you must no further action with respect to the medical examination, as directed by the discontinue the collection, note the fact employee. The employee remains in the MRO as part of the verification process, in the ‘‘Remarks’’ section of the CCF, random testing pool. or as directed by the physician and immediately notify the DER. § 40.195 What happens when an individual conducting the evaluation as part of the (c) As the DER when the collector is unable to provide a sufficient amount of ‘‘shy bladder’’ procedures of this part; or informs you that the employee has not urine for a pre-employment drug test (7) Fail to cooperate (e.g., leave the provided a sufficient amount of urine because of a permanent or long-term test site before the collection process is (see paragraph (b)(4) of this section), disability? completed, refuse to empty pockets or you must direct the employee to obtain, (a) When it is determined, through the boots) with any part of the testing within five working days, an evaluation required medical evaluation outlined in process. from a licensed physician who is § 40.193(d) that an individual has a (b) As an employee, you are also acceptable to the employer concerning medical condition that precluded him considered to have refused to take a the employee’s medical ability to or her from providing the requisite drug test if your specimen is found to provide a sufficient amount of urine. amount of urine during a pre- have been adulterated or substituted. This physician may, but need not, be employment test event and that the (c) As an employee, if you refuse to the MRO. DOT agency regulations may condition is documented as being take a drug test, you incur the specify a different time period within permanent or long-term, as an MRO: consequences specified under DOT which this evaluation must take place. (1) You must determine if there is agency regulations for a violation of (d) As the examining physician, you clinical evidence that would indicate those DOT agency regulations. must make one of the following the individual is an illicit drug user. (d) As a collector or an MRO, or as the determinations, in your reasonable You will accomplish this by personally physician evaluating a ‘‘shy bladder’’ medical judgment: conducting a medical examination and condition, when an employee refuses to (1) A medical condition has, or with through consultation with the participate in the part of the testing a high degree of probability could have, employee’s physician and/or the process in which you are involved, you precluded the employee from providing physician who conducted the must terminate the portion of the testing a sufficient amount of urine. In this § 40.193(d) medical evaluation. process in which you are involved, case, the test is canceled. (2) If unable to personally conduct the document the refusal on the CCF (or in (2) There is not an adequate basis for medical examination, you must ensure a separate document which you cause to determining that a medical condition that one is conducted by a licensed be attached to the form), and notify the has, or with a high degree of probability physician. This physician must be DER. could have, precluded the employee suitable to the employer. (e) As an employee, when you refuse from providing a sufficient amount of (b) For purposes of this section, DOT to take a non-DOT test or to sign a non- urine. This is a refusal to test. will offer no objection if the MRO or DOT testing or consent form, you have (e) For purposes of this paragraph, a examining physician believes a blood not refused to take a DOT test. There are medical condition includes an test to be one of the medically- no consequences under DOT agency ascertainable physiological condition appropriate procedures in determining regulations for such a refusal. (e.g., a urinary system dysfunction) or a clinical evidence of drug use.

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(c) If the medical examination reveals the primary or single specimen bottle the CCF, or is incorrect, unless the no clinical evidence of drug use, as the for analysis and any necessary employee’s refusal to provide the MRO, you will report the result to the reanalysis for quality control and, in the information is noted in the ‘‘Remarks’’ employer as a negative test with written case of a single specimen, section of the CCF. notations regarding results of both the reconfirmation of results. (e) The certifying scientist’s signature § 40.193(d) evaluation and the medical is omitted on the laboratory copy of the § 40.199 What problems will always result CCF for a positive test result. examination—one determining that a in a drug test being canceled and may permanent or long-term medical result in a requirement for another (f) The collector uses a non-DOT form condition exists making requisite collection? for the test, provided that the testing process is conducted in a HHS-certified urination impossible, the other As the MRO, you must cancel a drug laboratory in accordance with DOT determining that no signs and test if any of the following problems screening and confirmation test criteria symptoms of drug use exist. occur. You must inform the DER that (see §§ 40.45 and 40.47). (d) If the medical examination reveals the test was canceled and must be clinical evidence of drug use, as the treated as if the test never occurred. You § 40.203 How are drug test problems MRO, you will report the result to the must also direct the DER to ensure that corrected? employer as a canceled test with written an additional collection occurs, when (a) As a collector, you have the notations regarding results of both the required by the appropriate procedures § 40.193(d) evaluation and the medical responsibility of trying to successfully specified in paragraphs (a) through (d) complete a collection procedure for examination—one determining that a of this section. permanent or long-term medical each employee. (a) The laboratory reports result test as (1) If, during or shortly after the condition exists making requisite ‘‘Test Not Performed: Specimen collection process, you become aware of urination impossible, the other Unsuitable.’’ You must follow any event that prevents the completion determining that signs and symptoms of appropriate procedures outlined at of a valid test or collection (e.g., a drug use exist. § 40.151. (e) For purposes of this section, procedural or paperwork error), you (b) The laboratory reports the result as must try to correct the problem permanent or long-term medical ‘‘Test Not Performed: Specimen conditions are those physiologic, promptly, if doing so is practicable. You Rejected for Testing.’’ You must follow may conduct another collection as part anatomic, or psychological appropriate procedures outlined at abnormalities documented as being of this effort. § 40.155. (2) If another collection is necessary, present prior to the attempted (c) The laboratory’s test of the primary you must begin the new collection collection, and considered not amenable specimen is positive and the split procedure as soon as possible, using a to correction or cure for an extended specimen is reported by the laboratory new CCF and a new collection kit. period of time, if ever. as either ‘‘Failure to Reconfirm: Drug/ (b) If, as a collector, laboratory, MRO, (1) Examples would include Drug Metabolite Not Detected’’ or ‘‘Test employer, or other person implementing destruction (any cause) of the Not Performed.’’ You must follow these drug testing regulations, you glomerular filtration system leading to appropriate procedures outlined at become aware of a problem that may be renal failure; unrepaired traumatic § 40.183(b) and (d). corrected (see § 40.201), but which has disruption of the urinary tract; a severe (d) The examining physician has not already been corrected under psychiatric disorder focused on genito- determined that there is an acceptable paragraph (a) of this section, you must urinary matters. medical explanation of the employee’s take all practicable action to correct the (2) Acute or temporary medical failure to provide a sufficient amount of conditions, such as cystitis, urethritis or problem so that the test is not canceled. urine (see § 40.193(d)(1)). (1) If the problem resulted from the prostatitis, though they might interfere omission of required information, you with collection for a limited period of § 40.201 What problems will result in the must, as the person responsible for time, cannot receive the same drug test being canceled unless they are providing that information, supply, in exceptional consideration as the corrected? writing, the missing information and a permanent or long-term conditions As an MRO, you must cancel a drug statement that it is true and accurate. discussed in paragraph (e)(1) of this test if any of the following problems For example, suppose you are a section. occur, unless they are corrected. These are ‘‘correctable flaws.’’ If the problems collector, and you forgot to make a § 40.197 What problems will always result are not corrected, you must inform the notation in the ‘‘Remarks’’ section of the in a drug test being canceled? DER that the test was canceled and must CCF that the employee refused to sign As the MRO, you must cancel a drug be treated as if the test never occurred. the certification. You would, when the test if any of the following problems (a) The collector’s signature is omitted problem is called to your attention, occur. These are ‘‘fatal flaws.’’ You must on the certification statement on the supply a written statement that the inform the DER that the test was CCF (see § 40.75(a)(2)). employee refused to sign the canceled and must be treated as if the (b) The chain of custody block on the certification, and you would certify, in test never occurred. These problems are: CCF is incomplete. (To be complete, the writing, that your statement is true and (a) The specimen ID numbers on the block must include, as a minimum, two accurate. specimen bottle and the CCF do not signed entries by the collector, both (2) If the problem is the use of a non- match; dated, and a shipping/storage entry (see DOT form, you must, as the person (b) There is no specimen ID number § 40.75(a)(3)and (4)). responsible for the use of the incorrect on the specimen bottle; (c) The employee’s signature is form, certify in writing that the incorrect (c) The specimen bottle seal is broken omitted from the certification statement, form contains all the information or shows evidence of tampering (unless unless the employee’s refusal to sign is needed for a valid DOT test and does a split specimen can be redesignated, noted in the ‘‘Remarks’’ section of the not contain information prohibited in see § 40.83(f)); or CCF (see § 40.75(a)(1)). DOT tests. You must also provide a (d) Because of leakage or other causes, (d) The employee’s social security written statement that the incorrect form there is insufficient amount of urine in number or ID number is omitted from was used inadvertently or out of

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(3) Be retrained to proficiency if you to have been corrected, the test of the § 40.211 Who conducts DOT alcohol specimen must have occurred at a HHS- tests? have made a mistake in the testing certified laboratory where it was tested process that has caused a test to be (a) Screening test technicians (STTs) using the testing protocol in this part. canceled. and breath alcohol technicians (BATs) (3) The written documentation of a (i) This retraining must be provided meeting their respective requirements of correction must be maintained with the and your proficiency documented in this subpart are the only people CCF. writing by a person sufficiently authorized to conduct DOT alcohol knowledgeable in the applicable alcohol § 40.205 What is the effect of a canceled tests. testing procedures of this part to be able drug test? (b) An STT or a BAT must be trained to evaluate STT performance. (a) A canceled drug test is neither to proficiency in correctly carrying out (ii) The instruction need only be in positive nor negative. the alcohol testing requirements of this the general area of your deficiency that (1) As an employer, you must not part. caused the test to be canceled. attach to a canceled test the (c) An STT can only conduct alcohol (iii) As part of the retraining, you will consequences of a positive test (e.g., screening tests, but a BAT can conduct have to demonstrate your proficiency in removal from a safety-sensitive alcohol screening and confirmation alcohol testing under this part by position). tests. completing three consecutive error-free (2) As an employer, you must not use (d) As the direct supervisor of a trial tests before you conduct another a canceled test for the purposes of a particular employee, you may not act as DOT alcohol test. negative test (e.g., in the case of a pre- the STT or BAT when that employee is (iv) The person providing the employment, a return-to-duty, or a tested, unless no other STT or BAT is instruction will monitor, evaluate, and follow-up test, to authorize the available and you are permitted to do so attest whether or not the trial tests are employee to perform safety-sensitive under DOT agency regulations. ‘‘error-free.’’ (b) To be a BAT, you must do the functions). § 40.213 What requirements must STTs (b) A canceled test does not count and BATs meet? following: toward compliance with DOT (1) Be trained to proficiency on the requirements, such as a minimum (a) To be an STT, you must do the alcohol testing procedures of this part random testing rate. following: and in the operation of the particular (1) Be trained to proficiency on the evidential breath testing device(s) § 40.207 What is the effect of procedural alcohol testing procedures of this part (EBTs) you are using, by an instructor(s) problems that are not sufficient to cancel a and in the operation of the particular sufficiently knowledgeable in the DOT drug test? alcohol screening device(s) (ASD) you Model Course and in the use of the (a) As a collector, laboratory, MRO, are using by an instructor(s) sufficiently EBT(s) that you will be using to be able employer or other person administering knowledgeable in the DOT Model to evaluate BAT performance. the drug testing process, you must Course and in the use of the ASD(s) that (i) The training must be provided document any errors in the testing you will be using to be able to evaluate using the DOT Model Course for BATs process of which you become aware, STT performance. (The DOT Model or a course of instruction equivalent to even if they are not considered Course is available at U.S. Government it, as determined by ODAPC. On problems that will cause a test to be Printing Office, Superintendent of request, ODAPC will review BAT canceled as listed in this subpart. Documents, P.O. Box 371954, instruction course for equivalency. Decisions about the ultimate impact of Pittsburgh, PA 15250–7954.) (ii) The course of instruction must these errors will be determined by other (i) The training must be provided provide written documentation by the administrative or legal proceedings, using the DOT Model Course for STTs instructor that you have demonstrated subject to the limitation of paragraph (b) or a course of instruction equivalent to proficiency on the specific EBT(s) you of this section. it, as determined by ODAPC. On will use. (b) No person concerned with the request, ODAPC will review STT (iii) The demonstration of proficiency testing process may declare a test instruction courses for equivalency. must be done in front of the instructor, canceled based on an error that does not (ii) The course of instruction must in order that he or she can accurately have a significant adverse effect on the provide written documentation by the determine if you are qualified to be a right of the employee to have a fair and instructor that you have demonstrated BAT. accurate test. For example, it is proficiency on the specific ASD(s) you (iv) The instruction must emphasize inconsistent with these regulations to will use. that you are responsible for maintaining cancel a test based on a minor (iii) The demonstration of proficiency the integrity of the testing process, administrative mistake (e.g., the must be done in front of the instructor, ensuring the privacy of employees being omission of the employee’s middle in order that he or she can accurately tested, and avoiding conduct or initial) or an error that does not affect determine if you are qualified to be an statements that could be viewed as employee protections under this part STT. offensive or inappropriate. (e.g., the collector’s failure to add bluing (iv) The instruction must emphasize (2) Be retrained to proficiency if you agent to the toilet bowl, which adversely that you are responsible for maintaining have made a mistake in the testing affects only the ability of the collector the integrity of the testing process, process that has caused a test to be to detect tampering with the specimen ensuring the privacy of employees being canceled. by the employee). tested, and avoiding conduct or (i) This retraining must be provided (c) As an employer, these errors, even statements that could be viewed as and your proficiency documented in though not sufficient to cancel a drug offensive or inappropriate. writing by a person sufficiently

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In this case, the site must alcohol testing under this part by documentation as long as the person afford visual and aural privacy to the completing three consecutive error-free performs STT and/or BAT functions for employee to the greatest extent trial tests before you conduct another the organization and for two years after practicable. DOT alcohol test. the person ceases to perform these (iv) The person providing the (f) An alcohol testing site can be in a functions for the organization. medical facility, a mobile facility (e.g., instruction will monitor, evaluate, and (c) You must provide to the STTs and attest whether or not the trial test a van), a dedicated collection facility, or BATs the name and telephone number any other location meeting the collections are ‘‘error-free.’’ of the appropriate DER to contact about (c) Anyone meeting the requirements requirements of this section. any problems or issues that may arise of § 40.213 to be a BAT may act as an during the testing process. § 40.223 What steps must be taken to STT, provided that the individual has protect the security of alcohol testing sites? demonstrated proficiency in the § 40.217 Where is other information on the operation of the ASD that he or she is role of STTs and BATs found in this (a) If you are operating an alcohol using. regulation? testing site, you must prevent (d) Law enforcement officers who You can find other information on the unauthorized personnel from entering have been certified by state or local role and functions of STTs and BATs in the testing location. governments to conduct breath alcohol the following sections of this part: (1) The only people you are to treat testing are deemed to be qualified as as authorized persons are employees BATs. In order for a test conducted by § 40.1—application of rule to STTs and BATs. being tested, BATs, STTs, and other such an officer to be accepted under § 40.3—definitions. alcohol site workers, DERs, employee DOT alcohol testing requirements, the § 40.223—responsibility for supervising representatives authorized by the officer must have been certified by a employees being tested. employer (e.g., on the basis of employer state or local government to use the EBT §§ 40.225–40.227—use of the alcohol testing policy or labor-management agreement), or ASD that was used for the test. form. and DOT agency representatives. (e) As an STT or BAT, you must §§ 40.241–40.243—screening test receive additional training, as needed, procedures. (2) You must make sure that all to ensure proficiency on new or § 40.243—use of ASDs. persons are under the supervision of a additional devices or changes in § § 40.251–40.255—confirmation test BAT or STT at all times when permitted technology that you will use. procedures. into the site. (f) As an STT or BAT, you must read § 40.261—refusals to test. (3) You may remove any person who §§ 40.263–40.265—insufficient saliva or the alcohol testing procedures in this breath. obstructs, interferes with, or causes part and the current DOT Model Course, § 40.267—problems requiring cancellation of unnecessary delay in the testing as applicable, and attest in writing to tests. process. your understanding of them. You will §§ 40.267–40.271—correcting problems in (b) If you are operating an alcohol have to demonstrate your proficiency in tests. testing site, you must make sure that alcohol testing of this part by when an EBT is not being used for Subpart KÐTesting Sites, Forms, completing three consecutive error-free testing, you store it in a secure place. trial tests in front of a person Equipment and Supplies Used in (c) If you are operating an alcohol sufficiently knowledgeable in the Alcohol Testing testing site, you must make sure that no applicable alcohol testing procedures of § 40.221 Where does an alcohol test take one other than BATs or other employees this part to be able to evaluate STT or place? of the site have access to the site when BAT performance. That person will (a) A DOT alcohol test is required to an EBT is unsecured. monitor, evaluate, and attest whether or take place at an alcohol testing site (d) As a BAT or STT, to avoid not the trial tests are ‘‘error-free.’’ You meeting the requirements of this must complete the requirements of this distraction that could compromise section. security, you may have only one paragraph by [date one year from the (b) If you are operating an alcohol effective date of the final regulation], or employee under your direct supervision testing site, you must make sure that it at any time. two years from the date you became an meets the security requirements of STT or BAT, whichever is later, and § 40.223. (1) When an EBT screening test on an once every two years, thereafter. (c) If you are operating an alcohol employee indicates a result at the 0.02 (g) As an STT or BAT, you must testing site, you must make sure that it concentration or higher, and the same maintain all documentation of training/ provides visual and aural privacy to the EBT will be used for the confirmation retraining as long as you serve as an employee being tested, sufficient to test, you are not allowed to use the EBT STT and/or BAT. prevent unauthorized persons from for a screening test on another employee before completing the confirmation test § 40.215 What requirements must seeing or hearing test results. organizations employing STTs and/or BATs (d) If you are operating an alcohol on the first employee. meet? testing site, you must make sure that it (2) As a BAT who will conduct both This section becomes effective [date has all needed personnel, materials, the screening and the confirmation test, one year from the effective date of the equipment, facilities, and supervision to you are to complete the entire screening final regulation]. provide for the collection and analysis and confirmation process on one (a) As an organization employing the of breath and/or saliva samples, and a employee before starting the screening STT and/or BAT (e.g., a transportation suitable clean surface for writing. process on another employee.

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(3) You are not allowed to leave the employer or service agent to cancel the (b) As the manufacturer, you must alcohol testing site while the testing test. However, in order for the test to be include, with each EBT, instructions for process for a given employee is in considered valid, a signed statement its use and care consistent with the progress. must be obtained from the STT or BAT QAP. As an employer, you must follow stating the reason why the BATF was these instructions, including § 40.225 What form is used for an alcohol not used for the DOT test. performance of external calibration test? checks at the intervals the instructions (a) The DOT Breath Alcohol Testing § 40.229 What devices are used to conduct specify. Form (BATF must be used for every alcohol screening tests? (c) As an employer conducting DOT alcohol test. The BATF must be a EBTs and ASDs on the National external calibration checks, you must three-part carbonless manifold form. Highway Traffic Safety Administration’s use calibration devices listed on (The BATF is available at U.S. (NHTSA) conforming products lists NHTSA’s CPL for ‘‘Calibrating Units for Government Printing Office, (CPL) for evidential and non-evidential Breath Alcohol Tests.’’ Superintendent of Documents, P.O. Box devices are the only devices you are (d) If an EBT fails an external check 371954, Pittsburgh, PA 15250–7954.) allowed to use to conduct alcohol of calibration, as an employer you must (b) As an employer in the DOT screening tests under this part. take the EBT out of service. You may alcohol testing program, you may not not use the EBT again for DOT alcohol § 40.231 What devices are used to conduct modify or revise the BATF except as alcohol confirmation tests? testing until it is repaired and passes an follows: external calibration check. (1) You may include other (a) EBTs on the NHTSA CPL for (e) As an employer, you must information needed for billing or other evidential devices that meet the maintain records of the external purposes necessary to the collection requirements of paragraph (b) of this calibration checks of EBTs as provided process. section are the only devices you may in § 40.335(a)(v). (2) You may use a BATF directly use to conduct alcohol confirmation (f) As an employer, you must ensure generated by an EBT which omits the tests under this part. that inspection, maintenance, and (b) To conduct a confirmation test, space for affixing a separate printed calibration of the EBT are performed by you must use an EBT that has the result to the BATF, provided the EBT its manufacturer or a maintenance following capabilities: prints the result directly on the BATF. representative certified either by the (1) Provides a printed triplicate result (3) You may use a BATF that has the manufacturer or by a state health agency (or three consecutive identical copies of employer’s name, address, and or other appropriate state agency. a result) of each breath test; telephone number preprinted. (2) Assigns a unique, sequential § 40.235 What are the requirements for (4) Instead of printing the entire pages number to each completed test, which proper use and care of ASDs? of the BATF in the colors specified by the BAT and employee can read before DOT, you may use white pages with (a) As an ASD manufacturer, you each test and which is printed on each must submit, for NHTSA approval, a clearly discernible borders in the copy of the result; specified color for each page. QAP for your ASD before NHTSA places (3) Prints, on each copy of the result, the ASD on the CPL. Your QAP must (5) As a BAT or STT, you may add, the manufacturer’s name for the device, in the ‘‘Remarks’’ section of the BATF, specify the methods used for quality its serial number, and the time of the control checks, temperatures at which the name of the DOT agency under test; whose authority the test occurred. the ASD must be stored and used, the (4) Distinguishes alcohol from acetone shelf life of the device, and (6) As a BAT or STT, you may use a at the 0.02 alcohol concentration level; BATF that has your name, address, and environmental conditions (e.g., altitude, (5) Tests an air blank; and humidity) that may affect the ASD’s telephone number preprinted, but under (6) Performs an external calibration no circumstances can your signature be performance. check. (b) As a manufacturer, you must preprinted. include, with each ASD, provided to an (c) As an employer outside the United § 40.233 What are the requirements for employer, instructions for its use and States, you may use an equivalent proper use and care of EBTs? care consistent with the QAP. The foreign-language version of the BATF (a) As an EBT manufacturer, you must instructions must include directions on approved by ODAPC (e.g., in French for submit, for NHTSA approval, a quality the proper use of the ASD, the time use in Canada or Spanish for use in assurance plan (QAP) for your EBT within which the device must be read, Mexico). before NHTSA places the EBT on the CPL. and the manner in which the reading is § 40.227 May employers use the BATF for (1) Your QAP must specify the made. non-DOT tests, and vice-versa? methods used to perform external (c) As the employer, you must follow (a) No. As an employer, you are calibration checks on the EBT, the the QAP instructions. prohibited from using the BATF for tolerances within which the EBT is (d) As an employer, you are not non-DOT alcohol tests. You are also regarded as being in proper calibration, permitted to use an ASD that does not prohibited from using non-DOT forms and the intervals at which these checks pass the specified quality control checks for DOT alcohol tests. Doing either must be performed. In designating these or that has passed its expiration date. subjects you to enforcement action intervals, your QAP must take into Subpart LÐAlcohol Screening Tests under DOT agency regulations. account factors like frequency of use, (b) If the STT or BAT, either by environmental conditions (e.g., § 40.241 What are the first steps in any mistake, or as the only means to temperature, humidity, altitude) and alcohol screening test? conduct a test under difficult type of operation (e.g., stationary or (a) This section lists the procedures circumstances (e.g., post-accident test mobile). used to begin any alcohol screening test, with insufficient time to obtain the (2) Your QAP must also specify the no matter whether an ASD or EBT is BATF), uses a non-DOT form for a DOT inspection, maintenance, and being used. test, the use of a non-DOT form does calibration requirements and intervals (b) As the BAT you will take the not, in and of itself, require the for the EBT. following steps:

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(1) If an employee does not show up (a) Select, or allow the employee to regarding necessary next steps in at the testing site at the scheduled time, select, an individually wrapped or ensuring that the device has activated. contact the DER to determine the sealed mouthpiece from the testing (f)(1) If you were unable to appropriate interval within which the materials. successfully (e.g., the device breaks, you DER has determined the employee is (b) Open the individually wrapped or drop the device on the floor) follow the authorized to arrive. If the employee’s sealed mouthpiece in view of the procedures of paragraphs (c) through (e) arrival is delayed beyond that time, you employee and insert it into the device of this section, you must discard the must notify the DER that the employee in accordance with the manufacturer’s device and conduct a new test using a is a ‘‘no show.’’ instructions. new device. (2) Make sure that, when the (c) Instruct the employee to blow (2) The new device you use must be employee enters the alcohol testing site, steadily, and forcefully, into the one that has been under your control or you begin the alcohol testing process mouthpiece for at least six seconds or that of the employer before the test. without delay. For example, you must until the device indicates that an (3) You must note in the ‘‘Remarks’’ not wait because the employee says he adequate amount of breath has been section of the BATF the reason for the or she is not ready or because an obtained. new test. (Note: You may continue using authorized employer or employee (d) Show the employee the displayed the same BATF with which you began representative is delayed in arriving. test result. the test.) (i) If the employee is also going to (e) If the device is one that prints the (4) You must offer the employee the provide a urine specimen, you must test number, testing device name and choice of using the device or having you complete the alcohol test before the serial number, time and result directly use it unless the employee, in the urine collection process begins. onto the BATF, you must check to opinion of the STT or BAT, was (ii) If the employee needs medical ensure that the information has been responsible (e.g., the employee dropped attention (e.g., an injured employee in printed correctly onto the BATF. the device) for the new test needing to an emergency medical facility who is (f) If the device is one that prints the be conducted. (5) If you are unable to successfully required to have a post-accident test), do test number, testing device name and follow the procedures of paragraphs (c) not delay this treatment to conduct a serial number, time and result, but on a through (e) of this section on the new test. separate printout rather than directly test, you must end the collection and (3) Require the employee to provide onto the BATF, you must affix the put an explanation in the ‘‘Remarks’’ positive identification. You must see a printout of the information to the designated space on the back of the section of the BATF. photo ID issued by the employer or a (6) You must then direct the employee BATF with tamper-evident tape. Federal, state, or local government to take a new test, using an EBT for the (g) If the device is one that does not agency for this purpose. You may not screening test. accept faxes or photocopies of print the test number, testing device (g) If you are able to successfully identification. Positive identification by name and serial number, time, and follow the procedures of paragraphs (c) an employer representative (not a co- result, or it is a device not being used through (e) of this section, but the worker or another employee being with a printer, you must record this device does not activate, you must tested) is also acceptable. If the information in Step 3 of the BATF. discard the device and conduct a new employee cannot produce positive § 40.245 What is the procedure for an test, in the same manner as provided in identification, you must contact a DER alcohol screening test using a saliva ASD? paragraph (f) of this section. In this case, to verify the identity of the employee. As the STT, you must take the you must place the device into the (4) If the employee asks, provide employee’s mouth to collect saliva for identification to the employee. Your following steps: (a) Check the expiration date on the the new test. identification must include your name, (h) You must read the result displayed your employer’s name, address, and device and show it to the employee. You may not use the device after its on the device no sooner than the telephone number but does not have to device’s manufacturer instructs. In all include your picture, address, or expiration date. (b) Open an individually wrapped or cases the result displayed must be read telephone number. sealed package containing the device in within 15 minutes of the test. You must (5) Explain the testing procedure to then show the device and its reading to the employee, including showing the the presence of the employee. (c) Offer the employee the the employee and enter the result on the employee the instructions on the back of opportunity to use the device. If the BATF. the BATF. (i) You must never re-use devices, (6) Complete Step 1 of the BATF. employee uses it, you must instruct the employee to insert it into his or her swabs, gloves or other materials used in (7) Direct the employee to complete saliva testing. Step 2 on the BATF and sign the mouth and use it in a manner described certification. by the device’s manufacturer. § 40.247 What happens next after the (i) If the employee refuses to sign this (d) If the employee chooses not to use alcohol screening test result? certification, you must document this the device, or in all cases in which a After the ASD or EBT has displayed refusal in the remarks section and new test is necessary because the device or printed a result on an alcohol immediately notify the DER. did not activate (see paragraph (g) of screening test, you must, as the STT or (ii) The employer must treat the event this section), you must insert the device BAT, take the following additional described in paragraph (b)(7)(i) of this into the employee’s mouth and gather steps: section as a refusal to test on the part saliva in the manner described by the (a) In the case of a screening test using of the employee. device’s manufacturer. You must wear an ASD, you must write in the single-use examination or similar gloves ‘‘Remarks’’ section of the BATF whether § 40.243 What is the procedure for an while doing so and change them you used a saliva device or a non- alcohol screening test using an EBT or non- following each test. evidential breath device. evidential breath ASD? (e) When the device is removed from (b) If the test result is an alcohol As the BAT or STT, you must take the the employee’s mouth, you must follow concentration of less than 0.02, you following steps: the manufacturer’s instructions must do the following:

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(1) Sign and date Step 3 of the BATF; Subpart MÐAlcohol Confirmation was obtained, you must begin the (2) Instruct the employee to sign and Tests confirmation test procedures in date Step 4 of the BATF. If the employee § 40.253, not another screening test. does not do so, you must note this in the § 40.251 What are the first steps in an (1) You must note in the ‘‘Remarks’’ alcohol confirmation test? ‘‘Remarks’’ section of the BATF. You section of the BATF the time that must not treat the employee’s failure to As the BAT for an alcohol elapsed between the two events and the sign Step 4 as a refusal to test; and confirmation test, you must follow these reason why the confirmation test could (3) Transmit the result directly to the steps to begin the confirmation test not begin within 30 minutes of the DER in a confidential manner, as process: screening test. provided in § 40.255. (a) You must carry out a requirement (2) Beginning the confirmation test (c) If the test result is an alcohol for a waiting period before the procedures after the 30 minutes have concentration of 0.02 or higher, you confirmation test, by taking the elapsed does not invalidate the must do the following: following steps: screening or confirmation tests, but may (1) Direct the employee to take a (1) You must ensure that the waiting constitute a regulation violation subject confirmation test and conduct the test period lasts at least 15 minutes, but not to DOT agency sanction. using procedures beginning at § 40.251; more than 30 minutes, starting with the or completion of the screening test. § 40.253 What are the procedures for (2) If you are not the BAT who will (i) If the confirmation test is taking conducting an alcohol confirmation test? conduct the confirmation test, direct the place at a different location from the As the BAT for an alcohol employee to take a confirmation test, screening test (see § 40.247(c)(3)) the confirmation test, you must follow these sign and date Step 3 of the BATF, and time of transit between sites counts steps in order to complete the give the employee Copy 2 of the BATF; toward the waiting period if the STT or confirmation test process: and BAT who conducted the screening test (a) In the presence of the employee, (3) If the confirmation test will be provided the waiting period you must conduct an air blank on the performed at a different site from the instructions. EBT you are using before beginning the screening test, you must take the (ii) If you cannot verify, through confirmation test and show the reading following additional steps: review of the BATF, that waiting period (i) Advise the employee not to eat, to the employee. instructions were provided, then you (1) If the reading is 0.00, the test may drink, put anything (e.g., cigarette, must carry out the waiting period chewing gum) into his or her mouth, or proceed. If the reading is greater than requirement. 0.00, you must conduct another air belch; (2) Concerning the waiting period, (ii) Tell the employee the reason for blank. you must tell the employee: (2) If the reading on the second air the waiting period (i.e., to prevent an (i) Not to eat, drink, put anything (e.g., accumulation of mouth alcohol from blank is 0.00, the test may proceed. If cigarette, chewing gum) into his or her the reading is greater than 0.00, you leading to an artificially high reading); mouth, or belch; (iii) Explain that following your must take the EBT out of service. (ii) The reason for the waiting period instructions concerning the waiting (3) If you take an EBT out of service (i.e., to prevent an accumulation of period is to the employee’s benefit; for this reason, no one may use it for mouth alcohol from leading to an (iv) Explain that the confirmation test testing until the EBT is found to be artificially high reading); will be conducted at the end of the within tolerance limits on an external (iii) That following the instructions waiting period, even if the instructions check of calibration. concerning the waiting period is to the have not been followed; (4) You must proceed with the test of (v) Note in the remarks section of the employee’s benefit; and (iv) That the confirmation test will be the employee using another EBT, if one BATF that the waiting period is available. instructions were provided; conducted at the end of the waiting period, even if the instructions have not (b) You must open a new individually (vi) Advise the employee not to drive, wrapped or sealed mouthpiece in view operate heavy equipment, or perform been followed. (3) If you become aware that the of the employee and insert it into the safety-sensitive functions, and show the device in accordance with the employee the warning to this effect in employee has not followed the instructions, you must note this in the manufacturer’s instructions. Step 4 of the BATF; (c) You must make sure that you and (vii) Instruct the employee to sign and ‘‘Remarks’’ section of the BATF. the employee read the sequential test date Step 4 of the BATF. If the employee (b) If you did not conduct the number displayed on the EBT. does not do so, you must note this in the screening test for the employee, you ‘‘Remarks’’ section of the BATF. You must require positive identification of (d) You must instruct the employee to must not treat the employee’s failure to the employee, explain the confirmation blow steadily and forcefully into the sign Step 4 as a refusal to test; procedures, and use a new BATF. You mouthpiece for at least six seconds or (viii) Instruct the employee to carry a must note in the ‘‘Remarks’’ section of until the device indicates that an copy of the BATF to the BAT who will the BATF that a different BAT or STT adequate amount of breath has been perform the confirmation test; and conducted the screening test. obtained. (ix) Make sure that you or another (c) Complete Step 1 of the BATF. (e) You must show the employee the BAT, STT, or employer representative (1) Direct the employee to complete result displayed on the EBT. observe the employee as he or she is Step 2 on the BATF and sign the (f) You must show the employee the transported to the confirmation testing certification. result and sequential test number that site. (2) If the employee refuses to sign this the EBT prints out either directly onto (d) If the screening test is invalid, you certification, you must document this the BATF or onto a separate printout. must tell the employee the test is refusal in the remarks section and (g) If the EBT provides a separate canceled and note the problem in the immediately notify the DER. This is printout of the result, you must attach ‘‘Remarks’’ section of the BATF. If considered a refusal to test. the printout to the designated space on practicable, conduct a re-test (see § 40. (d) Even if more than 30 minutes have the back of the BATF, using tamper- 271). passed since the screening test result evident tape.

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§ 40.255 What happens next after the Subpart NÐProblems in Alcohol the new test, you must note the fact in alcohol confirmation test result? Testing the ‘‘Remarks’’ section of the BATF and (a) After the EBT has printed the immediately notify the DER. result of an alcohol confirmation test, § 40.261 What is a refusal to take an (b) As the DER, when the STT informs you must, as the BAT, take the alcohol test, and what are its you that the employee has not provided consequences? following additional steps: a sufficient amount of saliva (see (1) Sign and date Step 3 of the BATF. (a) As an employee, you are paragraph (a)(3) of this section), you (2) Direct the employee to sign and considered to have refused to take an must immediately arrange to administer date Step 4 of the BATF. If the employee alcohol test if you: an alcohol test to the employee using an does not do so, you must note this in the (1) Fail to show up for any test within EBT or other breath testing device. ‘‘Remarks’’ section of the BATF. You a reasonable time after being directed to § 40.265 What happens when an employee must not treat the employee’s failure to do so by the employer. This includes the failure of an employee (including an is unable to provide a sufficient amount of sign Step 4 as a refusal to test. breath for an alcohol test? (3) If the test is invalid, tell the owner-operator) to appear for a test (a) If an employee does not provide a employee the test is canceled and note when called by a third-party sufficient amount of breath to permit a the problem in the ‘‘Remarks’’ section of administrator or consortium. (see valid breath test, you must take the the BATF. If practicable, conduct a re- § 40.241(b)(1)); (2) Fail to provide a saliva or breath steps listed in this section. test. (see § 40.271). (b) As the BAT or STT, you must (4) Transmit the result directly to the specimen, as applicable, for any test required by this part or DOT agency instruct the employee to attempt again DER in a confidential and immediate to provide a sufficient amount of breath. manner. regulations; (3) Refuse to sign the certification in (1) If the employee refuses to make (i) You may transmit the results in the attempt, you must discontinue the writing (using Copy 1 of the BATF), in Step 2 of the BATF (see § 40.241(b)(7)); (4) Fail to provide a sufficient breath test, note the fact in the ‘‘Remarks’’ person, by telephone, or by electronic specimen, unless the physician has section of the BATF, and immediately means. In any case, you must determined, through a required medical notify the DER. immediately notify the DER of any evaluation, that there is an adequate (2) If the employee again attempts and result of 0.02 or greater by any means medical explanation for the failure (see fails to provide a sufficient amount of (e.g., telephone or secure facsimile § 40.265(c)); breath, you must note the fact in the machine) that ensures the result is (5) Fail to undergo an additional ‘‘Remarks’’ section of the BATF and immediately received by the DER. medical examination, as directed by the immediately notify the DER. (ii) If you do not make the initial physician conducting the evaluation as (3) If you are using an EBT that has transmission in writing, you must part of the insufficient breath the capability of operating manually, follow up the initial transmission with procedures outlined at § 40.265(c); or you may attempt to conduct the test in Copy 1 of the BATF. (6) Fail to cooperate with any part of manual mode. (b) As an employer, you must take the the testing process. (4) If you are qualified to use a saliva following steps with respect to the (b) As an employee, if you refuse to ASD and you are in the screening test receipt and storage of alcohol test result take an alcohol test, you incur the same stage, you may change to a saliva ASD information: consequences specified under DOT only to complete the screening test. (1) If you receive any test results that agency regulations for a violation of (c) As the employer, when the BAT or are not in writing (e.g., by telephone or those DOT agency regulations. STT informs you that the employee has electronic means), you must establish a (c) As a BAT or an STT, when an not provided a sufficient amount of mechanism to establish the identity of employee refuses to take an alcohol test, breath (see paragraph (b)(2) of this the BAT sending you the results. you must terminate the portion of the section), you must direct the employee (2) You must store all test result testing process in which you are to obtain, within five working days, an information in a way that protects involved, document the refusal on the evaluation from a licensed physician confidentiality (as outlined in subpart P BATF, and immediately notify the DER who is acceptable to you concerning the of this part). by any means (e.g., telephone or secure employee’s medical ability to provide a facsimile machine) that ensures the sufficient amount of breath. § 40.257 When BATs report test results of (1) You are required to provide the 0.02 or greater to employers, what is an refusal notification is immediately employer to do? received by the DER. physician who will conduct the evaluation with the following (a) As an employer who receives a test § 40.263 What happens when an employee information and instruction: result of 0.04 or greater from the BAT, is unable to provide an adequate amount of (i) That the employee was required to you must immediately remove the saliva for an alcohol screening test? take a DOT breath alcohol test, but was employee involved from performing (a) As the STT, you must take the unable to provide a sufficient amount of safety sensitive functions. You must following steps if an employee is unable breath to complete the test; take this action upon receiving the to provide sufficient saliva to complete (ii) The consequences of the initial notification from the BAT. Do not a test on a saliva screening device (e.g., appropriate DOT agency regulation for wait to receive a written report. the employee does not provide refusing to take the required alcohol (b) As an employer who receives a test sufficient saliva to activate the device). test; result of 0.02 through 0.039 from the (1) You must conduct a new screening (iii) That the physician must provide BAT, you must immediately remove the test using a new screening device. you with a written statement of his or employee involved from performing (2) If the employee refuses to her conclusions; and safety sensitive functions under the complete the new test, you must (iv) That the physician, in his or her conditions stipulated by the appropriate discontinue testing, note the fact in the reasonable medical judgment, must base DOT agency regulation. You must take ‘‘Remarks’’ section of the BATF, and those conclusions on one of the this action upon receiving the initial immediately notify the DER. following determinations: notification from the BAT. Do not wait (3) If the employee has not provided (A) A medical condition has, or with to receive a written report. a sufficient amount of saliva to complete a high degree of probability could have,

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(2) If the problem is the use of a non- determining that a medical condition DOT form, you must, as the person has, or with a high degree of probability § 40.269 What problems cause an alcohol responsible for the use of the incorrect could have precluded the employee test to be canceled unless they are form, certify in writing that the incorrect from providing a sufficient amount of corrected? form contains all the information breath. This constitutes a refusal to test. You must treat an alcohol test as needed for a valid DOT. You must also (C) For purposes of paragraphs canceled if any of the following provide a written statement that the (c)(1)(iv)(A) and (B) of this section, a problems occur, unless they are incorrect form was used either by medical condition includes an corrected. These are ‘‘correctable flaws.’’ mistake, or as the only means to ascertainable physiological condition (a) The BAT or STT does not sign the conduct a test under difficult (e.g., a respiratory system dysfunction) BATF (see §§ 40.247(c)(2) and circumstances (e.g., post-accident test or a documented pre-existing 40.255(a)(1)). with insufficient time to obtain the psychological disorder, but does not (b) The BAT or STT fails to note in BATF), and the steps you have taken to include unsupported assertions of the remarks section of the BATF that the prevent future use of non-DOT forms for ‘‘situational anxiety’’ or employee has failed or refused to sign DOT tests. hyperventilation. the BATF after the result is obtained (2) Upon receipt of the report from the (see §§ 40.247(b)(2) and 40.255(a)(2)). § 40.273 What is the effect of a canceled examining physician, you must (c) In the case of a screening test using alcohol test? immediately inform the employee and an ASD, the BAT or STT fails to note (a) A canceled alcohol test is neither take appropriate action based upon your in the remarks section of the BATF, positive nor negative. DOT agency regulations. whether the test was conducted using a (1) As an employer, you must not saliva or non-evidential breath ASD (see attach to a canceled test the § 40.267 What problems always cause an consequences of a test result that is 0.02 alcohol test to be canceled? § 40.247(a)). (d) The BAT or STT uses a non-DOT or greater (e.g., removal from a safety- As an employer, a BAT, or an STT, form for the test (see § 40.225(a)). sensitive position). you must always cancel an alcohol test (2) As an employer, you must not use if any of the following problems occur. § 40.271 How are alcohol testing problems a canceled test for the purposes of a test These are ‘‘fatal flaws’’ that always corrected? result that is below 0.02 (e.g., in the case cause an alcohol test to be canceled and (a) As a BAT or STT, you are of a pre-employment, return-to-duty, or cannot be corrected: responsible for completing successfully follow-up test to authorize the employee (a) In the case of a screening test an alcohol test for each employee. to perform safety-sensitive functions). conducted on a saliva ASD: (1) If, during or shortly after the (b) A canceled test does not count (1) The STT reads the result either testing process, you become aware of toward compliance with DOT sooner than or later than the time any event that will cause the test to be requirements, such as a minimum allotted by the manufacturer (see canceled (see § 40.267), you must try to random testing rate. § 40.245(h)); correct the problem promptly, if § 40.275 What is the effect of procedural (2) The device does not activate (see practicable. You may repeat the testing § 40.245(e), (f), and(g)); or problems that are not sufficient to cancel an process as part of this effort. alcohol test? (3) The device is used for a test after (2) If repeating the testing process is the expiration date printed on its (a) As an STT, BAT, employer or necessary, you must begin a new test as package (see § 40.245(a)). other service agent administering the soon as possible. You must use a new (b) In the case of a screening or testing process, you must document any BATF, a new sequential test number, confirmation test conducted on an EBT, errors in the testing process of which and, if needed, a new ASD and/or a new the sequential test number or alcohol you become aware, even if they are not EBT. concentration displayed on the EBT is ‘‘fatal flaws’’ or ‘‘correctable flaws’’ (b) If, as an STT, BAT, employer or not the same as the sequential test listed in this subpart. Decisions about other service agent administering the number or alcohol concentration on the the ultimate impact of these errors will testing process, you become aware of a printed result (see § 40.253(c)). be determined by administrative or legal (c) In the case of a confirmation test: ‘‘correctable flaw’’ (see § 40.269) that proceedings, subject to the limitation of (1) The BAT conducts the has not already been corrected, you paragraph (b) of this section. confirmation test before the end of the must take all practicable action to (b) No person concerned with the minimum 15-minute waiting period (see correct the problem so that the test is testing process may declare a test § 40.251(a)(1)); not canceled. canceled based on a mistake in the (2) The BAT does not conduct an air (1) If the problem resulted from the process that does not have a significant blank before the confirmation test (see omission of required information, you adverse effect on the right of the § 40.253(a)); must, as the person responsible for employee to a fair and accurate test. For (3) There is not a 0.00 result on the providing that information, supply, in example, it is inconsistent with these air blank conducted before the writing, the missing information and a regulations to cancel a test based on a confirmation test (see § 40.253(a)(1) signed statement that it is true and minor administrative mistake (e.g., the and(2)); accurate. For example, suppose you are omission of the employee’s middle (4) The EBT does not print the result a BAT and you forgot to make a notation initial,) or an error that does not affect (see § 40.253(f)); or in the ‘‘Remarks’’ section of the BATF employee protections under this part. (5) The next external calibration that the employee refused to sign the (c) As an employer, these errors, even check of the EBT produces a result that certification. You would, when the though not sufficient to cancel an

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(a) As an employer, you are not § 40.277 Are alcohol tests other than (e) If you represent a certification required to provide a SAP evaluation or saliva or breath for screening and breath for any subsequent recommended confirmation permitted under these organization that wants DOT to regulations? authorize its certified drug and alcohol education or treatment for an employee who has violated a DOT drug and No. Other types of alcohol tests (i.e., counselors to be included in paragraph (a)(5) of this section, you may submit a alcohol regulation. blood and urine) are not authorized for (b) However, if you offer that testing done under this part. Only saliva written petition to DOT requesting a review of your petition for inclusion. employee an opportunity to return to a or breath for screening tests and breath DOT safety-sensitive duty following a (1) You must obtain the National for confirmation tests are permitted. violation, then before the employee Commission for Certifying Agencies again performs that duty, you must first Subpart OÐReturn-to-duty Process (NCCA) accreditation as a prerequisite ensure that the employee receives an And Role of Substance Abuse for having the DOT review your evaluation by a SAP suitable to you and Professionals (SAPs) petition. that the employee successfully complies § 40.281 Who is qualified to act as a SAP? (2) You must meet the minimum with the SAP’s evaluation requirements at Appendix F of this part You are qualified to act as a SAP in recommendations. as a prerequisite for having the DOT DOT drug and alcohol testing programs (c) As an employer, you must ensure review your petition. if you meet each of the following that the selected SAP is qualified to do criteria: (3) If you are a certification the job, and is aware of the SAP role and (a) You have knowledge of and organization with a petition already function as it relates to your interests in clinical experience in the diagnosis and submitted for DOT review, you must safety sensitive duties. treatment of alcohol and controlled obtain NCCA accreditation before the (d) You must, as an employer, use as substances-related disorders, and: review can continue. a SAP only someone who is (1) You are a licensed physician; or (4) If you were a certification knowledgeable about this part, the DOT (2) You are a licensed or certified organization listed in paragraph (a)(5) of SAP guidelines, and the appropriate social worker; or this section prior to [effective date of the DOT agency regulation under which (3) You are a licensed or certified final regulation], you are not required by you conduct your drug and alcohol psychologist; or DOT to have NCCA accreditation. program. (4) You are a licensed or certified (e) SAP and treatment payment employee assistance professional; or § 40.283 When is a SAP evaluation matters are left for employers and (5) You are a drug and alcohol required? employees to decide and may be counselor certified by the National (a) When an employee has violated governed by existing management-labor Association of Alcoholism and Drug DOT drug and alcohol regulations, the agreements and insurance coverage. Abuse Counselors Certification employee cannot again perform any Commission or by the International DOT safety-sensitive duties until and § 40.289 What is the role of the SAP in the Certification Reciprocity Consortium/ unless he or she completes the SAP evaluation, referral, and treatment process of an employee who has violated the DOT Alcohol and Other Drug Abuse. evaluation, referral, and treatment drug and alcohol regulations? (b) You have a working knowledge of process set forth in this subpart and in As a SAP, you are charged with: this part, the current ‘‘Substance Abuse applicable DOT agency regulations. (In (a) Making a face-to-face clinical Professional Procedures Guidelines’’ some cases, DOT agency regulations assessment and evaluation to determine and the DOT agency regulations may prohibit your return to work in what assistance, if any, is needed by the applicable to the employers for which safety-sensitive functions.) The first step employee to resolve problems you evaluate employees. In addition, in this process is to be evaluated by a you are cognizant of the SAP function associated with alcohol and/or drug use. SAP. (b) Referring the employee to an as it relates to employer interests in (b) For purposes of this subpart, a appropriate education and/or treatment safety-sensitive duties. (The ‘‘Substance verified positive DOT drug test result, a program(s) if assistance is needed. Abuse Professional Procedures DOT alcohol test with a result (c) Conducting a face-to-face follow- Guidelines’’ is available at ODAPC, indicating an alcohol concentration of up evaluation to determine if the Department of Transportation, 400 7th 0.04 or greater, a refusal to test, or any employee has actively participated in Street, SW., Room 10403, Washington violation of the prohibition on the use the education and/or treatment program DC, 20590.) of alcohol or drugs under a DOT agency and has demonstrated successful (c) You participate in and document regulation constitutes a DOT drug and compliance with the initial assessment training (e.g., a course) at least once alcohol regulation violation. and evaluation recommendations (if every two years that relates directly to assistance was needed). the SAP responsibilities of the DOT § 40.285 What information is an employer (d) Providing the DER with a follow- program, or self-certify that you have re- required to provide concerning SAP up drug and/or alcohol testing plan for reviewed and understand this part and services to an employee who has a DOT the employee. applicable DOT agency regulations. You drug and alcohol regulation violation? must maintain these records for two As an employer, you must provide to § 40.291 Can employees who are referred years. each employee who engages in a DOT for SAP evaluations be required to waive (d) If you were a SAP prior to drug and alcohol regulation violation, a liability with regard to negligence or [effective date of the final regulation], listing of SAPs readily available to the malpractice on the part of the SAP? you must meet the requirements of employee, with names, addresses, and (a) As a SAP, you must not ask or paragraph (c) of this section by [date six telephone numbers. You cannot charge require an employee or employer to months from the effective date of the the employee any fee for compiling or waive liability with regard to negligence final regulation]. If you become a SAP providing this list. and/or malpractice related to the SAP

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This signed statement will require an employee or employer to sign has the authority to change, append, or be made available for review by any form, statement, or authorization modify the SAP’s evaluation employers. with regard to waiving SAP liability. recommendation for assistance. This is most important in cases where a third § 40.301 What is the SAP's function in the § 40.293 What is the SAP's function in party wishes to lessen or downgrade a follow-up evaluation of an employee? conducting the initial evaluation of an SAP’s recommendation by changing the employee? (a) As a SAP, when you have SAP’s evaluation or seeking another prescribed assistance under § 40.293, As a SAP, when an employee comes SAP’s evaluation. In situations where you must re-evaluate the employee to to you following a DOT drug and the third party wishes a more stringent determine if the employee has alcohol regulation violation, you must recommendation, the same basic successfully carried out your education accomplish the following: principle applies. and/or treatment recommendations. (a) Provide a comprehensive face-to- face assessment and clinical evaluation § 40.299 What is the SAP's role and what (1) This is your way to gauge for the to determine if the employee needs are the limits on a SAP's discretion in employer the employee’s ability to assistance resolving problems associated referring employees for treatment and demonstrate successful compliance with education? with alcohol and/or drug use. the education and/or treatment plan. (b) If you find the employee is in need (a) As a SAP, upon your (2) Your evaluation may serve as one of assistance as a result of your determination of the best of the reasons the employer decides to evaluation, recommend a course of recommendation for assistance, you will return the employee to safety-sensitive education and/or treatment with which serve as a referral source to assist the duty. employee’s entry into a treatment and/ the employee must demonstrate (b) As the SAP making the follow-up or education program. successful compliance prior to returning evaluation determination, you must: to DOT safety-sensitive duty. (b) To prevent the appearance of a conflict of interest, you must not refer (1) Confer with the appropriate (1) Appropriate education modalities education or treatment program may include, but are not limited to, self- an employee requiring assistance to your private practice or to a person or professionals where the employee was help groups (e.g., Alcoholics referred; Anonymous) and community lectures, organization from which you receive where attendance can be independently remuneration or to a person or (2) Conduct a face-to-face clinical verified, and bona fide drug and alcohol organization in which you have a interview with the employee to education courses. financial interest. You are precluded determine if the employee demonstrates (2) Appropriate treatment modalities from making referrals to entities with successful compliance with your initial may include, but are not limited to, in- which you are financially associated. evaluation recommendations; and patient hospitalization, partial in- (c) There are four exceptions to the (3) Provide a written report directly to patient treatment, out-patient prohibitions contained in paragraph (b) the DER highlighting your clinical counseling programs, and aftercare. of this section. You may refer an determination whether the employee (3) You must provide a written report employee to any of the following has demonstrated successful directly to the DER highlighting your providers of assistance, regardless of compliance with your initial evaluation specific recommendations for assistance your relationship with them: recommendation (see § 40.311(e)). (1) A public agency (e.g., treatment (see § 40.311(c)). (c) You may determine that an (c) If you find the employee needs no facility) operated by a state, county, or municipality; employee has successfully assistance as a result of your evaluation, demonstrated compliance even though you must follow the instructions for (2) The employer or a person or organization under contract to the the individual has not completed the follow-up testing at § 40.307(b), and full regimen of treatment you provide a written report (see employer to provide alcohol or drug treatment services (e.g., the employer’s recommended or needs additional § 40.311(d)) directly to the DER. You treatment or continuing care. For have no additional responsibilities with contracted treatment provider); (3) The sole source of therapeutically example, if the employee has regard to §§ 40.301, 40.303, and successfully completed the 30-day in- 40.311(c) and (e). appropriate treatment under the employee’s health insurance program patient program you prescribed, you § 40.295 Can employees or employers (e.g., the single substance abuse in- may make a ‘‘successful completion’’ seek a second SAP evaluation if they patient treatment program made determination even though you disagree with the first SAP's available by the employee’s insurance conclude that the employee has not recommendations? coverage plan); or completed the out-patient counseling (a) As an employee with a DOT drug (4) The sole source of therapeutically you recommended or should continue and alcohol regulation violation, when appropriate treatment reasonably in an aftercare program. you have been evaluated by a SAP available to the employee (e.g., the only (d) As a SAP, if you believe, as a suitable to the employer, you cannot appropriate treatment facility result of the follow-up evaluation, the seek a second SAP’s evaluation in order reasonably located within the general employee has not demonstrated to obtain another recommendation. commuting area). successful compliance with your initial (b) As an employer, you cannot seek (d) As a SAP, you must maintain a recommendation, you must postpone a second SAP’s evaluation if the signed statement that you will not make the follow-up evaluation pending the employee has already been evaluated by treatment referrals covered under this employee’s further compliance with the a SAP suitable to you. DOT program to yourself or to persons education and/or treatment plan.

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§ 40.303 What happens if the SAP believes follow-up testing directly to the DER (c) You cannot substitute any other the employee needs additional treatment, (see § 40.311(e)(9)). tests (e.g., those carried out under the aftercare, or support group services even (b) Under specific DOT agency random testing program) conducted on after the employee returns to safety- regulations, you must determine what the employee for this follow-up testing sensitive duties? manner of follow-up testing (as requirement. (a) As a SAP who believes that on- specified in paragraph (c) of this (d) You cannot count a follow-up test going services are needed to assist an section) is needed following an initial that has been canceled as a completed employee to maintain sobriety or evaluation when you have concluded test. A canceled follow-up test must be abstinence from drug use upon that the employee needs no assistance recollected. returning to safety-sensitive duties, you and present a plan for follow-up testing must clearly state what services are directly to the DER (see § 40.311(d)(6)). § 40.311 Are there any special instructions needed as part of the follow-up regarding SAP reports to employers and (c) You are the sole determiner of the SAP records? evaluation report sent directly to the number and frequency of follow-up tests DER (see § 40.311(e)(10)). and whether these tests will be for (a) As the SAP conducting the (b) As an employer receiving this drugs, alcohol, or both, unless otherwise required evaluations, you must send determination from the SAP, you must, directed by the appropriate DOT agency your written reports in writing directly as part of a return-to-work agreement regulation. For example, if the employee to the DER and not to a third party or with the employee, require the had a positive drug test, but your entity for forwarding to the DER. (b) As an employer, you must ensure employee to continue to participate in evaluation or the treatment program that you receive SAP written reports recommended on-going services after professionals determined that the directly from SAPs performing the returning to safety-sensitive duties. employee had an alcohol problem as evaluation and that no third party or (c) As an employer, you must monitor well, you could require that the entity forwarded those reports to you or and document the employee’s employee have follow-up tests for both changed the SAP’s report in any way. drugs and alcohol. participation in on-going services after (c) The SAP’s written report, (d) However, you must, at a returning to safety-sensitive duties. following an initial evaluation that minimum, direct that the employee be determines that assistance is needed to § 40.305 Must an employer return an subject to six unannounced follow-up employee to safety-sensitive functions address the employee’s drug and/or tests in the first 12 months following the following a SAP determination that the alcohol problems, must be on the SAP’s employee’s return to safety-sensitive employee demonstrated successful letterhead, signed by the SAP, and must compliance with the SAP's duties. (1) You may require a greater number contain the following delineated items: recommendation? (1) Employee’s name and SSN; of tests during the first 12-month period (a) As an employer, you are not (2) Employer’s name and address; (e.g., you may require one test a month obligated under DOT regulations to (3) Reason for the assessment; during the 12-month period; you may return the employee to safety-sensitive (4) Date of the assessment; require two tests per month during the duties. (5) SAP’s education and/or treatment first 6-month period and one test per (b) The employee’s demonstrating recommendation; and month during the final 6-month period). (6) SAP’s telephone number. successful compliance with prescribed (2) You may also require follow-up education and/or treatment as (d) The SAP’s written report, tests during the 48 months following following an initial evaluation that determined by the SAP and this first 12-month period. subsequently testing negative on the determines that no assistance is needed (3) You are not to establish the actual to address the employee’s drug and/or return-to-duty drug and/or alcohol test dates for the follow-up tests you are not guarantees of continued alcohol problems, must be on the SAP’s prescribe. The decision on specific dates letterhead, signed by the SAP, and must employment or of return to work in a to test is up to the employer. safety-sensitive position. They are contain the following delineated items: (e) You may modify the (1) Employee’s name and SSN; merely preconditions the employee determinations you have made (2) Employer’s name and address; must meet in order to be considered for concerning follow-up tests. For (3) Reason for the assessment; reinstatement into safety-sensitive example, even if you recommended (4) Date of the assessment; duties. follow-up testing beyond the first 12- (5) SAP’s reasons for determining that (c) As a SAP, you are not to make a months, you can terminate the testing no assistance is needed; ‘‘fitness for duty’’ determination as part requirement at any time after the first (6) Follow-up testing plan (if required of this re-evaluation unless required to year of testing. or authorized by the appropriate DOT do so under an applicable DOT agency agency regulation); and regulation. It is the employer, rather § 40.309 What are the employer's (7) SAP’s telephone number. than you, who must decide whether to responsibilities with respect to the SAP's (e) The SAP’s written report put the employee back to work in a directions for follow-up tests? concerning the follow-up evaluation safety-sensitive position. (a) As the employer, you must carry that determines the employee has out the SAP’s follow-up testing demonstrated successful compliance, § 40.307 What is the SAP's function in requirements. You may not allow the must be on the SAP’s letterhead, signed prescribing the employee's follow-up tests? employee to continue to perform safety- by the SAP, and must contain the (a) As the SAP, when you have made sensitive functions unless follow-up following delineated items: a ‘‘successful compliance’’ testing is conducted as directed by the (1) Employee’s name and SSN; determination regarding the employee SAP. (2) Employer’s name and address; during the follow-up evaluation, you (b) You should schedule follow-up (3) Reason for the initial assessment; must then determine what manner of tests on dates of your own choosing, but (4) Date of the initial assessment and follow-up testing (as specified in you must ensure that the tests are synopsis of the treatment plan; paragraph (c) of this section) is needed unannounced with no discernable (5) Name of practice(s) or service(s) when the employee returns to safety- pattern as to their timing, and that the providing the recommended education sensitive duties, and present a plan for employee is given no advance notice. and/or treatment;

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(6) Inclusive dates of employee’s category of information (e.g., all test § 40.327 When may the MRO release program participation; results) or to release information to a medical information gathered in the (7) Clinical characterization of category of parties (e.g., other employers verification process? employee’s program participation; who are members of a consortium, (a) As the MRO, you must warn an (8) SAP’s clinical determination as to companies to which the employee may employee who has a confirmed positive whether the employee has demonstrated apply for employment) are not test that you may provide medical successful compliance; permitted under this part. information the employee gives you in (9) Follow-up testing plan; the verification process to other persons (10) Employee’s continuing care § 40.323 Can program participants release specified in this section, without the needs with specific treatment, aftercare, drug or alcohol test information in employee’s consent. and/or support group services connection with legal proceedings? (1) You must give this warning to the recommendations; and (a) As an employer, you may release employee before obtaining any medical (11) SAP’s telephone number. information pertaining to an employee’s information as part of the verification (f) As a SAP, you must provide these drug or alcohol test without the process. written reports directly to the employee employee’s consent in certain legal (2) For purposes of this section, if the employee has no current employer proceedings. medical information includes and to the gaining DOT regulated information on medications or other employer in the event the employee (1) These proceedings include a substances the employee reports using obtains another transportation industry lawsuit (e.g., a wrongful discharge or medical conditions the employee safety-sensitive position. action), grievance (e.g., an arbitration reports having. (g) As a SAP, you are to maintain concerning disciplinary action taken by (3) The only other persons to whom copies of your reports to employers for the employer), or administrative you may provide such information are 5 years, and your employee clinical proceeding (e.g., an unemployment the employer, a physician responsible records in accordance with Federal, compensation hearing) brought by, or on for determining the medical state, and local laws regarding record behalf of, an employee and resulting qualifications of the employee under an maintenance, confidentiality, and from a positive DOT drug or alcohol applicable DOT agency safety release of information. test. regulation, a DOT agency, the National (h) As an employer, you must (2) In such a proceeding, you may Transportation Safety Board in the maintain your reports from SAPs for 5 release the information to the course of an accident investigation, or years. decisionmaker in the proceeding (e.g., another employer who would receive a § 40.313 Where is other information on the court in a lawsuit, the arbitrator in positive test result under § 40.329. SAP functions found in this regulation? a grievance). You may release the (b) As the MRO, you may provide You can find other information on the information only with a binding medical information to third parties role and functions of SAPs in the stipulation that the party to whom it is without the employee’s consent only if following sections of this part: released will not release it to additional you determine, in your reasonable parties. medical judgment, that: § 40.1—application to SAPs of regulation (1) The information is likely to result (b) If you are a service agent, you may coverage. in the employee being determined to be § 40.3—definition. release information pertaining to an medically unqualified under an § 40.347—service agent assistance with SAP- employee’s drug or alcohol test without applicable DOT agency regulation; or required follow-up testing. the employee’s consent to the employer § 40.353—transmission of SAP reports. (2) The information indicates that who directed that the test occur so that continued performance by the employee Subpart PÐConfidentiality and the employer can introduce it in such a of his or her safety-sensitive function is Release of Information proceeding or directly to the decision likely to pose a significant safety risk. maker in the proceeding. (c) As the MRO, before informing any § 40.321 What is the general confidentiality third party about any medication the rule for drug and alcohol test information? § 40.325 May service agents transfer drug or alcohol test information to one another? employee is using pursuant to a Except as otherwise provided in this prescription legally valid under the subpart, as a service agent or employer (a) As a service agent authorized to Controlled Substances Act, you should, participating in the DOT drug or alcohol maintain drug and/or alcohol test if the employee consents, contact the testing process, you are prohibited from results and you are no longer providing prescribing physician to determine if releasing individual test results or services with respect to an employer, the medication can be changed to one medical information about an employee you may transfer that employer’s that does not make the employee to third parties without the employee’s records to your successor without medically unqualified or does not pose specific written consent. obtaining each employee’s consent. For a significant safety risk. (a) A ‘‘third party’’ is any person or example, if Employer X is replacing Dr. organization to whom other subparts of A with Dr. B as its MRO, Dr. A may § 40.329 May an MRO provide information this regulation do not explicitly transfer drug testing records of about a positive drug test result to another employer? authorize or require the transmission of Employer X’s employees to Dr. B information in the course of the drug or without getting the employees’ consent. (a) Except as otherwise provided in alcohol testing process. this section, as an MRO you must (b) ‘‘Specific written consent’’ means (b) The service agent must use the provide the results of a verified drug a statement signed by the employee that provisions of § 40.335 in determining positive test result only to the employer he or she agrees to the release of a which records to transfer and the time who required that particular test to be particular piece of information to a period that must be covered. conducted. particular, explicitly identified, person (c) Records that are not transferred (b) If you have personal knowledge or organization at a particular time. must be maintained for the employer in that an employee whose drug test result ‘‘Blanket releases,’’ in which an accordance with the provisions of you have verified positive is also employee agrees to a release of a section § 40.335. employed or is seeking employment in

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DOT agency regulations, service agents following conditions: (a) As a service agent you must must provide to DOT agencies the (1) You also personally are the current provide, within 10 business days of following: MRO, perform DOT-required physical receiving a written request from an (1) Access to your facilities used for examinations, function as the Aviation employee, copies of any records this part and DOT agency drug and Medical Examiner, or function as the pertaining to the employee’s use of alcohol program functions. Medical Examiner conducting medical alcohol and/or drugs, including records (2) All written, printed, and qualification physicals in the of the employee’s DOT-mandated drug computer-based drug and alcohol transportation industry for the other and/or alcohol tests. You may charge no program records and reports (including employer; more than the cost of preparation and copies of name-specific records or (2) Your knowledge that the employee reproduction for copies of these records. reports), files, materials, data, works for the other employer was (b) As a laboratory, you must also documents/documentation, agreements, obtained in one of these capacities or provide, within 10 business days of contracts, policies, and statements that through your review of the result of a receiving a written request from an are required by this part and DOT drug test mandated by a DOT agency employee, and made through the MRO, agency regulations. regulation; the records relating to the results of any (d) When requested by the National (3) You have affirmed that the relevant HHS certification, review, or Transportation Safety Board as part of employee is currently employed by the revocation-of-certification (i.e., Federal an accident investigation, you must other employer in a safety-sensitive Register Notice listing current provide information concerning post- position subject to drug testing under a laboratories). You may charge no more accident tests administered after the DOT agency regulation; and than the cost of preparation and accident. (4) You have informed the employee reproduction for copies of these records. (e) As a laboratory you must not at the beginning of the verification (c) As a laboratory, you must also release or provide a specimen or an process that a verified positive test provide, within 10 business days of aliquot of a specimen to a requesting result may be shared with other receiving a written request from an party, without first obtaining written employers for whom the employee is employee, and made through the MRO, consent from a DOT agency. You are performing, or is seeking employment to the records relating to the results of the permitted to release a specimen or an perform, safety-sensitive functions employee’s drug test (i.e., laboratory aliquot of a specimen if you are subject to drug testing under a DOT report and data package). You may presented with a court order to do so agency regulation. charge no more than the cost of from a court with proper and legal (c) The only party to whom you are preparation and reproduction for copies jurisdiction. authorized to convey this information is of these records. § 40.335 What records must employers the other employer itself. You must not § 40.333 To what additional parties must keep? convey the information to or through a employers and service agents release (a) As an employer, you must keep the service agent who performs drug testing information? following records for the following services for the other employer. As an employer or service agent you periods of time: (d) In notifying the other employer, must release information under the (1) You must keep the following you must follow the same procedures as following circumstances: records for five years: you follow in notifying any employer of (a) If you receive a specific, written (i) Records of employee alcohol test a drug test result. In doing so, you must consent from an employee authorizing results indicating an alcohol notify the other employer to the release of information about that concentration of 0.02 or greater; immediately remove the employee from employee’s drug or alcohol tests to an (ii) Records of employee verified performing safety-sensitive functions. identified person, you must provide the positive drug test results; You must also inform the other information to the identified person. For (iii) Documentation of refusals to take employer if the employee requests a test example, as an employer, when you required alcohol and/or drug tests; of a split specimen, cautioning the other receive a written request from someone (iv) SAP reports; employer not to take irrevocable who worked for you to provide (v) Calibration documentation for personnel action until the result of the information to a subsequent employer, EBTs; test of the split specimen is known. You you must do so. In providing the (vi) Records related to the must also provide to the other employer information, you must comply with the administration of the alcohol and drug the results of the test of the split terms of the employee’s consent. testing programs; and specimen. (b) Upon request and as required by (vii) All follow-up tests and schedules Example to § 40.329: Employer 1 sends in DOT agency regulations, employers for follow-up tests. Employee X for a random drug test. You must provide to DOT agencies the (2) You must keep records related to verify the result positive. You also act as the following: the alcohol and drug testing process, MRO for Employer 2, which is subject to (1) Access to your facilities used for records of the inspection and DOT drug testing regulations. In that this part and DOT agency drug and maintenance (but not calibration) of capacity, you have learned that Employee X alcohol program functions. EBTs, for two years. also performs DOT safety sensitive functions (2) All written, printed, and (3) You must keep records of negative for Employer 2. You must inform Employer 2 about the positive test result. You do not computer-based drug and alcohol and canceled drug test results and need to obtain the employee’s consent to do program records and reports (including alcohol test results with a concentration so. Employer 2 has the same obligation as copies of name-specific records or of less than 0.02 for one year. Employer 1 after receiving this information. reports), files, materials, data, (4) You must keep records related to That is, both employers must remove documents/documentation, agreements, the education and training of applicable

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(c) Where DOT agency regulations the training and for two years after he (a) As a service agent, employers are require employers to keep certain or she ceases to perform those functions. not permitted to use your services if, in information in their own files (e.g., for (5) You must keep signed statements providing these services, you fail to purposes of review during inspections), of any agreements with service agents as comply with DOT drug and alcohol employers must do so, but you may also long as the organization or individual testing requirements. maintain copies of these records at the performs functions under the DOT drug (b) If you do not comply, you are employer’s direction. and alcohol testing program and for two subject to proceedings under Subpart R (d) You may maintain information years after it ceases doing so. of this part that can result in a directive needed for operating a drug/alcohol (b) You do not have to keep records to employers not to use your services. program (e.g., names of employees in related to a program requirement that random pools, random selection lists, § 40.347 What functions can service copies of notices to employers of does not apply to you (e.g., a maritime agents perform with respect to selection for employer who does not have a DOT- testing? selected employees) on behalf of an mandated alcohol testing program need employer. As a service agent, you may perform (e) If you are either conducting or not maintain alcohol testing records). the following functions for employers arranging for drug testing, the (c) You must maintain the records in concerning random selection and other employer’s copy of the CCF may pass a secure location with controlled access. selections for testing. through you to provide notice so that (d) A service agent may maintain (a) You may operate random testing you know the employee’s specimen has these records for you. However, you programs for employers and may assist been collected. You must ensure that must ensure that you can produce these (e.g., contracting with labs or collectors, the document is forwarded immediately records, at your principal place of conducting collections) employers with to the actual employer. business, in the time required by the other types of testing (e.g., pre- (f) You must follow all confidentiality DOT agency. For example, as a motor employment, post-accident, reasonable and records retention requirements carrier, when an FMCSA inspector suspicion, return-to-duty, and follow- applicable to employers. requests your records, you must make up). (g) You may not provide individual sure that you can provide them within (b) You may combine employees from test results or other confidential two working days. more than one employer or one information to another employer transportation industry in a random without a specific, written consent from Subpart QÐRoles And pool if permitted by individual DOT the employee. For example, suppose Responsibilities of Service Agents agency regulations. you are a consortium that has employers § 40.341 Can an employer use a service (1) If you combine employees from X and Y as members. Employee Jones agent to meet DOT drug and alcohol testing more than one transportation industry, works for X, and has a drug or alcohol requirements? you must ensure that the random testing test result maintained for X by you. rate is at least equal to the highest rate Jones wants to change jobs and work for (a) Yes. As an employer, you may use required by each DOT agency. a service agent to perform the tasks Y. You may not inform Y of the result (2) Employees not covered by DOT of a test conducted for X without needed to comply with DOT agency agency regulations may not be part of drug and alcohol testing regulations. obtaining specific, written consent from the same random pool with DOT Jones. Likewise, you may not provide (b) As an employer, you are covered employees. this information to Z, who is not a responsible for ensuring that the service (c) You may assist employers in consortium member, without this agent you use performs these tasks in ensuring that follow-up testing is consent. accordance with DOT agency conducted in accordance with the (h) You may not use blanket consent regulations. schedule established by the SAP or forms authorizing the release of (c) If a consortium, third-party MRO. However, you may not randomly employee testing information. administrator, or other service agent select employees from a ‘‘follow-up (i) You must establish adequate fails to comply with DOT agency pool’’ for follow-up testing. confidentiality and security measures to regulations, you as the employer are ensure that confidential employee § 40.349 What requirements must a responsible for the noncompliance. A records are not available to DOT agency can subject you to service agent implement concerning the use and confidentiality of information? unauthorized persons. This includes sanctions for the noncompliance of a protecting the physical security of As a service agent, the following consortium, third-party administrator, records, access controls, and computer requirements apply to you with respect or any other service agent who works for security measures to safeguard to the use and confidentiality of you. confidential data in electronic data information. § 40.343 May service agents impose bases. (a) You may receive confidential (j) You must permit DOT agency requirements on employers that DOT information about employees (e.g., agency regulations do not authorize? access to all facilities, files, records, and individual test results) from an documents used in complying with As a service agent, you must not employer without the employees’ DOT agency drug and alcohol testing impose conditions or requirements on written consent. You must follow the regulations. employers that DOT regulations do not same confidentiality regulations as the authorize. For example, as a consortium employer with respect to the use and § 40.351 What principles govern the or third-party administrator serving release of this information. interaction between MROs and other employers in the pipeline industry, you (b) You may receive and maintain all service agents? may not require employers to have records concerning DOT drug and As a service agent, the following provisions in their plans that RSPA alcohol testing programs, including principles govern your interaction with regulations do not require. individual test results, both positive and MROs:

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(a) As a service agent you may positive or negative. Your staff cannot remains obligated to DOT for provide MRO services to employers, perform these functions. compliance, and your failure to directly or through contract, if you implement any aspect of the program as ensure that the provisions of § 40.353 What other limitations apply to required in this part and applicable the activities of service agents? §§ 40.101(a) and 40.125(a) are met. DOT agency regulations make the (b) If you employ or contract for an As a service agent, you are subject to employer as well as you subject to MRO, the MRO must perform duties the following limitations on your enforcement action by the Department. independently and confidentially. activities in the DOT drug and alcohol (h) You may not act as ‘‘program When you have a relationship with an testing program. manager’’ in FAA and RSPA programs, MRO, you must structure the (a) You may not act as an which call for the employer itself to relationship in writing (e.g., through a intermediary in the transmission of designate an individual within the contract) to ensure that this individual positive alcohol test results company to manage the drug and independence and confidentiality are from the BAT to the actual employer. alcohol testing program for the not compromised. Specific means That is, the BAT may not send such employer. (including both physical and results to you, with you in turn sending (i) You must continue to transmit operational measures, as appropriate) to them to the actual employer. However, laboratory statistical summaries to each separate MRO functions and other you may maintain individual test results actual employer. service agent functions are essential. after they are sent to the DER, and the (j) The limitations on SAP referrals (c) Only your staff who are actually BAT may transmit such results to you (see § 40.299(b)) for education and/or under the day-to-day supervision and simultaneously with sending them to treatment apply where SAPs are part of control of an MRO with respect to MRO the DER. your organization or its services. functions may perform these functions. (b) You may not act as an (k) Even if your organization is This does not mean that those staff may intermediary in the transmission of operated by or affiliated with a not perform other functions at other individual SAP reports to the actual laboratory, you must ensure that times. However, the designation of your employer. That is, the SAP may not laboratories receive only the appropriate staff to perform MRO functions under send such reports to you, with you in CCFs. (This is because, under this part, MRO supervision must be limited and turn sending them to the actual it is not appropriate for laboratories to not used as a subterfuge to circumvent employer. However, you may maintain receive an individual’s CCF and the confidentiality and other requirements individual SAP summary reports and BATF packaged or attached (e.g., of this part and DOT agency regulations. follow-up testing plans after they are stapled) together, since this is You must ensure that MRO staff operate sent to the DER, and the SAP may inconsistent with the privacy and under controls sufficient to ensure that transmit such reports to you confidentiality of personally-identified the independence and confidentiality of simultaneously with sending them to test records.) You can comply with this the MRO process are not compromised. the DER. requirement by, for example, (d) You may not act as an (c) You cannot make decisions to test establishing separate addresses for the intermediary in the transmission of an employee based upon reasonable receipt of CCFs and BATFs, individual drug test results from the suspicion, post-accident, return-to-duty, respectively, or establishing procedures laboratory to the MRO. That is, the and follow-up determination criteria. to separate alcohol and drug forms that laboratory may not send results to you, These are non-delegable duties of the arrive together. with you in turn sending them to the actual employer. You may, however, MRO. For example, a practice in which provide advice and information to Subpart RÐPublic Interest Exclusions results are transmitted from a laboratory employers regarding these testing issues § 40.361 What is the purpose of a public to your computer system, and then and schedule required testing. interest exclusion? assigned to an available MRO, is not (d) You cannot make a determination (a) The purpose of a public interest permitted. that an employee has refused a drug or exclusion (PIE) is to protect employers (e) You may not act as an alcohol test. This is a non-delegable from noncompliance with DOT drug intermediary in the transmission of duty of the actual employer. You may, and alcohol regulations resulting from negative and verified positive test however, provide advice and the use of a service agent who fails or results from the MRO to the actual information to employers regarding refuses to provide drug and alcohol employer. That is, the MRO may not refusal-to-test issues. testing-related services to DOT- send these results to you, with you in (e) In exception to paragraph (d) of regulated employers consistent with the turn sending them to the actual this section, you may make a requirements of this part. A PIE is also employer. However, you may maintain determination that an employee has intended to protect employees from the individual test results after they are sent refused a drug or alcohol test, if: consequences of services that do not to the DER, and the MRO may transmit (1) You are authorized by a DOT meet DOT requirements. A PIE is a such results to you simultaneously with agency’s regulation to do so; and serious action used only in the public (2) You schedule a required test for an sending them to the DER. interest and not for the purposes of (f) In exception to paragraph (e) of this owner-operator and subsequently find punishment. section, you may receive positive results out that he or she failed to show for the (b) Nothing in this subpart precludes directly from the MRO, if you are test. a DOT agency from taking other action authorized by a DOT agency’s regulation (f) It is not your responsibility, but the authorized by its regulations with to do so. actual employer’s, to make sure that an respect to service agents or employers (g) Like other MROs, an MRO whom employee who has tested positive for that violate its regulations. your service agent employs or contracts alcohol or drugs, or otherwise violated with must personally conduct the DOT agency regulations, is removed § 40.363 In what circumstances does the verification interviews with employees from performance of safety-sensitive Department issue a public interest who have tested positive and must duties. exclusion concerning a service agent? personally make the decision (g) While you must follow the DOT (a) The Department may issue a PIE concerning whether to verify a test as agency regulations, the actual employer concerning a service agent if the

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Department determines that the service Department sends a notice to the service there are any material facts in dispute. agent has failed or refused to provide agent that the matter is concluded. The meeting may be in person or a drug or alcohol testing services to one (c) If the initiating official learns, in teleconference, at the option of the or more DOT-regulated employers a matter concluded through a notice service agent. consistent with the requirements of this under paragraph (b) of this section, that (d) This opportunity to meet with the part. the service agent has failed to Director is informal. During the meeting, (b) The Department also may issue a implement satisfactory corrections, the you may appear with a representative, PIE concerning a service agent who has initiating official may begin the process submit documentary evidence, present failed to cooperate with DOT agency set forth in § 40.371. The initiating witnesses, and confront any witnesses representatives concerning inspections, official does not issue a second the initiating official presents. complaint investigations, interviews, correction notice in this case. (e) A transcribed record of the compliance and enforcement reviews, or meeting will be made available to the § 40.371 How does the process leading to service agent, at cost, upon the service requests for documents and other a public interest exclusion begin? information. agent’s request. (a) If a service agent who receives a § 40.365 Who issues public interest correction notice does not make and § 40.375 How does the Department make exclusions on behalf of the Department? document the corrections set forth in decisions in public interest exclusion matters? The person responsible for issuing the notice in a manner satisfactory to (a) The initiating official acts as the PIEs is the ODAPC Director, or her or the initiating official within 60 days of proponent of issuing a PIE. The Director his designee. receiving the notice, the initiating official sends a written notice to the acts as a neutral decisionmaker. § 40.367 Who initiates the public interest service agent. (b) The initiating official bears the exclusion process? (b) The notice will include the burden of proof, which is to (a) If a DOT agency official, an following information: demonstrate by a preponderance of the ODAPC official (other than the (1) That the Department is evidence that the service agent has Director), or an official of the Office of considering issuing a PIE concerning the failed or refused to perform drug and/ Inspector General learns that a service service agent; or alcohol testing services as required by agent may be failing or refusing to (2) The reasons for believing that the this part. provide drug and alcohol testing-related service agent is not providing drug and/ (c) In an uncontested case or a case in services to DOT-regulated employers or alcohol testing services to DOT- which there are no material facts in consistent with the requirements of this regulated employers consistent with the dispute, the Director makes her or his part, this official (the ‘‘initiating requirements of this part; decision on the basis of all the official’’) may investigate the matter. (3) The consequences of the PIE that information in the administrative (b) Initiating officials have broad the Department is considering issuing record, including any submission by the discretion in deciding whether to take and a proposed interval between the service agent. (d) In a case in which there are action on the basis of information issuance of an exclusion and the first material facts in dispute, the Director concerning the conduct of a service date on which the service agent may makes written findings of fact. The agent. In exercising their discretion, apply to end it; and Director makes her or his decision on initiating officials may take into account (4) That the service agent will have the basis of the facts as found, together such factors as the seriousness of the the opportunity to contest the issuance with any information and argument alleged conduct of the service agent and of a PIE, as provided in § 40.373. submitted by the service agent, and any the availability of agency resources to § 40.373 How does a service agent contest other information in the administrative pursue the matter. the issuance of a public interest exclusion? record (including any meeting between § 40.369 Does a service agent have the (a) If, as a service agent, you receive the Director and the service agent). opportunity to correct a problem before a notice that the Department is (e) The initiating official and the becoming subject to a public interest considering issuing a PIE concerning service agent, with the concurrence of exclusion? you, you have the right to contest the the Director or her or his designee, may (a) If the initiating official determines issuance of the exclusion. settle a PIE matter at any time before the that there is a reasonable basis for (b) Within 30 days of receiving the issuance of the Director’s decision. believing that the service agent is failing notice, you may submit a written (f) For purposes of judicial review or refusing to provide drug and alcohol response containing information and under the Administrative Procedure testing-related services to DOT- arguments contesting the issuance of a Act, the Director’s decision is a final regulated employers consistent with the PIE. You submit this material to the administrative action of the Department. requirements of this part, the official Director. If you do not submit a written § 40.377 How does the Department notify issues a written correction notice to the response contesting the issuance of the service agents and employers about service agent. This notice tells the PIE within this time, the matter will decisions on public interest exclusions? service agent what changes it must make proceed as an uncontested case. (a) The Director provides a notice to to ensure that its services to DOT- (c) Within this same 30-day period, the service agent concerning her or his regulated employers are provided you may also request, in writing, an decision on whether to issue a PIE. The consistent with the requirements of this opportunity to meet with the Director or notice includes the following elements: part. her or his designee, stating what (1) A reference to the notice that (b) If the service agent makes and material facts, if any, you believe are in initiated the process (see § 40.371); documents the changes set forth in the dispute. If you do not submit such a (2) A statement of the reasons for the correction notice to the satisfaction of written notice within this time, the decision; and the initiating official within 60 days of matter will proceed as a case in which (3) When the Director issues a PIE, a the date the notice is received, the there are no material facts in dispute. statement of the first date on which the Department will not begin the process The Director will grant your request for service agent may apply to end the leading to a PIE. In this case, the a meeting if she or he determines that exclusion.

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(b) When the Director issues a PIE, alcohol testing regulations. For example, (e) The Department will publish a she or he also issues a Federal Register if the initiating office is the FAA, and notice ending an exclusion in the notice, the text of which is posted on the conduct forming the basis of the PIE Federal Register and post it on the the Department’s Web site. This notice pertains to the aviation industry, as an Department’s Web site. includes the name of the service agent employer in another regulated industry and other persons to which the (e.g., trucking, railroads, transit), you are § 40.385 What is the role of the Inspector General's office? exclusion applies (see § 40.379), the also prohibited from using the service reason for the PIE, and the first date on agent involved. (a) An official of the DOT Office of which the service agent may apply to (d) The issuance of a PIE does not Inspector General may act as the end the exclusion. This issuance affect the validity of drug or alcohol initiating official in a PIE proceeding. (b) Any person may bring concerns constitutes notice to DOT-regulated tests conducted using the service agent about waste, fraud, or abuse on the part employers that they may not use the involved before the issuance of the of a service agent to the attention of service agent’s drug or alcohol testing- Director’s decision or up to 90 days Office of Inspector General. related services. ODAPC also publishes following its publication in the Federal (c) In appropriate cases, the Office of a list in the Federal Register on a Register and posting on the Inspector General may pursue criminal quarterly basis of those service agents Department’s Web site. For example, if who are currently the subject of PIEs. or civil remedies against a service agent. the Department published a decision (d) The Office of Inspector General (c) The Director notifies the DOT issuing a PIE concerning a service agent may provide factual information to agencies of her or his decision. on September 1, all tests conducted other DOT officials for use in a PIE using the service agent’s services before § 40.379 To whom does a public interest proceeding. exclusion apply? September 1, and through November 30, would be valid for all purposes under Appendix A to Part 40—DOT Standards (a) A PIE applies to all the divisions DOT drug and alcohol testing for Urine Collection Kits and organizational elements of, and regulations, assuming they met all other The Collection Kit Contents types of services provided by, the regulatory requirements. service agent, unless the Director limits (e) If you are a service agent 1. Single-Use Plastic Collection Container the scope of the exclusion to one or concerning whom the Director has a. Must be large enough to easily catch and more of those divisions, organizational issued a PIE, you must, on the request hold at least 55 mL urine voided from the elements, or types of services. of any employer covered by DOT drug body. (b) A PIE may apply to any affiliate of b. Must have a graduated volume markings and alcohol testing regulations, the service agent, if the affiliate is clearly noting levels of 45 mL and above. specifically notified and given the immediately transfer all records c. Must have a temperature strip providing opportunity to respond as provided by pertaining to that employer and its graduated temperature readings 90°–100° F ° ° this subpart. employees to the employer or to any or 32 –38 C, that is affixed or can be affixed (c) A PIE applies to individuals who service agent the employer designates. at a proper level on the collection container. d. Must be individually wrapped in a are officers, employees, directors, § 40.383 How long does a public interest sealed plastic sack or shrink wrapping; or shareholders, partners, or other exclusion stay in effect? must have a peelable, sealed lid or other individuals associated with the service (a) A PIE remains in effect until the tamper-evident system. agent in the following circumstances: Director ends it. (1) Conduct forming any part of the 2. Plastic Specimen Bottles (b) In each decision issuing a PIE, the basis of PIE occurred in connection with a. Each bottle must be large enough to hold Director designates the first date on the individual’s performance of duties at least 35 mL; or alternatively, they may be which a service agent may apply to end by or on behalf of the service agent; or two distinct sizes of specimen bottles its exclusion. This date shall be at least (2) The individual knew, had reason provided that the bottle designed to hold the nine months but no more than five years primary specimen holds at least 35 mL of to know of, approved, or acquiesced in from the date on which the Department urine and the bottle designed to hold the such conduct. The individual’s publishes the exclusion in the Federal split specimen holds at least 20 mL. acceptance of benefits derived from Register and posts it on its Web site. b. Must have screw-on or snap-on caps that such conduct is evidence of such prevent seepage of the urine from the bottles. knowledge, acquiescence, or approval. (c) As a service agent concerning c. Must have markings clearly indicating whom the Department has issued a PIE, the appropriate levels (30 mL for the primary § 40.381 What is the effect of a public you may apply to the Director at any specimen and 15 mL for the split) of urine interest exclusion? time after this date, in writing, to end that must be poured into the bottles. (a) As an employer, you must not use the exclusion. You must include d. Must be designed so that the required a service agent that is covered by a PIE documentation that supports a tamper-evident bottle seals made available on that the Director has issued under this determination that the reasons for the the CCF fit with no damage to the seal when subpart. If you do so, you are in issuance for the exclusion have been the employee initials it nor with chance that eliminated and all drug or alcohol seal overlap would conceal printed violation of the Department’s information. regulations. testing-related services provided to e. Must be wrapped (with caps) together in (b) As an employer, you must stop DOT-regulated employers will be a sealed plastic sack or shrink wrapping; or using the services of a service agent consistent with the requirements of this must be wrapped (with cap) individually in concerning whom the Director has part. sealed plastic sacks or shrink wrapping; or issued a PIE no later than 90 days after (d) If the Director determines that the must have peelable, sealed lid or other easily- the Department has published the reasons for the issuance for the visible tamper-evident system. decision in the Federal Register and exclusion have been eliminated and all f. Must be leach-resistant. posted it on its Web site. drug or alcohol testing-related services 3. Leak-resistant Plastic Bag (c) This prohibition on using a service provided to DOT-regulated employers Must have two sealable compartments or agent concerning whom the Director has will be consistent with the requirements pouches; one large enough to hold two issued a PIE applies to employers in all of this part, the Director issues a notice specimen bottles and the other large enough industries subject to DOT drug and ending the exclusion. to hold the CCF paperwork.

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4. Plastic Bag Seal 3. Number of specimens reported as Test II. All Other Laboratory Results a. Must be tamper-evident. Not Performed: (total number) By reason: a. To initiate the MRO review, the MRO b. Must have pre-printed space for the (a) Fatal Flaw/Uncorrected Flaw: (number) needs: collector’s initials and the date of the (b) Specimen Unsuitable: (number) 1. The original or a legible facsimile of the collection. (c) Specimen Rejected for Testing: original MRO copy of the CCF; or if not (number) available, a legible copy of any copy of the 5. Shipping Container (d) Specimen Adulterated: (number) CCF signed by the employee; and a. Must be a box (e.g., standard courier (e) Specimen Substituted: (number) 2. A legible facsimile of the original cardboard box, small cardboard box) 4. Number of specimens reported as laboratory copy of the CCF, the original designed to adequately protect the specimen Positive: (total number) By drug: laboratory copy of the CCF, or the bottles from shipment damage in their (a) Marijuana Metabolite: (number) electronically-transmitted laboratory report. transport of specimens from collection site to (b) Cocaine Metabolite: (number) b. To complete the MRO review and report the laboratory. (c) Opiates: the result to the employer, the MRO needs: b. May be made available separately at (1) Codeine: (number) 1. The original or a legible facsimile of the collection sites rather than being part of an (2) Morphine: (number) original MRO copy of the CCF; or if not actual kit sent to collection sites. (3) 6–AM (number) available, a legible copy of any copy of the c. A shipping container is not necessary if (d) Phencyclidine: (number) CCF signed by the employee; and a laboratory courier hand-delivers the (e) Amphetamines: (number) 2. A legible facsimile of the original specimens from the collection site to the laboratory copy or the original laboratory laboratory. Appendix C to Part 40—CCF Copies copy of the CCF. Needed for the MRO Review Appendix B to Part 40—DOT Drug III. Employee Inability to Provide Requisite Testing Semi-annual Laboratory Report I. Negative Laboratory Results Amount of Urine at the Collection Site To report the result (i.e., refusal to test or The following items are required on each a. To initiate and complete the MRO’s administrative review and report the test canceled test) to the employer, the MRO report: needs: Reporting Period: (inclusive dates) result to the employer, the MRO needs: 1. The original or a legible facsimile of the 1. The original or a legible facsimile of the Laboratory Identification: original MRO copy of the CCF; and original MRO copy of the CCF, or if not Employer Identification: 2. The examining physician’s report available, a legible copy of any copy of the C/TPA Identification: (where applicable) documenting whether the employee had a CCF signed by the employee; and 1. Number of specimen results reported: legitimate medical (i.e., physiological or 2. A legible facsimile of the original (total number) By test type: psychological) reason for the inability to (a) Pre-employment testing: (number) laboratory copy of the CCF, or the original provide a complete urine specimen. (b) Post-accident testing: (number) laboratory copy of the CCF, or the (c) Random testing: (number) electronically-transmitted laboratory report. IV. Employee Refusals to Test at the (d) Reasonable suspicion/cause testing: b. Laboratories sending an electronically- Collection Site (number) transmitted report must also follow-up by To advise the employer, the MRO needs (e) Return-to-duty testing: (number) sending a legible facsimile of the original the original or a legible facsimile of the (f) Follow-up testing: (number) laboratory copy or the original laboratory original MRO copy of the CCF that (g) Type not noted on CCF: (number) copy of the CCF. Upon receiving this documents the on-site refusal (e.g., employee 2. Number of specimens reported as laboratory copy of the CCF, MROs must leaves collection site prior to providing Negative: (total number) match it with the MRO copy. specimen) to test.

Appendix D to Part 40—DOT Drug Testing MRO Reporting Summary A. Bottle A Lab Report:

MRO Reporting Action

1. Negative ...... The MRO reports the negative result to the employer. 2. Negative Dilute ...... The MRO reports the negative result to the employer and informs the employer that the next time the employee is selected for a drug test the employer may require the specimen to be collected under direct observation. 3. Positive ...... a. If the MRO verifies the test as positive, the MRO reports the positive result to the em- ployer. b. If the MRO ``downgrades'' the test, the MRO reports the negative result to the employer. 4. Positive Dilute ...... a. If the MRO verifies the test as positive, the MRO reports the positive result to the employer and informs the employer that the next time the employee is selected for a drug test the employer may require the specimen to be collected under direct observation. b. If the MRO ``downgrades'' the test, the MRO reports the negative result to the employer and informs the employer that the next time the employee is selected for a drug test the employer may require the specimen to be collected under direct observation. 5. Test Not PerformedÐFatal Flaw or Un- The MRO reports the result to the employer as canceled and the reason for cancellation. corrected Flaw. Certain testsÐpre-employment, return-to-duty, and follow-up testsÐrequiring a negative re- sult, must be recollected. 6. Test Not PerformedÐSpecimen Unsuit- a. If the employee provides an acceptable explanation and/or a prescription, the MRO reports able. to the employer that the test is canceled and the reason for cancellation. Certain testsÐ pre-employment, return-to-duty, and follow-up testsÐrequiring a negative result, must be recollected. b. If the employee is unable to provide an acceptable explanation and/or a prescription, but denies having adulterated the specimen, the MRO reports to the employer that the test is canceled and the reason for cancellation. The MRO shall also inform the employer that an immediate collection under direct observation of another specimen is required of the em- ployee and that no advanced notice is to be given the employee.1

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MRO Reporting Action

7. Test Not PerformedÐSpecimen Rejected a. If the MRO determines that the specimen is rejected for testing due to collector error, the for Testing. MRO reports the result to the employer as canceled and the reason for cancellation. The MRO shall also inform the employer that an immediate collection of another specimen is required of the employee and that no advanced notice is to be given the employee. This collection is not to be collected under direct observation. b. If the MRO determines that collector error is not the cause of the specimen being rejected for testing, the MRO reports to the employer that the test is canceled and the reason for cancellation. The MRO shall also inform the employer that an immediate collection under direct observation of another specimen is required of the employee and that no advanced notice is to be given the employee. 8. Test Not PerformedÐSpecimen Adulter- The MRO reports to the employer that the test was either adulterated or substituted and is, ated/Substituted. therefore, a ``refusal to test.'' 2 B. Bottle B Lab Report: 1. Reconfirmed ...... The MRO reports the reconfirmation to the employer and to the employee. 2. Failure to ReconfirmÐDrug/Drug Metabo- The MRO reports to the employer and to the employee that both tests must be canceled. The lite Not Detected. MRO also reports the failure to reconfirm to the ODAPC. 3. Failure to ReconfirmÐSpecimen Adulter- The MRO reports to the employer and to the employee that the specimen was adulterated or ated/Substituted. substituted and that this constitutes a ``refusal to test.'' The ``refusal to test'' becomes the final, single result for both tests. 4. Test Not Performed ...... The MRO reports to the employer and the employee that both tests must be canceled and the reason for cancellation. The MRO shall also inform the employer that an immediate col- lection under direct observation of another specimen is required of the employee and that no advanced notice is to be given the employee. 1 For a ``test not performed specimen unsuitable'' lab result, if the employee admits to adulterating or substituting a specimen, the result will be a ``refusal to test.'' 2 The employee cannot have the ``split'' specimen tested following an adulterated or substituted test result.

Appendix E to Part 40—Report Format formal education, in-service training, and staff. This is an important check to ensure for Split Specimen Failure to Reconfirm professional development courses. Part of that true information is being accepted by the any professional counselor’s development is certifying agency. Fax or mail to: Department of participation in formal and non-formal 9. Code of Ethics: Certified counselors Transportation, Office of Drug and Alcohol education opportunities within the field. must be pledged to adhering to an ethical Policy and Compliance 400 7th Street, SW., 3. Continuing Education: The certified standard for practice. It must be understood Washington, DC 20590, (fax) 202 366–3897. counselor must receive at least 40—60 hours that code violations could result in de- 1. MRO name, address, phone number, and of continuing education units (CEU) during certification. These standards are vital in fax number. each two year period. These CEUs are maintaining the integrity of practitioners. 2. Collector name, address, and phone important to the counselor’s keeping abreast High ethical standards are required to ensure number. of changes and improvements in the field. 3. Date of collection. 4. Testing: A passing score on a national quality of client care and confidentiality of 4. Specimen I.D. number. test is a requirement. The test must client information as well as to guard against 5. Laboratory accession number. accurately measure the application of the inappropriate referral practices. 6. Primary specimen laboratory name, knowledge, skills, and abilities possessed by 10. Re-certification Program: Certification address, and phone number. the counselor. The test establishes a national is not just a one time event. It is a continuing 7. Date specimen received. standard that must be met to practice. privilege with continuing requirements. 8. Split specimen laboratory name, 5. Testing Validity: The certification Among these are continuing education, address, and phone number. examination must be reviewed by an continuing state certification, and 9. Date split specimen received. independent authority for validity concomitant adherence to the code of ethics. 10. Drug present in primary specimen. (examination reliability and relationship to Re-certification serves as a protector of client 11. Reason for failure to reconfirm as the knowledge, skills, and abilities required interests by removing poor performers from reported by the laboratory (e.g., drug not by the counseling field). The reliability of the the certified practice. present, specimen unsuitable for testing, split exam is paramount if counselor attributes are 11. Fifty State Coverage: Certification must not collected, insufficient volume). to be accurately measured. The examination be available to qualified counselors in all 50 12. Action taken by MRO. passing score point must be placed at an states and, therefore, the test must be appropriate minimal level score as gauged by available to qualified applicants in all 50 Appendix F to Part 40—SAP statistically reliable methodology. states. Because many companies are multi- 6. Measurable Knowledge Base: The Equivalency Requirements for state operators, consistency in SAP Certification Organizations certification process must be based upon measurable knowledge possessed by the evaluation quality and opportunities is 1. Experience: Minimum requirements are applicant and verified through collateral data paramount. The test need not be given in all for three years’ full-time supervised and testing. That level of knowledge must be 50 states but should be accessible to experience or 6,000 hours of supervised of sufficient quantity to ensure a high quality candidates from all states. experience as an alcoholism and/or drug of SAP evaluation and referral services. 12. National Commission for Certifying abuse counselor. The supervision must be 7. Measurable Skills Base: The certification Agencies (NCCA) Accreditation: Having provided by a licensed or certified process must be based upon measurable NCCA accreditation is a means of practitioner. Supervised experience is skills possessed by the applicant and verified demonstrating to the Department of important if the individual is to be through collateral data and testing. That level Transportation that your certification has considered a professional in the field of of skills must be of sufficient quality to been reviewed by a panel of impartial experts alcohol and drug abuse evaluation and ensure a high quality of SAP evaluation and that have determined that your counseling. referral services. examination(s) has met stringent and 2. Education: There exists a requirement of 8. Quality Assurance Plan: The appropriate testing standards. 270 contact hours of education and training certification agency must ensure that a means in alcoholism and/or drug abuse or related exists to determine that applicant records are [FR Doc. 99–31510 Filed 12–8–99; 8:45 am] training. These hours can take the form of verified as being true by the certification BILLING CODE 4910±62±U

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DEPARTMENT OF EDUCATION we discussed on pages 37466 through Analysis of Comments and Changes 37469 the major provisions proposed to section elsewhere in this preamble). 34 CFR Part 304 implement the service obligation Section 304.23 lists the assurances RIN 1820±AB46 requirements. These are summarized that must be provided by a grantee below. In several instances the final intending to provide scholarships. Special EducationÐPersonnel regulations contain changes from the These include providing a written Preparation to Improve Services and NPRM. These changes are noted below, agreement with each scholar who Results for Children with Disabilities and are fully explained in the Analysis receives a scholarship that specifies the of Comments and Changes section of terms and conditions applicable to the AGENCY: Office of Special Education and this preamble. scholarship. The most significant part of Rehabilitative Services of Special These regulations restate the statutory this agreement is the requirement that Education Services, Department of requirement for the service obligation the scholar provide special education Education. under this program, stipulate that the and related services to children with ACTION: Final regulations. service requirement applies to disabilities or early intervention individuals who receive scholarship services to infants and toddlers and SUMMARY: The Secretary establishes assistance from a funded project, and their families on a full-time basis; and regulations governing specific clarify that scholarships may be for a period of at least two years for provisions of the Personnel Preparation awarded only to individuals pursuing every year for which assistance was Program to Improve Services and degrees, licenses, certifications, or received. Paragraph (b)(2) requires Results for Children with Disabilities. endorsements related to special scholars to fulfill their service obligation The regulations are needed to education, related services, or early by working in a position or positions in implement changes to the Individuals intervention services. which a majority of the persons to with Disabilities Education Act (IDEA or whom the individual provides services the Act) that were adopted as part of the Subpart A—General are receiving from the individual special IDEA Amendments of 1997. Section 304.3 defines key terms used education and related services as Specifically, the regulations establish in this part of the regulations, including defined in Part B of the Act or early procedures to implement section 673(h) related services, special education, intervention as defined in Part C of the of IDEA which requires that individuals academic year, full-time work, and Act. Because scholars who enter who receive a scholarship through scholarship. leadership positions related to special personnel preparation projects funded education do not typically serve a under the Act must subsequently Subpart B—What Conditions Must Be classroom or caseload of students, provide special education and related Met By the Grantee? paragraph (b)(3) would apply a services to children with disabilities (or, Section 304.20 reflects our intention somewhat different standard to the for leadership personnel, work in areas to announce for each personnel training service obligation for those who receive scholarships from leadership training related to their preparation) for a period grant competition a specific percentage, projects (section 673(c) of the Act). of two years for every year for which up to 75 percent, of a grantee’s total Those scholars would be required to assistance was received. Scholarship award that must be used to support work full-time, for a period of at least recipients who do not satisfy their scholarships. The provision would two years for each year of assistance, in service obligation must repay all or part allow us to award grants that use less a position (or positions) in which a of the cost of their assistance in than the published percentage to pay for majority of the scholar’s time is accordance with the regulations. The scholarships in light of the unique expended on work related to his or her regulations implement requirements nature of a particular project. However, training (i.e., special education, related governing, among other things, the because financial support for graduate service obligation for scholars, oversight service, or early intervention assistants is not considered scholarship leadership). by grantees, repayment of scholarship, assistance, such costs may not be paid and procedures for obtaining deferrals Section 304.23(b)(4) clarifies that the from the minimum percentage of grant service obligation requirements as or exemptions from service or funds that must be used to support repayment obligations. applied to part-time scholars will be scholarships. based on the accumulated academic DATES: These regulations are effective Section 304.21 stipulates the types of years of training for which the January 10, 2000. costs that would be allowable under scholarship is received. FOR FURTHER INFORMATION CONTACT: program grants. Section 304.23(c) through (f) Renee Bradley, U.S. Department of Section 304.22 identifies respectively identify grantee assurances Education, 600 Independence Avenue, requirements that grantees must meet in related to: scholarship repayment, the Washington, DC 20202–2641. disbursing scholarships. Paragraph (a) grantee’s standards for measuring a Telephone: (202) 358–2849. If you use a relates to citizenship or residency scholar’s academic progress, the telecommunications device for the deaf requirements. Paragraph (b) requires grantee’s responsibility for ensuring (TDD), you may call at (202) 205–9374. grantees to limit a scholarship to the compliance with the service obligation Individuals with disabilities may amount by which the cost of attendance requirements, and the grantee’s obtain this document in an alternative at the institution exceeds the amount of procedures for notifying scholars in format (e.g., Braille, large print, any grant assistance the individual writing of their service obligation upon audiotape, or computer diskette) on receives under Title IV of the Higher their exit from the training project. A request to the contact person listed in Education Act. The final regulation grantee would provide assurances to the the preceding paragraph. deletes paragraph (c) of the NPRM that Department that it has established SUPPLEMENTARY INFORMATION: On July specified that scholarship assistance policies or procedures to address each 10, 1998 we published a notice of would be limited to an individual’s cost of these requirements and the remaining proposed rulemaking (NPRM) for this of attendance for no more than four requirements in § 304.23, prior to program in the Federal Register (63 FR academic years total, with certain receiving a training grant under IDEA. 37466). In the preamble to the NPRM, exceptions (see the discussion in the In the final regulations, specific

VerDate 29-OCT-99 12:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\A09DE0.013 pfrm02 PsN: 09DER2 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations 69139 reference to a tracking system in comments on the proposed regulations. years for each year of assistance) upon § 304.23(e) has been eliminated. An analysis of the comments and of the completion of the program. Thus, the Section 304.23(g) and (h) identifies changes in the regulations since final regulations define ‘‘academic year’’ the requirements governing publication of the NPRM follows. for part-time students as the equivalent maintenance and submission of We discuss other substantive issues of a full-time academic year based on information related to each scholarship under the sections of the regulations to the accumulation of part-time periods of recipient that enable grantees to monitor which they pertain. Generally, we not study. Also, the work requirements in compliance of scholars with the address technical and other minor § 304.23 of the final regulations clarify proposed regulations. changes—and suggested changes the that the period of a scholar’s service Section 304.23(i) requires grantees to law does not authorized the Secretary to obligation is dependent on the number notify the Department at the time an make. of ‘‘academic years’’ for which the individual has failed to fulfill or has Section 304.3 What Definitions Apply individual receives scholarship chosen not to fulfill the applicable to This Program? assistance. service obligation within the We believe that the definition of appropriate time period. Comments: Several commenters ‘‘scholarship’’ in the proposed requested that we clarify the proposed regulations reflects congressional intent. Subpart C—What Conditions Must Be definition of ‘‘academic year’’. The Act requires individuals receiving a Met By the Scholar? Specifically, these commenters noted ‘‘scholarship’’ to fulfill an appropriate Section 304.30 specifies the that the NPRM defines ‘‘academic year’’ service obligation for every year for requirements that a scholar must meet in terms of a full-time course of study which assistance was received. The Act in order to receive a scholarship under and asked how to interpret the does not limit the service obligation to the program including (a) being enrolled definition, and determine the required students receiving certain types of in a course of study leading to a degree, service obligation, for scholars pursuing assistance. Thus, we interpret certificate, endorsement, or license special education, related service, or ‘‘scholarship’’ to refer to all types of related to special education, related early intervention degrees or certificates financial assistance that a scholar might services, or early intervention services; on a part-time basis. Other commenters receive under an IDEA-funded project, (b) entering into a written agreement proposed limiting the definition of including assistance used to pay for with the grantee establishing the service ‘‘scholarship’’ in the NPRM to exclude student fees, stipends, books, travel, as obligation requirements; (c) receiving disbursements for fees, student well as tuition. Moreover, the proposed training at the institution or agency stipends, books, travel, and other types regulations followed the Act by basing designated in the scholarship; (d) not of financial assistance. These the service requirements on the period accepting educational allowances from commenters stated that the service for which the scholar receives any other entity if that allowance obligation provisions in the proposed assistance, not on the amount of conflicts with the individual’s regulations should apply only to assistance an individual receives. obligations under the program; (e) scholars receiving tuition assistance Changes: The proposed definition of maintaining satisfactory academic since tuition scholarships are typically ‘‘academic year’’ has been revised to progress; and (f) providing information much higher than those used to pay mean a full-time course of study, or the to the grantee. In the final regulation, other costs. equivalent of a full-time course of study § 304.30(f) has been modified to Discussion: We agree that further for a part-time student. clarification of the term ‘‘academic eliminate a specific requirement for a Section 304.20 What are the tracking system and, instead, to require year’’, and of how it applies to part-time students, is needed. Section 673(h) of Requirements for Directing Grant that the scholar provide information as Funds? requested by the grantee. the Act requires students receiving The final regulation also adds a new scholarship assistance to fulfill a service Comments: Several commenters § 304.23(g) that requires the scholar to obligation for a period of 2 years for expressed concern that requiring notify the grantee institution of changes each year of assistance. The proposed grantees to expend at least 75% of their in address, employment setting, or regulations reflected our interpretation grant on scholarships would impede the employment status throughout the of the Act that the period of the ability of projects to implement regional duration of the service obligation. scholar’s service obligation must be training or distance education programs, Section 304.31 identifies calculated based on the period for or other unique (but costly) training circumstances under which a scholar which the student was enrolled in a methods. Other commenters noted may receive a deferral or exemption to full-time course of study (what similar constraints on projects that the repayment requirement. constitutes a ‘‘full-time course of study’’ require extensive faculty supervision of Section 304.32 specifies the is to be determined by the grantee scholars and questioned the basis for the requirements governing the accrual of institution). Colleges and universities Secretary to impose a cap on a project’s interest and assessment of costs that that award IDEA-funded scholarships to nonscholarship costs. Some commenters would be included as part of the part-time students must, therefore, add also questioned the rationale for not individual’s payback obligation. up the period for which a part-time considering graduate assistantships to Section 304.32(e) lists the various scholar receives a scholarship and be scholarship assistance, as was points at which a scholar enters calculate the length of the individual’s explained in the preamble to the NPRM. repayment status. service obligation based on the number Finally, one commenter stated that the Section 304.32(f) authorizes the of accumulated full-time academic years minimum percentage of a grant that Department to establish a repayment for which the student received financial must be used for scholarships should be schedule that a scholar in repayment assistance. For example, a scholar who established for each competition rather status must follow. obtains a degree after attending a than on a project-by-project basis. university on a half-time basis for 4 Discussion: As the preamble to the Analysis of Comments and Changes academic years would accumulate 2 NPRM indicates, setting a minimum In response to our invitation in the full-time academic years of assistance percentage of grant funds that must be NPRM, thirty-nine parties submitted and have a 4-year service obligation (2 used for scholarships is one means of

VerDate 29-OCT-99 12:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\A09DE0.015 pfrm02 PsN: 09DER2 69140 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations addressing the significant shortage of student’s attendance and is dependent, authorized to receive financial qualified individuals available to serve under section 673(h) of the Act, on the assistance for the same period as that certain populations of children with individual fulfilling a service obligation which applies to the grant. For example, disabilities (e.g., children with low- in return for that assistance. In order to an individual can receive up to 5 years incidence disabilities) and is consistent fulfill Congress’ mandate that students of assistance under a 5-year training with Congress’ expectation that receiving financial support under IDEA grant provided the remaining regulatory personnel training monies be used to subsequently work in the special requirements are satisfied, including the support students pursuing training. We education field, we again note that requirement in § 304.22(b) that the level believe that establishing an appropriate applicants proposing to use IDEA funds of assistance not exceed the difference limit on nonscholarship costs offers the to pay graduate assistants to assist in between the student’s cost of attendance most effective option for addressing facilitating or administering projects and the amount of student financial aid well-established personnel shortages in must classify those funds as personnel the scholar receives. Scholars may also the special education, related services, or other nonscholarship costs and count receive assistance under subsequent and early intervention fields. Moreover, those costs against the applicable grants in order to obtain additional we recognize the responsibility of States percentage limit for nonscholarship training (e.g., doctoral, postdoctoral and institutions to provide necessary expenditures. If, as some commenters training). training programs and, therefore, indicated, an IHE considers the practical Changes: Paragraph (c), including the consider it appropriate to focus Federal work experience gained by its graduate 4-year limit on financial assistance, in dollars on student support rather than assistants as an essential educational this section of the proposed regulations university program expenses. component of the student’s training, has been removed from the final We emphasize that the regulation then we would urge the IHE to regulations. authorizes the Secretary to establish a incorporate that work into the student’s Section 304.23 What Assurances Must minimum scholarship-directed course of study. In that way, an be Provided by a Grantee That Intends percentage of up to 75% (i.e., the individual’s tuition-supported to Provide Scholarships? percentage will not exceed 75%). We scholarship would cover the cost of consider 75% a reasonable level at such training and students need not be Comments: Several commenters which to require scholarship support for compensated separately for their work. requested that the length of a scholar’s some competitions based on OSEP’s Changes: Section 304.20(b) has been service obligation be proportional to the extensive review of past budgets for a amended to clarify that the Secretary amount of financial assistance received. variety of OSEP training grants. may award a grant that uses less than Other commenters requested that the However, the actual published the published percentage for regulations not apply to post-doctoral percentage will be determined on a scholarships in exceptional students. competition-by-competition basis circumstances if the Secretary Most comments on this section depending on the type of projects to be determines that such an exception is questioned the service obligation funded. The feasibility of, and need for, necessary to achieve the purposes of the requirements in the proposed distance education programs (used, for program. regulations, particularly the proposed example, by projects preparing requirement in § 304.23(b)(2) that the Section 304.22 What are the personnel to serve those with low- majority of the persons to whom the Requirements for Grantees in Disbursing incidence disabilities) and other costly scholar provides services be children Scholarships? features (e.g., extended supervision, receiving special education, related, or regional training, etc.) will be taken into Comments: Four commenters early intervention services. Some of account when the percentage for a grant expressed concern about limiting these commenters stated that the service competition is set. The final regulations scholars to four years of financial obligation provisions would serve to also clarify that the Secretary can allow assistance. These commenters suggested limit the ability of scholars to work in an exception to the published that regulations authorize scholars to regular education settings or prevent percentage for a particular project receive four years of assistance per special education teachers from being applicant only in exceptional grant, thereby enabling individuals to promoted out of the classroom. Others circumstances when the Secretary receive additional assistance under indicated that the work requirements determines that an exception is subsequent grants. would negatively impact teachers in necessary to achieve the purposes of the Discussion: We agree that the 4-year early intervention settings who serve program. limit on assistance under § 304.22(c) of both infants and toddlers with The explanation in the preamble as to the proposed regulations should be disabilities and those considered ‘‘at how institutions of higher education amended. The proposed limit was risk of’’ developmental delays. (IHEs) should classify costs for graduate viewed as a reasonable period for A number of commenters on the assistantships was intended to clarify individuals to obtain their degree. It was service obligation requirements also the distinction between scholarships not, however, intended to preclude requested clarification in the regulations that pay for student expenses and scholars from receiving assistance under for determining whether an individual payments made to students in return for subsequent grants when pursuing working part-time has fulfilled the working as graduate assistants. As we additional degrees or training (e.g., applicable service obligation. Other indicated in the NPRM, funding for doctoral training). We believe that the commenters viewed the work graduate assistants cannot be considered best way to address the commenters’ requirements for leadership personnel ‘‘scholarship’’ assistance and, therefore, concerns is to eliminate the provision in as unduly narrow. In addition, some cannot be included as part of the the proposed regulations that would commenters asked whether individuals minimum percentage of grant funds that have established the limit. By not could begin fulfilling their service must be used to pay for scholarships, imposing a specific time limit on obligation by working in the IDEA field since assistantships are conditioned on scholarship assistance (and eliminating during their training program. the individual working for the the need for the exceptions to the time Some commenters asked that Federal institution. Scholarship assistance, on limit as set out in proposed paragraph program officials determine the the other hand, supports the cost of the (c)), scholars, in effect, will be appropriateness of the employment

VerDate 29-OCT-99 17:49 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\09DER2.XXX pfrm11 PsN: 09DER2 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations 69141 settings in which each former scholar We believe that it is critical that continue to be in high demand in proposes to fulfill his or her service scholars be required to work extensively schools and school districts across the obligation. Similarly, many commenters with children with disabilities since the Nation, directing personnel training sought a much larger Federal role—and service obligation requirements in funds under IDEA toward addressing a reduced grantee role—in tracking section 673(h) were adopted in response that demand is clearly warranted. scholars following completion of their to the continued shortages of qualified The regulations do not limit a training programs. Other commenters personnel providing special education, scholar’s opportunities for advancement recognized the need for grantees to track related services, and early intervention as long as the position to which the their former scholars and sought services. We also believe that is critical former scholar advances meets the additional Federal funding to carry out for personnel providing services under service obligation requirements in this that function. Many were concerned IDEA to be capable of working with section. For example, a former scholar with the additional time and paperwork children with disabilities in regular who received training to work with the burden associated with tracking that the education settings given the high-incidence disability population, proposed regulations placed on grantee requirement in Part B of IDEA that subsequently works as a special institutions, particularly large training children with disabilities be educated, education teacher, and then advances universities. Others requested to the maximum extent appropriate, into a position as a special education clarification as to what happens if an with nondisabeld children in the regular administrator would continue to meet institution is unable to locate a former education environment. Accordingly, the requirements in § 304.23(b)(2) if the scholar. Lastly, a number of commenters the final regulations permit, as the majority of students for which the requested clarification on how the proposed regulations would have administrator is responsible are regulations applied to scholars who do permitted, a scholar to work with receiving services under either Part B or not complete their training. children with disabilities in the regular C of IDEA. On the other hand, a Discussion: As explained in the education classroom. If the individual’s secondary school principal position, in preamble discussion to § 304.3, the Act primary purpose for being in a regular which the administrator is responsible bases a scholar’s service obligation on education classroom is to provide IDEA- for the entire student population (a the period for which the individual related services to children with majority of which is not disabled) likely received financial assistance rather than disabilities, then that individual would would not qualify as an appropriate on the amount of that assistance. Thus, be considered to be providing IDEA work setting under the regulations. Of regardless of the amount of financial services to children with disabilities course, a former scholar need not work assistance offered to a scholar, the Act during the time the individual is in that in a qualified setting once the period of requires that the scholar choose between regular education classroom (for the service obligation has been met or if fulfilling the two-year per year of purposes of § 304.23(b)(2)(i) or the individual pays back the portion of assistance service obligation, on the one (b)(2)(ii)), even though one or more the scholarship that is proportional to hand, or paying back the scholarship on nondisabled children may benefit from the period for which the service the other. Both the proposed and final that individual working in the obligation was not completed. regulations reflect these options. classroom. The regulations, therefore, The statute also does not provide a As some commenters noted, a State support the expectation that children basis for excepting certain types of may serve, through its infant and with disabilities be served in the least scholarships from the work or repay toddler program under Part C of the Act, restrictive environment appropriate to requirements. Thus, a post-doctoral those infants and toddlers in the State the child. At the same time, the student, for example, receiving who would be at risk of experiencing majority-student or majority-time scholarship assistance from a leadership substantial developmental delays preparation project funded under requirement in § 304.23(b)(2) ensure without early intervention services. In section 673(c) of the Act is required to that limited IDEA training monies do in those States, these ‘‘at-risk’’ infants and fulfill the service obligation fact benefit the targeted population— toddlers qualify as infants and toddlers requirements specified in § 304.23(b)(3) children and infants and toddlers with with disabilities and are eligible to or repay the scholarship. disabilities. receive early intervention services We have provided in the final The final regulations also do not under Part C. Thus, whether a former regulations greater flexibility for diminish the importance of regular scholar of an early intervention training purposes of determining whether a education teachers being trained to program who is providing early scholar’s job is sufficiently focused on serve children with disabilities. To the intervention services to infants and serving children with disabilities. contrary, regular education teachers, toddlers with identified disabilities or Section 304.23(b) of the final regulations and individuals in regular education developmental delays, and to at-risk authorizes a scholar to serve in a training programs, are encouraged to infants and toddlers, would meet the position in which the individual spends participate in courses or other aspects of service obligation requirements in this a majority of his or her time providing IDEA-funded training programs. On the section of the regulations may depend special education, related, or early other hand, a current regular education upon whether the State has elected to intervention services. Thus, a former teacher who accepts scholarship serve at-risk infants and toddlers under scholar who provides services under assistance under an IDEA personnel Part C of IDEA. If the State has elected Part B or Part C of IDEA (Part B) to training program, like all other IDEA- to include the at-risk population under children with disabilities, would satisfy funded scholars, must subsequently its Part C program, and the scholar § 304.23(b)(2) as long as a majority of his work in the special education, related works full-time with that population, or her students are children with service, or early intervention field (or then § 304.23(b)(2) of the regulations disabilities receiving Part B or Part C payback the scholarship) consistent would be satisfied. On the other hand, services from the individual with the requirements of these if the State does not serve at-risk infants (§ 304.23(b)(2)(i)) or the individual regulations. Because special education and toddlers under Part C, then the expends a majority of his or her time teachers, related service and early scholar could still satisfy the regulations providing services under Part B or Part intervention service providers, and by serving mostly Part C-eligible C (§ 304.23(b)(2)(ii)). special education leadership personnel children or spending a majority of his or

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Therefore, the regulations, variety of reasons, to work part-time fields prior to completing the training consistent with the Act, rely upon the following their training. Thus, we agree program for which they received expertise of the grantee institution to that § 304.23(b)(1)(ii) and (b)(3)(ii) of the scholarship assistance. For example, a assist its scholar in obtaining an proposed regulations should clarify that current special education teacher could appropriate job (or jobs) among the part-time employment is authorized. receive a scholarship to pursue an many employment options available to However, because an individual’s additional degree or certificate in the individual following training. service obligation is based on full-time special education; or a scholar working Statutory intent, as well as the need employment, a part-time worker must toward a doctorate in a leadership for program effectiveness and efficiency, still meet the full-time obligation, by training program may begin teaching in also requires that grantees ensure that accumulating the periods of part-time a university’s special education program their former scholars fulfill the service work, by the end of the regulatory time while completing a dissertation or other obligation requirements in the period (i.e., the sum of the number of component of a degree. In cases in regulations. Both the proposed and final years required plus three additional which a scholarship recipient is both regulations are intended to provide years). For example, a scholar who completing training and working in a training institutions maximum received two years of financial job that would satisfy the service flexibility to determine, through the assistance would have seven years to obligation requirements (e.g., the special most efficient means possible, the complete a four-year service obligation. education teacher who provides Part B compliance of their scholars with the If that scholar subsequently works full- services to a majority of his or her applicable statutory and regulatory time for an initial two years and half- students), we agree that the regulations requirements. Thus, rather than time for the next four (i.e., the should afford some flexibility to enable establishing a specific type of system equivalent of two full-time years), the individuals to count toward the period that grantees must follow, § 304.23(e) individual would meet the service of their service obligation appropriate obligation required under this section. work performed before the completion required that grantees establish policies Accordingly, the final regulations of training. At the same time, it is and procedures, including a ‘‘tracking authorize individuals to fulfill their expected that scholarship recipients system,’’ to determine the compliance of service obligation through employment fulfill a service obligation that is their scholars with their service on a full-time or full-time equivalent sufficiently related to the training for obligations outlined in the required basis. By ‘‘full-time equivalent’’ we which assistance was provided. Because agreement between each scholar and the mean the accumulation of part-time some persons may work in this type of grantee. The broad, flexible language of employment periods to equal full-time job before completing training, the final paragraph (e) was viewed as the least employment. What constitutes ‘‘full- regulations authorize scholars to count burdensome means for grantees ‘‘to time employment’’ is determined by the toward the period of their service ensure,’’ as the Act requires, that individual’s employer or the agencies obligation requirement work that is scholarship recipients fulfill their the individual serves, as stated under performed after the completion of one employment obligations. Nevertheless, the definition of ‘‘full-time’’ in § 304.3. full-time academic year of training. Of the term ‘‘tracking system’’ has been The work requirements in the Act and course, the applicable job must meet the removed from the regulations since regulations that apply to scholarship work setting and other requirements in many commenters believed that this recipients in leadership training the regulations, and the individual must term suggested a specific and more programs enable scholars to pursue a fulfill the remaining portion of the complicated procedure than might be wide variety of administrative or other service obligation upon completion of necessary for certain institutions to leadership positions related to the the training. comply with the Act and regulations. provision of services under IDEA. By Assigning responsibility for Grantee institutions still remain requiring leadership program graduates determining the appropriateness of a responsible for ensuring that their to spend a majority of their time former scholar’s work setting to the former scholars comply with the service performing work related to their Department would create additional obligation requirements and for training, we expect these former burden on scholars and limit the notifying the Department if a scholar scholars to help address the shortage of flexibility on grantee institutions that fails to fulfill his or her obligation. Since qualified supervisory and policymaking the Act intentionally provides. Section no specific type of ‘‘tracking system’’ is officials, and university faculty, in the 673(h) of the Act states that applicants required, grantees are free to utilize special education, related service, and for IDEA training grants ‘‘will ensure’’ existing practices at their institution early intervention fields. As indicated that their scholarship recipients (e.g., alumni office procedures or previously, however, IDEA leadership subsequently meet the service obligation university accreditation practices for funds are not intended to pay for the requirements, meaning that the grantee reporting on the progress and training of administrators (e.g., institution is responsible for employment status of former graduates), principals) who work primarily with a determining whether a scholarship modify those practices, or develop new nondisabled student population recipient has fulfilled his or her procedures specific to graduates of IDEA (although former scholars can certainly subsequent work obligations under this training programs. Regardless of the assume those positions after the period section of the regulations. The Act approach instituted, we expect that the of their service obligation or by paying recognizes that the grantee institution is costs incurred under § 304.23(e) will be back their scholarship). We believe the in the best position to counsel and assist primarily the initial costs of establishing proposed regulatory requirements its former scholars in meeting the work the institution’s policies and procedures established an appropriate standard that responsibilities that result from for following former scholars.

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The estimates of the time and scholarship assistance would not be track of their former scholars more paperwork burden associated with able to meet their service obligation readily. implementing § 304.23(e) were (and, therefore, must payback their Changes: Section 304.30(f) of the developed following a review of the scholarship) if they are not qualified to proposed regulations has been amended history of IDEA training programs and fill available special education, related to require that a scholar provide his or available data, including the number of service, or early intervention jobs that her training institution with any scholarships awarded by funded meet the requirements in § 304.23(b)(2) requested information that is necessary projects. We agree that the relevant or (b)(3)(i). for the grantee to determine the burden could depend on the size of the Changes: Section 304.23(b)(1)(iii) and scholar’s progress in meeting the service institution and the number of scholars. (b)(3)(iii) have been revised to clarify obligation requirements. Also, under It is more likely, however, that the time that the length of an individual’s service § 304.30, a new paragraph (g) has been and effort needed to follow former obligation is based on the number of added to the final regulations to require scholars will depend upon the ‘‘academic years’’ for which scholarship that each scholar notify the grantee institutions’ existing practices and assistance was received. Also, institution of changes in address, whether those institutions receiving § 304.23(b)(2) has been revised to employment setting, or employment IDEA training grants can adopt or authorize scholars to work in positions status during the period of the service modify those practices for purposes of in which the individual spends a obligation. fulfilling their responsibilities under majority of his or her time providing Section 304.31 What are the § 304.23 and other provisions of these special education, related, or early Requirements for Obtaining a Deferral regulations. Moreover, the Department intervention services. In addition, a new or Exemption to Performance or intends to closely monitor the impact of paragraph, § 304.23(b)(5), has been Repayment Under an Agreement? the requirements of this section on added to the final regulations to allow Comments: Some commenters funded projects and to provide technical scholars to count toward their service requested that deferral of the service assistance (e.g., sharing model obligation employment that meets the obligation requirements be authorized procedures of other projects) during the regulatory requirements and is for scholars who are pregnant or have continued implementation of § 304.23 performed subsequent to the completion other temporary medical conditions. and of the final regulations as a whole. of one academic year of the training. Discussion: We do not believe that Aside from the fact that the Act compels Finally, § 304.23(e) of the proposed expanding the bases for receiving a grantee institutions to ensure their regulations has been amended by deferral of the service obligation scholars’ compliance, we also note that removing the term ‘‘tracking system’’ as requirements is needed. As in the the grantee’s procedures for following a required component of the grantee’s proposed regulations, § 304.23(b) of the former scholars will provide the policies and procedures for determining final regulations provides for an institution with valuable evaluative the compliance of scholars with their additional three years, beyond the information related to the success of its regulatory obligations. training program and the progress of its number of years required by the Act, to graduates. Section 304.30 What are the complete the service obligation. Thus, a We do recognize, however, that in Requirements for Scholars? scholar with a four-year service some instances, an institution may be obligation, for example, has seven years Comments: A number of commenters unable to locate a former scholar to fulfill that requirement. The asked that the regulations highlight the regardless of its persistency in doing so. additional three-year time period in the need for scholars to provide information If, for example, the institution has sent regulations is intended to provide to the grantee institution following the scholar a letter of inquiry and greater flexibility in meeting the work training, including changes in address follow-up reminders without receiving obligation for those former scholars who and the status of the individual’s any response, and it cannot otherwise become pregnant, experience short-term employment. These commenters verify that the former scholar has met illness, relocate, or, for other reasons, emphasized the importance of former the service obligation requirements, choose not to work full-time or in scholars providing this information in then the institution must notify the successive years. In addition, order for institutions to ensure that the Department of the individual’s possible § 304.31(b) of the regulations authorizes service obligation requirements are noncompliance. scholars to obtain a deferral of the being fulfilled. We note that the regulations apply to service obligation time period (i.e., training program drop-outs in the same Discussion: Although the statute number of years required plus three manner as other scholarship recipients. requires that grantees ensure that their additional years) under different types Thus, an individual receiving financial scholarship recipients fulfill their of circumstances, including the assistance under an IDEA-funded grant service obligation, we recognize that situation where a disability prevents an who fails to satisfy the service scholars have a responsibility to keep individual from working. Thus, a obligation must repay the cost of the their institutions informed of their disabling medical condition may assistance consistent with § 304.23(c). whereabouts and their progress toward provide a basis for a deferral. We expect that grant applicants, meeting the work requirements in Changes: None. however, will minimize the number of § 304.23(b). Scholars, therefore, are students who do not complete their expected to provide any information the Executive Order 12866 training by accepting, and limiting institution requests that is needed to We have reviewed these final scholarship assistance to, highly- determine whether the scholar has regulations in accordance with qualified students able to sustain fulfilled the service obligation Executive Order 12866. Under the terms satisfactory performance and complete requirements or needs to repay the of the order we have assessed the their program of studies. In addition, scholarship. Moreover, scholars should potential costs and benefits of this grantee institutions should establish keep their institution apprised of regulatory action. sufficient support services to ensure the changes in address or job status The potential costs associated with success of their students. We also note throughout the period of their service the final regulations are those resulting that drop-outs who had received obligation, enabling institutions to keep from statutory requirements and those

VerDate 29-OCT-99 17:16 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 E:\FR\FM\09DER2.XXX pfrm03 PsN: 09DER2 69144 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations we have determined to be necessary for http://www.ed.gov/news.html Subpart CÐWhat Conditions Must Be Met administering this program effectively By the Scholar? To use the PDF you must have the and efficiently. 304.30 What are the requirements for In assessing the potential costs and Adobe Acrobat Reader Program with scholars? benefits—both quantitative and Search, which is available free at either 304.31 What are the requirements for qualitative—of these final regulations, of the previous sites. If you have obtaining a deferral or exception to we have determined that the benefits of questions about using the PDF, call the performance or repayment under an the regulations justify the costs. U.S. Government Printing Office (GPO), agreement? toll free, at 1–888–293–6498; or in the 304.32 What are the consequences of a We have also determined that this scholar’s failure to meet the terms and regulatory action does not unduly Washington, D.C., area at (202) 512– conditions of a scholarship agreement? 1530. interfere with State, local, and tribal Authority: 20 U.S.C. 1473, unless governments in the exercise of their Note: The official version of this document otherwise noted. governmental functions. is the document published in the Federal We summarized the potential costs Register. Free Internet access to the official Subpart AÐGeneral and benefits of these final regulations in edition of the Federal Register and the Code § 304.1 Purpose. the preamble to the NPRM published on of Federal Regulations is available on GPO July 10, 1998 (63 FR 37469). Access at: http://www.access.gpo.gov/nara/ Individuals who receive scholarship index.html assistance from projects funded under Paperwork Reduction Act of 1995 the Special Education—Personnel The Paperwork Reduction Act of 1995 (Catalog of Federal Domestic Assistance Preparation to Improve Services and Number 84.325, Personnel Preparation to does not require you to respond to a Results for Children with Disabilities Improve Services and Results for Children collection of information unless it program are required to complete a with Disabilities.) displays a valid OMB control number. service obligation, or repay all or part of We display the valid OMB control List of Subjects in 34 CFR Part 304 the costs of such assistance, in number assigned to the collection of accordance with section 673(h) of the information in these final regulations at Education of individuals with Individuals with Disabilities Education the end of the affected sections of the disabilities, Elementary and secondary Act and the regulations of this part. education, Grant programs—education, regulations. (Authority: 20 U.S.C. 1473(h)) Individuals with disabilities, Reporting Intergovernmental Review and recordkeeping requirements, § 304.2 What is the Special EducationÐ This program is subject to the Schools. Personnel Preparation to Improve Services requirements of Executive Order 12372 and Results for Children with Disabilities and the regulations in 34 CFR part 79. Dated: December 6, 1999. Program? The objective of the Executive order is Judith E. Heumann, The Special Education—Personnel to foster an intergovernmental Assistant Secretary for Special Education and Preparation to Improve Services and partnership and a strengthened Rehabilitative Services. Results for Children with Disabilities federalism by relying on processes For the reasons discussed in the Program (program) provides financial developed by State and local preamble, the Secretary amends Title 34 assistance under section 673 of the Act governments for coordination and of the Code of Federal Regulations by to— (a) Help address State-identified review of proposed Federal financial revising Part 304 to read as follows: assistance. needs for qualified personnel in special In accordance with the order, we PART 304ÐSPECIAL EDUCATIONÐ education, related services, early intend this document to provide early PERSONNEL PREPARATION TO intervention, and regular education, to notification of the Department’s specific IMPROVE SERVICES AND RESULTS work with children with disabilities; plans and actions for this program. and FOR CHILDREN WITH DISABILITIES (b) Ensure that those personnel have Assessment of Educational Impact Subpart AÐGeneral the skills and knowledge, derived from In the NPRM we requested comments practices that have been determined, on whether the proposed regulations Sec. through research and experience, to be 304.1 Purpose. would require transmission of successful, that are needed to serve information that any other agency or 304.2 What is the Special Education— Personnel Preparation to Improve those children. authority of the United States gathers or Services and Results for Children with (Authority: 20 U.S.C. 1473(a)) makes available. Disabilities Program? Based on the response to the NPRM 304.3 What definitions apply to this § 304.3 What definitions apply to this and on our review, we have determined program? program? that these final regulations do not 304.4 What regulations apply to this (a) Definitions in EDGAR. The require transmission of information that program? following terms used in this part are any other agency or authority of the defined in 34 CFR 77.1: United States gathers or makes Subpart BÐWhat Conditions Must Be Met By the Grantee? Applicant available. Award 304.20 What are the requirements for Electronic Access to This Document Department directing grant funds? EDGAR You may view this document, as well 304.21 What are allowable costs? Grantee as all other Department of Education 304.22 What are the requirements for Project documents published in the Federal grantees in disbursing scholarships? Recipient Register, in text or Adobe Portable 304.23 What assurances must be provided Secretary Document Format (PDF) on the Internet by a grantee that intends to provide scholarships? (b) The following definitions apply to at either of the following sites: this program: http://ocfo.ed.gov/fedreg.htm Academic year means—

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(1) A full-time course of study— (5) Part 80 (Uniform Administrative (2) Is a permanent resident of— (i) Taken for a period totaling at least Requirements for Grants and (i) Puerto Rico, the United States nine months; or Cooperative Agreements to State and Virgin Islands, Guam, American Samoa, (ii) Taken for the equivalent of at least Local Governments). or the Commonwealth of the Northern two semesters, two trimesters, or three (6) Part 81 (General Education Mariana Islands; or quarters; or Provisions Act—Enforcement). (ii) The Republic of the Marshall (2) For a part-time student, the (7) Part 82 (New Restrictions on Islands, the Federated States of accumulation of periods of part-time Lobbying). Micronesia, or the Republic of Palau courses of study that is equivalent to an (8) Part 85 (Governmentwide (during the period in which these ‘‘academic year’’ under paragraph (b)(1) Debarment and Suspension entities are eligible to receive an award of this section. (Nonprocurement) and under the program); or Act means the Individuals with Governmentwide Requirements for (3) Provides evidence from the U.S. Disabilities Education Act, 20 U.S.C. Drug-Free Workplace (Grants)). Immigration and Naturalization Service 1400 et seq. (9) Part 86 (Drug-Free Schools and that the individual is— Early intervention services means Campuses). (i) A lawful permanent resident of the early intervention services as defined in (10) Part 97 (Protection of Human United States; or section 632(4) of the Act. Subjects). (ii) In the United States for other than Full-time, for purposes of determining (11) Part 98 (Student Rights in a temporary purpose with the intention whether an individual is employed full- Research, Experimental Programs and of becoming a citizen or permanent time in accordance with § 304.23, means Testing). resident. a full-time position as defined by the (12) Part 99 (Family Educational (b) Limit scholarship assistance to the individual’s employer or by the agencies Rights and Privacy). amount by which the individual’s cost served by the individual. (b) The regulations in this part 304. of attendance at the institution exceeds the amount of grant assistance the Payback means monetary repayment (Authority: 20 U.S.C. 1473; 20 U.S.C. 3474(a)) of scholarship assistance in lieu of scholar is to receive for the same completion of a service obligation. Subpart BÐWhat Conditions Must Be academic year under Title IV of the Related services means related Met By the Grantee? Higher Education Act; and services as defined in section 602(22) of (c) Obtain a Certification of Eligibility the Act. § 304.20 What are the requirements for for Federal Assistance from each Scholar means an individual who is directing grant funds? scholar, as prescribed in 34 CFR 75.60, pursuing a degree, license, (a) The Secretary, as appropriate, 75.61, and 75.62. endorsement, or certification related to identifies in a notice published in the (Approved by the Office of Management and special education, related services, or Federal Register, the percentage (up to Budget under control number 1820–0622) early intervention services and who 75 percent) of a total award under the (Authority: 20 U.S.C. 1473) receives scholarship assistance under program that must be used to support scholarships as defined in § 304.3. § 304.23 What assurances must be this part. provided by a grantee that intends to Scholarship means financial (b) The Secretary may award a grant provide scholarships? assistance to a scholar for training under that uses a percentage for scholarships, as determined by the Secretary, that is Before receiving an award, a grantee the program and includes all that intends to grant scholarships under lower than that published under disbursements or credits for tuition, the program must assure that the paragraph (a) of this section in fees, student stipends, and books, and following requirements will be satisfied: travel in conjunction with training exceptional circumstances if the (a) Requirement for agreement. Each assignments. Secretary determines that such an scholar who will receive a scholarship Service obligation means a scholar’s exception is necessary to achieve the must first enter into a written agreement employment obligation, as described in purposes of the program. with the grantee that contains the terms section 673(h) of the Act and (Authority: 20 U.S.C. 1473(h)) and conditions required by this section. § 304.23(b). (b) Terms of the agreement. Each Special education means special § 304.21 What are allowable costs? agreement under paragraph (a) of this education as defined in section 602(25) In addition to the allowable costs section must contain, at a minimum, the of the Act. established in the Education following provisions: (Authority: 20 U.S.C. 1473(h)) Department General Administrative (1) Individuals who receive Regulations in 34 CFR 75.530 through scholarship assistance from projects § 304.4 What regulations apply to this 75.562, the following items are funded under section 673(b) and (e), program? allowable expenditures by projects and to the extent determined The following regulations apply to funded under the program: appropriate by the Secretary, section this program: (a) Tuition and fees. 673(d), of the Act will subsequently (a) The Education Department General (b) Student stipends and books. maintain employment— Administrative Regulations (EDGAR) in (c) Travel in conjunction with training (i) In which the individual provides the following parts of title 34 of the assignments. special education or related services to Code of Federal Regulations: (Authority: 20 U.S.C. 1473(h)) children with disabilities or early (1) Part 74 (Administration of Grants intervention services to infants and to Institutions of Higher Education, § 304.22 What are the requirements for toddlers, and their families; Hospitals, and Nonprofit Organizations). grantees in disbursing scholarships? (ii) On a full-time or full-time (2) Part 75 (Direct Grant Programs). Before disbursement of scholarship equivalent basis; and (3) Part 77 (Definitions That Apply to assistance to an individual, a grantee (iii) For a period of at least two years Department Regulations). must— for every academic year for which (4) Part 79 (Intergovernmental Review (a) Ensure that the scholar— assistance was received. of Department of Education Programs (1) Is a citizen or national of the (2) In order to meet the requirements and Activities). United States; of paragraph (b)(1) of this section, an

VerDate 29-OCT-99 12:47 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\A09DE0.026 pfrm02 PsN: 09DER2 69146 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Rules and Regulations individual must be employed in a the case of the scholar’s failure to meet and conditions of § 304.23 of this part position in which— the obligation of § 304.32. before starting training; (i) A majority of the persons to whom (d) Standards for satisfactory (c) Receive the training at the the individual provides services are progress. The grantee must establish, educational institution or agency receiving from the individual special notify students of, and apply reasonable designated in the scholarship; education, related services, or early standards for measuring whether a (d) Not accept payment of educational intervention services; or scholar is maintaining satisfactory allowances from any other entity if that (ii) The individual spends a majority progress in the scholar’s course of study; allowance conflicts with the scholar’s of his or her time providing special (e) Compliance. The grantee must obligation under this part; education or related services to children establish policies and procedures to (e) Maintain satisfactory progress with disabilities or early intervention determine compliance of scholars with toward the degree, certificate, services to infants and toddlers with the terms of the written agreement endorsement, or license as determined disabilities. developed under this section; by the grantee; (f) Provide the grantee all requested (3) Individuals who receive (f) Exit certification. The grantee must information necessary to determine the scholarship assistance from a leadership establish policies and procedures for scholar’s progress in meeting the service preparation project funded under receiving written certification from scholars at the time of exit from the obligation under § 304.23(b); and section 673(c) of the Act will (g) Notify the grantee of changes in subsequently maintain employment— program that identifies— (1) The number of years the scholar address, employment setting, or (i) In which the individual expends a needs to work to satisfy the work employment status during the period of majority of his or her time performing requirements in paragraph (b) of this the scholar’s service obligation under work related to the individual’s section. § 304.23(b). preparation; (2) The total amount of scholarship (ii) On a full-time or full-time (Approved by the Office of Management and assistance received subject to the work- Budget under control number 1820–0622) equivalent basis; and or-repay provision in paragraph (b) of (Authority: 20 U.S.C. 1473(h)) (iii) For a period of at least two years this section. for every academic year for which (3) The time period, consistent with § 304.31 What are the requirements for assistance was received. paragraph (b)(1)(iii) or (b)(3)(iii) of this obtaining a deferral or exception to (4) A scholarship recipient must section, during which the scholar must performance or repayment under an complete the service obligation under satisfy the work requirements in agreement? paragraph (b)(1)(iii) or (b)(3)(iii) of this paragraph (b) of this section. (a) An exception to the repayment section within the period ending not (4) All other obligations of the scholar requirement in § 304.23(c) may be more than the sum of the number of under this section. granted, in whole or part, if the years required in paragraph (b)(1)(iii) or (g) Information. The grantee must scholar— (b)(3)(iii) of this section, as appropriate, provide, upon request of the Secretary, (1) Is unable to continue the course of plus three additional years, from the information, including records study or perform the service obligation date the recipient completes the training maintained under paragraphs (e) and (f) because of a disability that is expected for which the scholarship assistance of this section, that is necessary to carry to continue indefinitely; or was awarded. out the Secretary’s functions under this (2) Has died. (5) Employment that meets the part. (b) Deferral of the repayment requirements of paragraph (b) of this (h) Records. The grantee must requirement in § 304.23(c) may be section, and is performed by a scholar maintain the information under this granted during the time the scholar— (1) Is engaging in a full-time course of subsequent to the completion of one section related to a scholar for a period study at an institution of higher academic year of the training for which of time equal to the time required to fulfill the obligation under paragraph (b) education; the scholarship assistance was received, (2) Is serving, not in excess of three can be used to meet, in part, the period of this section. (i) Notification. The grantee must years, on active duty as a member of the of the scholar’s service obligation under armed services of the United States; paragraph (b)(1)(iii) or (b)(3)(iii) of this inform the Secretary if a scholar fails to fulfill or chooses not to fulfill the (3) Is serving as a volunteer under the section. Peace Corps Act; (6) The service obligation in obligation under paragraph (b)(1) or (b)(3) of this section. (4) Is serving as a full-time volunteer paragraph (b) of this section, as applied under Title I of the Domestic Volunteer to a part-time scholar, is based on the (Approved by the Office of Management and Service Act of 1973; accumulated academic years of training Budget under control number 1820–0622) (5) Has a disability which prevents for which the scholarship is received. (Authority: 20 U.S.C. 1473(h)) the individual from working, for a (c) Repayment. (1) Subject to the period not to exceed three years; or provisions in § 304.31 regarding a Subpart CÐWhat Conditions Must Be (6) Is unable to secure employment as deferral or exception, a scholar who Met By the Scholar? required by the agreement by reason of does not fulfill the requirements in § 304.30 What are the requirements for the care provided to a disabled family paragraph (b)(1) or (b)(3) of this section, scholars? member for a period not to exceed 12 as appropriate, must repay all or part of A scholar must— months. any scholarship received, plus interest. (a) Be enrolled in a course of study (c) Deferrals or exceptions to (2) The amount of the scholarship that leading to a degree, certificate, performance or repayment may be has not been retired through eligible endorsement, or license related to provided by grantees based upon service will constitute a debt owed to special education, related services, or sufficient evidence to substantiate the the United States that— early intervention services in order to be grounds for an exception under (i) Will be repaid by the scholar in eligible to receive a scholarship under paragraph (a) of this section or a deferral accordance with § 304.32; and the program; under paragraph (b) of this section. (ii) May be collected by the Secretary (b) Enter into a written agreement (Approved by the Office of Management and in accordance with 34 CFR part 30, in with the grantee that meets the terms Budget under control number 1820–0622)

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(Authority: 20 U.S.C. 1473(h)) the scholar is determined to have (2) Any date when the scholar’s entered repayment status under failure to begin or maintain employment § 304.32 What are the consequences of a scholar's failure to meet the terms and paragraph (e) of this section. makes it impossible for that individual conditions of a scholarship agreement? (2) Any accrued interest is capitalized to complete the service obligation at the time the scholar’s repayment within the number of years required in If a scholar fails to meet the terms and schedule is established. § 304.23(b). conditions of a scholarship agreement (3) No interest is charged for the (3) Any date on which the scholar under § 304.23(b) or to obtain a deferral period of time during which repayment discontinues enrollment in the course of or an exception as provided in § 304.31, has been deferred under § 304.31. study under § 304.30(a). the scholar must repay all or part of the (d) Collection costs. Under the (f) Amounts and frequency of scholarship assistance to the Secretary authority of 31 U.S.C. 3717, the as follows: payment. The scholar must make Secretary may impose reasonable payments to the Secretary that cover (a) Amount. The amount of the collection costs. principal, interest, and collection costs scholarship to be repaid is proportional (e) Repayment status. A scholar enters according to a schedule established by to the service obligation not completed. repayment status on the first day of the the Secretary. (b) Interest Rate. The Secretary first calendar month after the earliest of charges the scholar interest on the (Approved by the Office of Management and the following dates, as applicable: Budget under control number 1820–0622) unpaid balance owed in accordance (1) The date the scholar informs the (Authority: 20 U.S.C. 1473(h)) with 31 U.S.C. 3717. grantee that he or she does not plan to (c) Interest accrual. (1) Interest on the fulfill the service obligation under the [FR Doc. 99–31951 Filed 12–8–99; 8:45 am] unpaid balance accrues from the date agreement. BILLING CODE 4000±01±U

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DEPARTMENT OF EDUCATION 103 degrees West. Ku Band: SBS–5, Dated: December 6, 1999. Transponder K–10, Downlink Patricia W. McNeil, [CFDA No. 84.191] Frequency 12166 MHz, Horizontal, Assistant Secretary, Vocational and Adult English Literacy and Civics Education Orbit 123 degrees West. You may access Education. Demonstration Grants Program; Notice the webcast at: http://www.iti- [FR Doc. 99–31950 Filed 12–8–99; 8:45 am] of Technical Assistance Workshops corp.com/doed/live.htm. BILLING CODE 4000±01±M for Grant Applications for Fiscal Year FOR FURTHER INFORMATION AND 1999 Funds REGISTRATION FOR A SATELLITE DOWNLINK DEPARTMENT OF EDUCATION FOR THE TELECAST WORKSHOP, CONTACT: SUMMARY: The Secretary announces [CFDA No. 84.191] technical assistance workshops, 1–800–USA–LEARN or http:// stm.xpandcorp.com (to register on-line). including satellite telecast and a Notice Inviting Applicants To Serve as webcast, to assist applicants in Individuals with disabilities may Field Readers for the English Literacy preparing grant applications for FY 1999 obtain this document in an alternate and Civics Education Demonstration funds under the English Literacy and format (e.g., Braille, large print, Grants Program civics Education (EL/Civics education) audiotape, or computer diskette) on Demonstration Grants Program. for request to the contact person listed SUMMARY: The Office of Vocational and further information on the competition above. Adult Education (OVAE) invites of the EL/Civics education program, interested individuals to apply to serve SUPPLEMENTARY INFORMATION: The as field readers to evaluate grant please refer to the U.S. Department of workshops are free to the public. Education, Office of Vocational and applications for the English Literacy and However, you must pay your own travel Civics Education (EL/Civics education) Adult Education, El/Civics Education and hotel accommodations. website at: http://www.ed.gov/offices/ Demonstration Grants Program. The OVAE/ELCIVICS. Assistance to Individuals With purpose of the EL/Civics education program is to support projects that DATES, TIMES, AND LOCATIONS: The dates, Disabilities at the Technical Assistance demonstrate effective practices in times, and locations of the technical Workshops providing, and increasing access to, assistance workshops are as follows: The technical assistance workshop English literacy programs linked to 1. December 6, 1999, 9:00 a.m. to 1:00 sites are accessible to individuals with civics education. p.m., Illinois State Board of Education, disabilities. If you will need an auxiliary Duties and Compensation of Field James R. Thompson Center, 100 West aid or service to participate in the Readers: Field readers will review Randolph, Room 2–025, Chicago, workshop (e.g., interpreting service, applications according to the applicable Illinois. assistive listening device, or materials in selection criteria. Each field reader will 2. December 7, 1999, 10:00 a.m. to an alternative format), notify the contact serve for a period of approximately five 1:00 p.m., St. Philip’s College, 1801 person listed in this notice as soon as days, including an orientation session. Martin Luther King Drive, Watson Fine possible before the scheduled workshop The orientation and field reader panel Arts Theater, San Antonio, Texas. date. Although we will attempt to meet discussions may be conducted entirely 3. December 10, 1999, 8:30 a.m. to by teleconference, and readers may read 11:00 a.m., and 1:30 p.m. to 3:00 p.m., a request, we may not be able to make available the requested auxiliary aid or applications at their homes or offices. San Diego County Office of Education, Each field reader who is selected will 6401 Linda Vista Road, Room 306 (8:30 service because of insufficient time to arrange it. receive an honorarium and, if travel is a.m. session) and Annex C (1:30 p.m. involved, compensation for certain session), San Diego, California. Electronic Access to This Document travel expenses, as well as postage and 4. December 10, 1999, 10:00 a.m. to necessary telephone calls. 1:00 p.m., U.S. Department of You may view this document, as well Field Reader Qualifications: The Education, 400 Maryland Avenue, SW, as all other Department of Education Department is seeking experienced and Barnard Auditorium, Washington, DC. documents published in the Federal knowledgeable professionals who are FOR FURTHER INFORMATION AND Register, in text or Adobe Portable current with issues regarding effective REGISTRATION FOR THE ONSITE Document Format (PDF) on the Internet practices in providing English literacy WORKSHOPS, CONTACT: Rose Tilghman, at either of the sites: programs linked to civics education. EL/Civics Education Demonstration http://ocfo.ed.gov/fedreg.html Applicants should have expertise in Grants Program, Division of Adult administration of adult education and http://www.ed.gov/news/htm Education and Literacy, Office of family literacy programs; curriculum Vocational and Adult Education, U.S. To use the PDF you must have the development and assessment in English Department of Education, Washington, Adobe Acrobat Reader Program with as a Second Language (ESL) programs; DC 20202–7240. Inquiries and Search, which is available free at either teaching ESL or civics education; registrations also may be sent by e-mail of the previous sites. If you have coordination of local programs at to [email protected] or by Fax to questions about using the PDF, call the various levels; collecting and analyzing (202) 205–8973. Individuals who use a U.S. Government Printing Office at (202) data; or educational technology telecommunication device for the deaf 512–1530 or, toll free, at 1–888–293– applications in adult education, (TDD) may call the Federal Information 6498. including ESL programs. Prospective Relay Service (FIRS) at 1–800–877– Note: The official version of this document field readers may include adult 8339. is the document published in the Federal education administrators and teachers; 5. December 15, 1999, 1:00 p.m. to Register. Free Internet access to the official teachers of English as a Second 2:00 p.m. (Washington, DC time), edition of the Federal Register and the Code Language, English literacy, or civics Satellite Telecast and Webcast. of Federal Regulations is available on GPO education; individuals with experience Coordinates for the telecast are C–Band: Access at: http://www.access.gpo.gov/nara/ in educational technology applications GE–1, Transponder C–1, Downlink index/html. in adult education and ESL programs; Frequency 3720 MHz, Horizontal, Orbit Program Authority: 20 U.S.C. 9253. individuals from State agencies,

VerDate 29-OCT-99 23:39 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00002 Fmt 4701 Sfmt 4703 E:\FR\FM\09DEN2.XXX pfrm08 PsN: 09DEN2 Federal Register / Vol. 64, No. 236 / Thursday, December 9, 1999 / Notices 69151 elementary and secondary education, FOR FURTHER INFORMATION CONTACT: Document Format (PDF) on the Internet institutions of higher education, and English Literacy/Civics Education at either of the following sites: community-based organizations and Program, Division of Adult Education http://ocfo.ed.gov/fedreg.htm agencies; and individuals with and Literacy, Office of Vocational and http://www.ed.gov/news.html experience in coordinating community Adult Education, U.S. Department of Education, Washington, DC 20202– To use the PDF you must have the services to support adult learners in Adobe Acrobat Reader Program with English literacy and ESL programs. In 7240. Inquiries and resumes may be sent by e-mail to [email protected] or Search, which is available free at either particular, each field reader must have l of the previous sites. If you have the necessary expertise to accurately karen [email protected] or by Fax to: (202) 205–8973. Individuals who use a questions about using the PDF, call the evaluate applicants with regard to telecommunication device for the deaf U.S. Government Printing Office at (202) project goals, objectives, and outcomes; (TDD) may call the Federal Information 512–1530 or, toll free, at 1–888–293– project implementation; and project Relay Service (FIRS) at 1–800–877–8339 6498. evaluation and performance measures. between 8 a.m. and 8 p.m., Eastern time, Note: The official version of this document Application Process: If you are Monday through Friday. is the document published in the Federal interested in serving as a field reader, Individuals with disabilities may Register. Free Internet access to the official mail, fax, or e-mail your resume to the obtain this document in an alternative edition of the Federal Register and the Code of Federal Regulations is available on GPO appropriate address or telephone format (e.g., Braille, large print, audiotape, or computer diskette) on Access at: http://www.access.gpo.gov/nara/ number listed below and indicate that index.html. you are interested in serving as a field request to the contact person listed in Program Authority: 20 U.S.C. 9253. the preceding paragraph. reader for the EL/Civics education Dated: December 6, 1999. program. Resumes should not exceed Electronic Access to This Document Patricia W. McNeil, two pages and should include an e-mail You may view this document, as well Assistant Secretary for Vocational and Adult address if available. Interested as all other Department of Education Education. individuals are strongly encouraged to documents published in the Federal [FR Doc. 99–31949 Filed 12–8–99; 8:45 am] apply by January 7, 2000. Register, in text or Adobe Portable BILLING CODE 4000±01±M

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DEPARTMENT OF EDUCATION increase potential benefits while provides assistance to establish preserving the effective and efficient innovative projects for the delivery, National Institute on Disability and administration of the program. During demonstration, and evaluation of Rehabilitation Research and after the comment period, you may comprehensive medical, vocational, and other rehabilitation services to meet the AGENCY: Office of Special Education and inspect all public comments about this wide range of needs of individuals with Rehabilitative Services, Department of priority in Room 3424, Switzer spinal cord injuries. Education. Building, 330 C Street SW., Washington, DC, between the hours of 9:00 a.m. and ACTION: Notice of proposed funding Description of Special Projects and 4:30 p.m., Eastern time, Monday priority for fiscal years 2000–2001 for Demonstrations for Spinal Cord through Friday of each week except Model Spinal Cord Injury Centers. Injuries Federal holidays. This program provides assistance for SUMMARY: The Assistant Secretary for Assistance to Individuals With the Office of Special Education and projects that provide comprehensive Disabilities in Reviewing the rehabilitation services to individuals Rehabilitative Services proposes a Rulemaking Record with spinal cord injuries and conduct funding priority for Model Spinal Cord spinal cord research, including clinical Injury Centers under the National On request, we will supply an research and the analysis of Institute on Disability and appropriate aid, such as a reader or standardized data in collaboration with Rehabilitation Research (NIDRR) for print magnifier, to an individual with a disability who needs assistance to other related projects. fiscal years 2000–2001. The Assistant Each Spinal Cord Injury Center Secretary takes this action to focus review the comments or other documents in the public rulemaking funded under this program establishes a research attention on areas of national multidisciplinary system of providing need. We intend this priority to improve record for this proposed priority. If you want to schedule an appointment for rehabilitation services, specifically the rehabilitation services and outcomes designed to meet the special needs of for individuals with disabilities. This this type of aid, you may call (202) 205– 8113 or (202) 260–9895. If you use a individuals with spinal cord injuries. notice contains a proposed priority This includes acute care as well as under the Special Projects and TDD, you may call the Federal Information Relay Service at 1–800– periodic inpatient or outpatient follow Demonstrations for Spinal Cord Injuries up and vocational services. Centers Program. 877–8339. This proposed priority supports the demonstrate and evaluate the benefits DATES: Comments must be received on National Education Goal that calls for and cost effectiveness of such a system or before January 10, 2000. every adult American to possess the for the care of individuals with spinal ADDRESSES: All comments concerning skills necessary to compete in a global cord injury and demonstrate and this proposed priority should be economy. evaluate existing, new, and improved addressed to Donna Nangle, U.S. The authority for the Secretary to methods and equipment essential to the Department of Education, 400 Maryland establish research priorities by reserving care, management, and rehabilitation of Avenue, SW, room 3418, Switzer funds to support particular research individuals with spinal cord injuries. Building, Washington, DC 20202–2645. activities is contained in sections 202(g) Grantees demonstrate and evaluate Comments may also be sent through the methods of community outreach and l and 204 of the Rehabilitation Act of Internet: donna [email protected] 1973, as amended (29 U.S.C. 762(g) and education for individuals with spinal You must include the term ‘‘Special 764). Regulations governing this cord injuries in connection with the Projects and Demonstrations for Spinal program are found in 34 CFR parts 350 problems of such individuals in areas Cord Injuries’’ in the subject line of your and 359. such as housing, transportation, electronic message. We will announce the final priority in recreation, employment, and FOR FURTHER INFORMATION CONTACT: a notice in the Federal Register. We will community activities. Donna Nangle. Telephone: (202) 205– determine the final priority after Projects funded under this program 5880. Individuals who use a considering responses to this notice and ensure widespread dissemination of telecommunications device for the deaf other information available to the research findings to all Spinal Cord (TDD) may call the TDD number at (202) Department. This notice does not Injury Centers, and to rehabilitation 205–2742. Internet: preclude us from proposing or funding practitioners, individuals with spinal l donna [email protected] additional priorities, subject to meeting cord injury, and the parents, family Individuals with disabilities may applicable rulemaking requirements. members, guardians, advocates, or obtain this document in an alternate authorized representatives of such format (e.g., Braille, large print, Note: This notice does not solicit individuals. They engage in initiatives audiotape, or computer diskette) on applications. In any year in which the and new approaches and maintain close Assistant Secretary chooses to use this request to the contact person listed in proposed priority, we invite applications working relationships with other the preceding paragraph. through a notice published in the Federal governmental and voluntary institutions SUPPLEMENTARY INFORMATION: Register. When inviting applications we and organizations to unify and designate each priority as absolute, coordinate scientific efforts, encourage Invitation to comment: competitive preference, or invitational. joint planning, and promote the We invite you to submit comments interchange of data and reports among Special Projects and Demonstrations for regarding this proposed priority. spinal cord injury researchers. We invite you to assist us in Spinal Cord Injury NIDRR requires all Centers to involve complying with the specific The authority for Model Spinal Cord individuals with disabilities and requirements of Executive Order 12866 Injury Centers is contained in section individuals from minority backgrounds and its overall requirement of reducing 204(b)(4) of the Rehabilitation Act of as recipients of research training, as regulatory burden that might result from 1973, as amended (29 U.S.C. 764(b)(4)). well as clinical Service and training. this proposed priority. Please let us The Secretary may make awards for up The Department is particularly know of any further opportunities we to 60 months through grants or interested in ensuring that the should take to reduce potential costs or cooperative agreements. This program expenditure of public funds is justified

VerDate 29-OCT-99 15:39 Dec 08, 1999 Jkt 190000 PO 00000 Frm 00002 Fmt 4701 Sfmt 4703 E:\FR\FM\09DEN3.XXX pfrm02 PsN: 09DEN3 Federal Register / Vol. 64, No. 236, Thursday, December 9, 1999 / Notices 69155 by the execution of intended activities and include ‘‘. . . emergency medical personal violence have an employment and the advancement of knowledge and, services, acute care, vocational and rate approximately half of the average thus, has built this accountability into other rehabilitation services, community for all individuals with SCI (NSCISC, op the selection criteria. Not later than and job placement, and long-term cit). three years after the establishment of community follow up and health NIDRR shares the concerns of the any Center, NIDRR will conduct one or maintenance’’ (34 CFR 359.11). In rehabilitation community about the more reviews of the activities and addition to demonstrating and impact of changes in health care achievements of the Center. In evaluating the benefits of such a system delivery and financing upon the accordance with the provisions of 34 the centers are required to contribute continuum of care for SCI. People with CFR 75.253(a), continued funding data on their patients to the National SCI often have more difficulty in depends at all times on satisfactory Spinal Cord Injury Database (NSCID), obtaining adequate primary health care performance and accomplishment. and engage in research both within the than non-disabled individuals. The center, and in collaboration with other unique needs of women with SCI in Proposed Priority for Model Spinal centers. cardiac rehabilitation, reproductive Cord Injury Centers During the past 30 years, there have health, and early cancer screening are Estimates of the number of people been substantial improvements in special issues that need to be addressed. living with traumatic spinal cord injury outcomes following SCI (Stover, S.L, et There are also new and developing (SCI) range from 183,000 to 230,000, al., Spinal Cord Injury: Clinical opportunities for improving SCI care. with an incidence of approximately Outcomes From the Model Systems, and Medical and pharmacological therapies 10,000 new cases each year (‘‘Spinal Special Issue, Spinal Cord Injury: show promise for preserving and Cord Injury Facts and Figures at a Current Research Outcomes from the enhancing function. There is a need to Glance,’’ National Spinal Cord Injury Model Spinal Cord Injury Care Systems, identify and evaluate therapeutic Statistical Center (NSCISC), University Archives of Physical Medicine and interventions, including prevention and of Alabama at Birmingham). Although Rehabilitation, Vol. 80, No. 11, wellness programs, and complementary SCI predominately affects young adults November, 1999). Enhanced emergency and alternative therapies using (56% of SCIs occur among people aged medical services have led to increased evidence-based evaluation protocols. 16–30 years), there is an increasing preservation of neurologic function. Advancing technology has the proportion of new SCI cases in the Mortality during the first year following potential to enhance access and population over 60 years of age injury has continuously declined. Life function for individuals with SCI. There (NSCISC, ibid.). The true significance of expectancy, while still below that for is a need to develop and evaluate traumatic SCI lies not primarily in the those without SCI, has significantly service delivery models incorporating numbers affected, but in the substantial increased for all levels of injury. The telerehabilitation strategies and impact on individuals’ lives and the ideal of a comprehensive multi- technologies to provide services for associated substantial health care costs disciplinary system of care for SCI has people with SCI. Assistive technologies and living expenses. A traumatic SCI gained widespread acceptance. may reduce the likelihood of secondary has far-reaching repercussions on the However, significant challenges and complications in SCI. For example, lives of the injured persons and their opportunities remain for SCI improved wheelchair and seating families that can be devastating if not rehabilitation. Recent statistics from the systems may reduce musculoskeletal addressed effectively. According to a National Spinal Cord Injury Statistical trauma associated with long term report from the Agency for Health Care Center (NSCISC) suggest that as the wheelchair use. Technological Policy and Research (Hospital Inpatient length of stay in rehabilitation settings advancement has the promise of Statistics, 1996, AHCPR Publication No. has progressively decreased (1993– providing greater accessibility to 99–0034), spinal cord injury is the most 1998), there has been an increase in re- information, telecommunications, and expensive condition or diagnosis treated hospitalization during the first year after employment. The adoption of universal in U.S. hospitals. The estimated lifetime injury. In addition, mortality after the design methodologies will enhance costs for an individual injured at the age first anniversary of injury declined access to the built environment as well of 25 range from $365,000 for an continuously from 1973–1992, but now as rapidly developing electronic and incomplete injury to more than $1.7 has increased for the period 1993–1998. information technologies. million for an individual with a high Secondary medical complications, The development of strong cervical injury (NSCISC, op cit). including, but not limited to, respiratory collaborations by SCI centers with The Model SCI program was complications, pressure ulcers and community and social support developed in 1970 to demonstrate the autonomic dysreflexia, continue to be organizations has the potential to value of a comprehensive integrated significant problems. Injuries due to impact positively the independence and continuum of care for SCI. Twenty-six interpersonal violence have increased as community integration for individuals sites have been designated, at various a proportion of the total SCI incidence with SCI. Peer support beginning early times, as Model SCI Centers through and are more likely to be neurologically in the rehabilitation process may funding initially from the Rehabilitation complete injuries. enhance return to participation in the Services Administration, and There is a need to identify, evaluate, community. The causes of subsequently from the National Institute and eliminate barriers in the natural, unemployment in SCI include lack of on Handicapped Research, and its built, cultural, and social environments education and skills, lack of prior work successor, the National Institute on to enable people with SCI to achieve the experience, and policy disincentives. Disability and Rehabilitation Research goal of fully reintegrating into their Pending changes in legislation and (NIDRR). For the period 1995–2000 community. Particular focus is required policy to permit retention of some there are 18 funded Model SCI Centers. to address the needs of minority and medical insurance during employment, (Additional information is available on underserved populations. Although together with the high demand for the World Wide Web at http:// employment for the U.S. population is skilled individuals in the workforce, www.ncddr.org/mscis/). The clinical at historically high levels, employment represents an opportunity to foster components of the Model Centers are for the SCI population remains low. education and employment of specified in the program regulations, Individuals with SCI due to inter- individuals with SCI.

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NIDRR has published a Long-Range focused, considered proposals, a higher of legislative and policy changes on Plan (the Plan) that is based upon a new level of scientific review, and the employment outcomes; or (2) Test direct paradigm for rehabilitation that development of significant research intervention strategies for improving identifies disability in terms of the projects in the Model SCI Centers. The employment outcomes. relationship between the individual and competition for collaborative research • (Chapter 4, Maintaining Health and the natural, built, cultural, and social projects will be conducted subsequent Function): Either (1) Study environments (63 FR 57189–57219). The to the identification of the Model SCI interventions to improve outcomes in Plan focuses on both individual and Centers, and funds will be reserved for the preservation or restoration of systemic factors that have an impact on that purpose. function or the prevention and the ability of people to function. The During the Program Reviews, there treatment of secondary conditions; or (2) elements of the Plan include was considerable discussion of the Design and test service delivery models employment outcomes, health and National SCI Database (NSCID). It is that provide quality care under function, technology for access and clear that the database is a valuable constraints imposed by recent changes function, and independent living and resource and that participation in the in the health care financing system. community integration. As part of the NSCID is an essential element for the • (Chapter 5, Technology for Access Plan to attain the goals in these areas, Model SCI Centers. For the purpose of and Function): Either (1) Evaluate the NIDRR is committed to capacity the present competition, the data impact of selected innovations in building for research and training, and collection activities will be maintained technology and rehabilitation to ensure knowledge dissemination and without change. NIDRR expects that engineering on service delivery; or (2) utilization. Each area of the Plan applicants will include historical Evaluate the impact of selected includes objectives at both the documentation of numbers of patients innovations in technology and individual and system levels. For as well as expected new patients and rehabilitation engineering on outcomes example, the health and function expected annual follow-up submissions such as function, independence, and objectives include research to improve based on current eligibility criteria for employment. medical rehabilitation interventions, as the NSCID. However, it is anticipated • (Chapter 6, Independent Living and well as research to ensure access to an that, through discussion among the Community Integration): Assess the integrated continuum of quality health newly identified Model SCI Centers, value of peer support and early onset of care services that address the unique NIDRR staff, and external reviewers, services from community and social needs of persons with disabilities. It is details of data collection may be support organizations to improve clear that the challenges and modified following the award. This outcomes such as independence and opportunities for SCI care reflect all of process should not result in increased community integration, employment the priority areas of the Plan. data collection workloads above current function, and health maintenance. NIDRR has recently completed levels. (4) Provide for the widespread Program Reviews of all current Model dissemination of research and SCI Centers. Based upon presentations Proposed Priority demonstration findings to other SCI by the Centers, and discussion with the The Assistant Secretary proposes to centers, rehabilitation practitioners, external reviewers, NIDRR has establish Model Spinal Cord Injury researchers, individuals with SCI and concluded that the value of a Centers for the purpose of generating their families and representatives, and comprehensive integrated system of care new knowledge through research, other public and private organizations for SCI has been demonstrated. Because development, or demonstration to involved in SCI care and rehabilitation. this conclusion is widely accepted, improve outcomes for SCI through In carrying out these purposes, the SCI NIDRR is shifting the focus of the improved interventions and service center must: program from demonstration, to place a delivery models. A Model Spinal Cord • Incorporate culturally appropriate greater emphasis upon research. Injury Center must: methods of community outreach and Participants in the Program Reviews (1) Establish a multidisciplinary education in areas such as health and observed that the comprehensive system of providing rehabilitation wellness, housing, transportation, continuum of quality care should services specifically designed to meet recreation, employment, and other continue to be a requirement for the special needs of individuals with community activities for individuals participation in the Model SCI Centers spinal cord injury (SCI), including with diverse backgrounds with spinal Program. There is significant diversity emergency medical services, acute care, cord injury; among the Centers, however, in research vocational and other rehabilitation • Demonstrate the research and interests and capacities. This diversity services, community and job placement, clinical capacity to participate in extends across the priority areas of the and long-term community follow up collaborative projects, clinical trials, or Plan, and represents the strength of the and health maintenance; technology transfer with other model program. (2) Participate as directed by the SCI centers, other NIDRR grantees, and Reviewers noted that uniformly Assistant Secretary in national studies similar programs of other public and comprehensive, high quality care, of SCI by contributing to a national private agencies and institutions; and together with a common data collection database and by other means as required • Demonstrate the likelihood of system and administrative infrastructure by the Assistant Secretary; and having a sufficient number of makes the Model SCI Centers Program a (3) Conduct a significant and individuals with SCI, including newly valuable platform for various substantial research program in SCI that injured persons, to conduct statistically collaborative studies, including multi- will contribute to the advancement of significant research. center trials of therapies and knowledge in one of the goal areas of technologies. To further the the NIDRR Long Range Plan. Applicants Proposed Selection Criteria enhancement of the research mission, may select one of the following research The new emphasis on research and participants recommended a separate objectives related to specific areas of the NIDRR’s Long-Range Plan, plus the competition for the collaborative Plan: importance of the NSCID, require some research portion of the program. A • (Chapter 3, Employment modifications to the selection criteria separate competition will facilitate Outcomes): Either (1) Assess the impact for this program. The Secretary proposes

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The (iii) Individuals with disabilities; and findings; Secretary reviews each application to (iv) The elderly. determine to what degree— (d) Quality of key personnel (10 (2) The research results are likely to (1) There is a clear description of how points). The Secretary reviews each become available to others working in the objectives of the project relate to the application to determine to what the field; purpose of the program and the NIDRR degree— (3) The means to disseminate and Long Range Plan; (1) The principal investigator and promote utilization by others are (2) The research is likely to produce other key staff have adequate training or defined; and new and useful information; experience, or both, in spinal cord (4) The utilization approach is likely (3) The need and target population are injury care and rehabilitation and to address the defined need. adequately defined and are sufficient for demonstrate appropriate potential to (h) Evaluation plan (10 points). The meaningful research and demonstration; conduct the proposed research, Secretary reviews each application to (4) The outcomes are likely to benefit demonstration, training, development, determine to what degree— the defined target population; or dissemination activity; (1) There is a mechanism to evaluate (5) The research hypotheses are (2) The principal investigator and plans, progress, and results; sound; and other key staff are familiar with (6) The research methodology is pertinent literature or methods, or both; (2) The evaluation methods and sound in the sample design and (3) All the disciplines necessary to objectives are likely to produce data that selection, the data collection plan, the establish the multidisciplinary system are quantifiable; and measurement instruments, and the data described in § 359.11(a) are effectively (3) The evaluation results, where analysis plan. represented; relevant, are likely to be assessed in a (b) Service comprehensiveness (20 (4) Commitments of staff time are service setting. points). The Secretary reviews each adequate for the project; and Within this absolute priority, we will application to determine to what (5) The applicant is likely, as part of give the following competitive degree— its non-discriminatory employment preference under 34 CFR 75.105(c)(2)(i), (1) The services to be provided within practices, to encourage applications for to applications that are otherwise the project are comprehensive in scope, employment from persons who are eligible for funding under this priority: and include emergency medical members of groups that traditionally Up to ten (10) points based on the services, intensive and acute medical have been underrepresented, such as— extent to which an application includes care, rehabilitation management, (i) Members of racial or ethnic effective strategies for employing and psychosocial and community minority groups; advancing in employment qualified reintegration, and follow up; (ii) Women; individuals with disabilities in projects (2) A broad range of vocational and (iii) Individuals with disabilities; and awarded under this absolute priority. In other rehabilitation services will be (iv) The elderly. determining the effectiveness of such available to severely handicapped (e) Adequacy of resources (5 points). strategies, the Secretary will consider individuals within the project; and The Secretary reviews each application the applicant’s success, as described in (3) Services will be coordinated with to determine to what degree— the application, in employing and those services provided by other (1) The facilities planned for use are advancing in employment qualified appropriate community resources. adequate; individuals with disabilities in the (c) Plan of operation (10 points). The (2) The equipment and supplies project. Secretary reviews each application to planned for use are adequate; and determine to what degree— (3) The commitment of the applicant For purposes of this competitive (1) There is an effective plan of to provide administrative and other preference, applicants can be awarded operation that ensures proper and necessary support is evident. up to a total of 10 points in addition to efficient administration of the project; (f) Budget/cost effectiveness (5 those awarded under the published (2) The applicant’s planned use of its points). The Secretary reviews each selection criteria for this priority. That resources and personnel is likely to application to determine to what is, an applicant meeting this achieve each objective; degree— competitive preference could earn a (3) Collaboration between institutions, (1) The budget for the project is maximum total of 110 points. if proposed, is likely to be effective; adequate to support the activities; Applicable Program Regulations: 34 (4) Participation in the National (2) The costs are reasonable in CFR part 359. Spinal Cord Injury Database is clearly relation to the objectives of the project; Program Authority: 29 U.S.C. and adequately described; and and 762(b)(4).

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Electronic Access to This Document Search, which is available free at either Access at: http://www.access.gpo.gov/nara/ You may view this document, as well of the preceding sites. If you have index.html as all other Department of Education questions about using the PDF, call the (Catalog of Federal Domestic Assistance documents published in the Federal U.S. Government Printing Office (GPO), Numbers 84.133N, Special Projects and Register, in text or Adobe Portable toll free, at 1–888–293–6498; or in the Demonstrations for Spinal Cord Injuries) Document Format (PDF) on the Internet Washington, DC, area at (202) 512–1530. Dated: December 6, 1999. at either of the following sites: Note: The official version of document is Judith E. Heumann, http://ocfo.ed.gov/fedreg.htm the document published in the Federal Assistant Secretary for Special Education and http://www.ed.gov/news.html Register. Free Internet access to the official Rehabilitative Services. To use the PDF you must have the edition of the Federal Register and the Code [FR Doc. 99–31952 Filed 12–8–99; 8:45 am] Adobe Acrobat Reader Program with of Federal Regulations is available on GPO BILLING CODE 4000±01±U

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Federal Register Presidential Documents Vol. 64, No. 236

Thursday, December 9, 1999

Title 3— Proclamation 7258 of December 6, 1999

The President Human Rights Day, Bill of Rights Day, and Human Rights Week, 1999

By the President of the United States of America

A Proclamation President Carter once said, ‘‘America did not invent human rights. In a very real sense, it’s the other way around. Human rights invented America.’’ Human rights have been an integral part of America’s history since the birth of our Nation more than two centuries ago. Refusing to accept tyranny and oppression, our founders secured a better way of life with our Constitu- tion and Bill of Rights. These revolutionary documents have continued to protect our cherished freedoms of religion, speech, press, and assembly and to preserve the principles of equality, liberty, and justice that lie at the heart of our national identity. As Americans, we have always strived to advance these rights and values both at home and abroad, and just as our founders sought a brighter future for our Nation, we envision a better future for our world. One of our most powerful tools in realizing that vision has been the Universal Declara- tion of Human Rights, which the United Nations General Assembly approved in December of 1948. It is not surprising that this document, which owed so much to the courage, imagination, and leadership of Eleanor Roosevelt, reaffirms in tone, thought, and language our own great charters of freedom. To honor Mrs. Roosevelt’s legacy, and to acknowledge those who follow her example of commitment to human rights around the world, last year we established the Eleanor Roosevelt Award for Human Rights. In the 51 years since the adoption of the Universal Declaration, the United Nations has developed numerous legal instruments that specify the rights and obligations contained in the document, and the international community has made encouraging progress toward improving human rights for people of all nations. Today, more individuals than ever before are living in rep- resentative democracies where they can exercise their right to freely choose their own government. The international community responded vigorously to halt ethnic cleansing in Kosovo and is helping the people of East Timor not only to achieve legal recognition of their independence but also to develop the institutions they need to thrive as an independent and secure state. But despite this heartening progress, there are still many regions of the world where human rights are daily denied and aspirations to freedom routinely crushed. Our work is still far from complete. Rising to these challenges, we in the United States have strengthened our commitment to improving international human rights. To enable the world community to react more quickly to genocidal conditions, we have estab- lished a genocide early warning system. We continue to fund nongovern- mental organizations that respond rapidly to human rights emergencies. And we have created an interagency working group to help implement the human rights treaties we have already ratified and to make recommenda- tions on treaties we have yet to ratify. We also continue to be a world leader in the fight to eliminate exploitative and abusive child labor. Last week, I signed the instrument of ratification of the International Labor Organization’s Convention on the Elimination of the Worst Forms of Child Labor, declaring on behalf of the American

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people that we simply will not tolerate child slavery, the sale or trafficking of children, child prostitution or pornography, forced or compulsory child labor, and hazardous work that harms the health, safety, and morals of children. Through these and other initiatives, America continues to reaffirm both at home and across the globe our fundamental belief in human dignity and our unchanging reverence for human rights. NOW, THEREFORE, I, WILLIAM J. CLINTON, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim December 10, 1999, as Human Rights Day; December 15, 1999, as Bill of Rights Day; and the week beginning December 10, 1999, as Human Rights Week. I call upon the people of the United States to celebrate these observances with appro- priate activities, ceremonies, and programs that demonstrate our national commitment to the Bill of Rights, the Universal Declaration of Human Rights, and promotion and protection of human rights for all people. IN WITNESS WHEREOF, I have hereunto set my hand this sixth day of December, in the year of our Lord nineteen hundred and ninety-nine, and of the Independence of the United States of America the two hundred and twenty-fourth. œ–

[FR Doc. 99–32133 Filed 12–8–99; 8:45 am] Billing code 3195–01–P

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Proclamation 7259 of December 7, 1999 National Pearl Harbor Remembrance Day, 1999

By the President of the United States of America

A Proclamation Early on Sunday morning, December 7, 1941, the 130 vessels of the U.S. Pacific Fleet lay quiet and serene in Pearl Harbor. American sailors were preparing to raise colors, unaware that the worst naval disaster in American history was about to unfold. As the first wave of Japanese planes dropped torpedo bombs on the fleet, all eight battleships along with three destroyers and three light cruisers were hit. Two hours after the first Japanese bomber hit its target, 21 ships of the U.S. Pacific Fleet lay sunk or badly damaged. U.S. aircraft losses included 188 planes destroyed and another 159 damaged. Before the bombing was over, some 3,500 Americans had been killed or injured. The sinking of the battleship USS ARIZONA remains the most recognized symbol of that tragic day. Of the ARIZONA’s crew, 1,177 were killed, nearly half of all the deaths suffered at Pearl Harbor. Time has not dimmed our memory of the ferocity of that attack 58 years ago or the pain of the losses we suffered. The assault brought shock and grief not only to the families and loved ones of those who were injured or lost their lives, but also to our entire country. The attack on Pearl Harbor shook our Nation but strengthened our resolve. Two days later, in a Fireside Chat, President Roosevelt affirmed that resolve in explaining America’s sudden thrust into World War II: ‘‘We don’t like it—we didn’t want to get in it—but we are in it and we’re going to fight it with everything we’ve got. We are going to win the war and we are going to win the peace that follows.’’ Just as the American forces at Pearl Harbor responded to the attack with great courage, the United States re- sponded with determination that this assault would not keep us from victory over the Axis powers. Union leaders agreed not to strike for the duration of the war as President Roosevelt garnered the support of our working men and women to increase war production and build our ‘‘Arsenal of Democracy.’’ Millions of American patriots joined the Armed Forces, willing to serve and sacrifice in the cause of freedom. Rising from the destruction at Pearl Harbor, all but three of the ships sunk there were repaired and put back into service. Less than 4 years later, the Pacific Fleet sailed victoriously into Tokyo Bay. Today, the Battle- ship Missouri Memorial is docked on Pearl Harbor’s Battleship Row, a fitting tribute to our triumph in World War II. It was Pearl Harbor that cemented the United States resolve to win the war, and it was aboard the ‘‘Mighty Mo’’ that the Japanese signed surrender documents in 1945, and peace in the Pacific was finally realized. Pearl Harbor is both a reminder of what can happen when we are unprepared and a call for continuing vigilance in defense of our Nation. The world has changed greatly since that dark day more than half a century ago, but our need to remain engaged is more crucial than ever. We must never forget the lessons of Pearl Harbor or the courage, determination, and indomi- table spirit of that generation of Americans who recovered from a devastating defeat to win the ultimate victory for freedom, democracy, and peace. The Congress, by Public Law 103–308, has designated December 7, 1999, as ‘‘National Pearl Harbor Remembrance Day.’’

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NOW, THEREFORE, I, WILLIAM J. CLINTON, President of the United States of America, do hereby proclaim December 7, 1999, as National Pearl Harbor Remembrance Day. I urge all Americans to observe this day with appropriate programs, ceremonies, and activities in honor of the Americans who served at Pearl Harbor. I also ask all Federal departments and agencies, organizations, and individuals to fly the flag of the United States at half-staff on this day in honor of those Americans who died as a result of the attack on Pearl Harbor. IN WITNESS WHEREOF, I have hereunto set my hand this seventh day of December, in the year of our Lord nineteen hundred and ninety-nine, and of the Independence of the United States of America the two hundred and twenty-fourth. œ–

[FR Doc. 99–32134 Filed 12–8–99; 8:45 am] Billing code 3195–01–P

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Reader Aids Federal Register Vol. 64, No. 236 Thursday, December 9, 1999

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING DECEMBER

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523±5227 3 CFR 11 CFR Proposed Rules: Presidential Documents Proclamations: 7256...... 67691 100...... 68951 Executive orders and proclamations 523±5227 7257...... 68269 13 CFR The United States Government Manual 523±5227 7258...... 69161 7259...... 69163 Proposed Rules: Other Services Executive Orders: 120...... 67205 Electronic and on-line services (voice) 523±4534 June 24, 1914 14 CFR Privacy Act Compilation 523±3187 (Revoked in part by Public Laws Update Service (numbers, dates, etc.) 523±6641 PLO 7416)...... 67295 25 ...... 67147, 67701, 67705 TTY for the deaf-and-hard-of-hearing 523±5229 April 28, 1917 39 ...... 67471, 67706, 67708, (Revoked in part by 67710, 68277, 68618, 68620, PLO 7416)...... 67295 68623, 68625, 68628 ELECTRONIC RESEARCH February 11, 1918 65...... 68916 71 ...... 67712, 67713, 67714, World Wide Web (Revoked in part by PLO 7416)...... 67295 67715, 67716, 68007, 68008, Full text of the daily Federal Register, CFR and other July 10, 1919 68009, 68010, 68931, 68932 publications: (Revoked in part by 97...... 67473, 67476 http://www.access.gpo.gov/nara PLO 7416)...... 67295 Proposed Rules: May 25, 1921 25...... 67804 Federal Register information and research tools, including Public (Revoked in part by 39 ...... 67206, 67806, 67807, Inspection List, indexes, and links to GPO Access: PLO 7416)...... 67295 68056, 68058, 68060, 68062, http://www.nara.gov/fedreg April 17, 1926 68296, 68297, 68300, 68302, 68639, 68640, 68642, 68644, E-mail (Revoked in part by PLO 7416)...... 67295 68646, 68956, 68959, 68960, PENS (Public Law Electronic Notification Service) is an E-mail February 7, 1930 68963 service for notification of recently enacted Public Laws. To (Revoked in part by 71...... 67525, 67810 subscribe, send E-mail to PLO 7416)...... 67295 15 CFR [email protected] 13143...... 68273 303...... 67148 with the text message: Administrative Orders: Memorandums: 806...... 67716 subscribe PUBLAWS-L your name November 29, 1999...... 68275 902...... 68228, 68932 Use [email protected] only to subscribe or unsubscribe to 2015...... 67152 5 CFR PENS. We cannot respond to specific inquiries. 17 CFR 534...... 68931 Reference questions. Send questions and comments about the 3...... 68011 Federal Register system to: 1630...... 67693 6801...... 68615 32...... 68011 [email protected] 211...... 67154, 68936 7 CFR The Federal Register staff cannot interpret specific documents or 270...... 68019 regulations. 29...... 67469 Proposed Rules: 246...... 67997 4...... 68304 319...... 68001 Ch. II ...... 69074 FEDERAL REGISTER PAGES AND DATE, DECEMBER 1407...... 67470 19 CFR 67147±67468...... 1 Proposed Rules: 12...... 67479 67469±67692...... 2 1032...... 67201 132...... 67481 67693±67996...... 3 8 CFR 163...... 67481 67997±68274...... 6 235...... 68616 68275±68614...... 7 20 CFR Proposed Rules: 68615±68930...... 8 100...... 68638 404...... 67719 68931±69164...... 9 Proposed Rules: 9 CFR 222...... 68647 78...... 67695 325...... 67811 94...... 67695 330...... 67811 130...... 67697, 67699 335...... 67811 336...... 67811 10 CFR 604...... 67811, 67972 51...... 68005 72...... 67700 21 CFR 850...... 68854 176...... 68629 Proposed Rules: 178...... 67483 26...... 67202 203...... 67720

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205...... 67720 144...... 68416 372...... 68311 170...... 67170 520...... 68289 145...... 68416 174...... 67170 41 CFR Proposed Rules: 146...... 68416 175...... 67170 314...... 67207 147...... 68416 Ch. 301 ...... 67670 182...... 67170 601...... 67207 300-3...... 67670 190...... 67170 1309...... 67216 34 CFR 301-10...... 67670 193...... 67170 195...... 67170 304...... 69138 42 CFR 24 CFR 199...... 67170 985...... 67982 36 CFR Proposed Rules: 1220...... 67662 433...... 67223 47 CFR 26 CFR 1222...... 67662 438...... 67223 Ch. 1 ...... 68053 1...... 67763 1228 ...... 67662, 67634, 68945 45 CFR 1...... 68946 20...... 67763, 67767 36...... 67372, 25...... 67767 37 CFR 1641...... 67501 67416 301...... 67767 1...... 67486, 67774 Proposed Rules: 51...... 68637 602...... 67767 2...... 67486, 67774 270...... 68202 54...... 67372, 253...... 67187 2522...... 67235 67416 28 CFR 2525...... 67235 69...... 67372 0...... 68307 38 CFR 76...... 67193, 46 CFR 67198 551...... 68264 Proposed Rules: 28...... 67170 90...... 67199 3...... 67528 29 CFR 30...... 67170 Proposed Rules: 4011...... 67163 39 CFR 32...... 67170 73 ...... 67236, 67535, 68662, 34...... 67170 68663, 68664, 68665 4022...... 67163 3001...... 67487 4044...... 67165 35...... 67170 Proposed Rules: 38...... 67170 48 CFR Proposed Rules: 111...... 68965 39...... 67170 2520...... 67436 Proposed Rules: 54...... 67170 2700...... 68649 1...... 67986 40 CFR 56...... 67170 12...... 67992 9...... 68546, 68722 58...... 67170 30 CFR 13...... 67992 52 ...... 67188, 67491, 67495, 61...... 67170 913...... 68024 67781, 67784, 67787, 68031, 22...... 67986, 63...... 67170 67992 918...... 68289 68034, 68292, 68293 76...... 67170 25...... 67446 Proposed Rules: 63...... 67789, 67793 77...... 67170 30...... 67814 280...... 68649 82...... 68039 78...... 67170 52 ...... 67446, 67986, 67992 122...... 68722 32 CFR 92...... 67170 919...... 68072 123...... 68722 95...... 67170 952...... 68072 287...... 67166 124...... 68722 96...... 67170 Proposed Rules: 141...... 67450 97...... 67170 49 CFR 199...... 67220 143...... 67450 105...... 67170 144...... 68546 108...... 67170 Proposed Rules: 33 CFR 145...... 68546 109...... 67170 40...... 69076 100...... 67168, 67169 146...... 68546 110...... 67170 50 CFR 117 ...... 67169, 67773, 68291 180 ...... 68044, 68046, 68631 111...... 67170 127...... 67170 300...... 68052 114...... 67170 17...... 68508 154...... 67170 Proposed Rules: 119...... 67170 600...... 67511 155...... 67170 50...... 68659 125...... 67170 622...... 68932 159...... 67170 52 ...... 67222, 67534, 67535, 151...... 67170 649...... 68228 164...... 67170 68065, 68066 153...... 67170 679 ...... 68054, 68228, 68949 183...... 67170 70...... 68066 154...... 67170 Proposed Rules: Proposed Rules: 81...... 68659 160...... 67170 17...... 67814 140...... 68416 85...... 68310 161...... 67170 18...... 68973 141...... 68416 86...... 68310 162...... 67170 226...... 67536 142...... 68416 194...... 68661 163...... 67170 648...... 67551 143...... 68416 260...... 68968 164...... 67170 679...... 67555

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REMINDERS Sea turtle conservation; Lead and lead Leasing; comments due by The items in this list were summer flounder trawling compounds; lowering of 12-14-99; published 10- editorially compiled as an aid requirementsÐ reporting thresholds; 15-99 to Federal Register users. Turtle excluder devices; comments due by 12- NUCLEAR REGULATORY Inclusion or exclusion from comments due by 12- 16-99; published 10-29- COMMISSION 99 this list has no legal 14-99; published 10-15- Production and utilization significance. 99 FEDERAL facilities; domestic licensing: COMMUNICATIONS Fishery conservation and Nuclear power plantsÐ management: COMMISSION Emergency core cooling RULES GOING INTO Radio stations; table of Caribbean, Gulf, and South system evaluation EFFECT DECEMBER 9, assignments: Atlantic fisheries and Gulf models; comments due 1999 of Mexico stone crabÐ Illinois and Kentucky; by 12-15-99; published Reef fish, red drum, etc.; comments due by 12-13- 10-1-99 ENVIRONMENTAL comments due by 12- 99; published 11-3-99 PERSONNEL MANAGEMENT PROTECTION AGENCY 17-99; published 11-2- Pennsylvania; comments OFFICE Water pollution control: 99 due by 12-13-99; published 11-3-99 Prevailing rate systems; Water quality standardsÐ DEFENSE DEPARTMENT South Carolina; comments comments due by 12-15-99; Air Force Department Polychlorinated biphenyls due by 12-13-99; published 11-15-99 (PCBs); priority toxic Privacy Act; implementation; published 11-10-99 SMALL BUSINESS pollutants numeric comments due by 12-17-99; GENERAL SERVICES ADMINISTRATION criteria; States' published 10-18-99 ADMINISTRATION Small business size standards: compliance; published ENERGY DEPARTMENT 11-9-99 Federal property management: Help Supply Services; $10 Energy Efficiency and million in average annual FEDERAL HOUSING Personal property; transfer Renewable Energy Office receipts; comments due FINANCE BOARD of excess; comments due Consumer products; energy by 12-16-99; published by 12-14-99; published Unpublished information conservation program: 11-16-99 10-15-99 availability; published 11-9- Dishwashers; test 99 HEALTH AND HUMAN SOCIAL SECURITY procedures; comments SERVICES DEPARTMENT ADMINISTRATION PERSONNEL MANAGEMENT due by 12-13-99; Food and Drug Organization and procedures: OFFICE published 9-28-99 Administration Social security numbers; Civil Service Reform Act: ENVIRONMENTAL Animal drugs, feeds, and assignment for nonwork Authority delegations to PROTECTION AGENCY related products: purposes; comments due agencies to take certain Air pollution control; new Approved and abbreviated by 12-13-99; published actions without prior OPM motor vehicles and engines: new drug applications; 10-12-99 approval; final regulations Heavy duty highway engines supplements and other Social security benefits: Correction; published 12- and vehicles (2004 and changes; comments due Federal old age, survivors, 9-99 later model years); by 12-15-99; published and disability insuranceÐ 10-1-99 emissions control, and Down syndrome in adults; Food additive petitions: COMMENTS DUE NEXT light-duty truck definition; medical criteria for WEEK comments due by 12-16- Adjuvants, production aids, determining disability; 99; published 12-7-99 and sanitizersÐ comments due by 12- N,N-bis (2-hydroxyethyl) AGRICULTURE Air programs; approval and 13-99; published 10-12- alkyl (C13-C15) amine; DEPARTMENT promulgation; State plans 99 for designated facilities and comments due by 12- TRANSPORTATION Agricultural Marketing pollutants: 17-99; published 11-17- Service DEPARTMENT Georgia; comments due by 99 Coast Guard Peanuts, domestically 12-14-99; published 11- INTERIOR DEPARTMENT produced and imported; 13-98 Fish and Wildlife Service Drawbridge operations: comments due by 12-17-99; California; comments due by published 10-18-99 Nebraska; comments due by Endangered and threatened 12-16-99; published 11- species: 12-13-99; published 10- AGRICULTURE 16-99 Bull trout; comments due by 12-99 DEPARTMENT Vermont; comments due by 12-16-99; published 11-1- TRANSPORTATION Animal and Plant Health 12-16-99; published 11- 99 DEPARTMENT Inspection Service 16-99 LABOR DEPARTMENT Federal Aviation Plant-related quarantine, Air quality implementation Workforce Investment Act of Administration domestic: plans; approval and 1998; implementation of Airworthiness directives: Oriental fruit fly; comments promulgation; various nondiscrimination and equal Airbus; comments due by due by 12-14-99; States: opportunity provisions; 12-16-99; published 11- published 10-15-99 Texas; comments due by comments due by 12-13-99; 16-99 COMMERCE DEPARTMENT 12-13-99; published 11- published 11-12-99 Allison Engine Co.; National Oceanic and 12-99 LABOR DEPARTMENT comments due by 12-13- Atmospheric Administration Pesticides; tolerances in food, Occupational Safety and 99; published 10-12-99 Endangered and threatened animal feeds, and raw Health Administration Boeing; comments due by species: agricultural commodities: State plans; development, 12-13-99; published 10- Sea turtle conservation; Rhizobium inoculants; enforcement, etc.: 27-99 shrimp trawling comments due by 12-14- Nevada; comments due by Eurocopter Canada Ltd.; requirementsÐ 99; published 10-15-99 12-16-99; published 11- comments due by 12-17- Turtle excluder devices; Superfund program: 16-99 99; published 10-18-99 comments due by 12- Toxic chemical release NATIONAL CREDIT UNION Eurocopter France; 13-99; published 10-13- reporting; community right- ADMINISTRATION comments due by 12-13- 99 to-knowÐ Credit unions: 99; published 10-14-99

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Fokker; comments due by session of Congress which H.R. 1191/P.L. 106±123 S. 574/P.L. 106±128 12-15-99; published 11- have become Federal laws. It To designate certain facilities To direct the Secretary of the 15-99 may be used in conjunction of the United States Postal Interior to make corrections to with ``P L U S'' (Public Laws Gulfstream; comments due Service in Chicago, Illinois. a map relating to the Coastal Update Service) on 202±523± by 12-13-99; published (Dec. 6, 1999; 113 Stat. 1639) Barrier Resources System. 11-18-99 6641. This list is also H.R. 1251/P.L. 106±124 (Dec. 6, 1999; 113 Stat. 1652) McDonnell Douglas; available online at http:// comments due by 12-13- www.nara.gov/fedreg. To designate the United S. 580/P.L. 106±129 States Postal Service building 99; published 10-27-99 Healthcare Research and REVO, Inc.; comments due The text of laws is not located at 8850 South 700 published in the Federal East, Sandy, Utah, as the Quality Act of 1999 (Dec. 6, by 12-14-99; published 1999; 113 Stat. 1653) 10-6-99 Register but may be ordered ``Noal Cushing Bateman Post in ``slip law'' (individual Saab; comments due by 12- Office Building''. (Dec. 6, Last List December 7, 1999 pamphlet) form from the 15-99; published 11-15-99 1999; 113 Stat. 1641) Superintendent of Documents, H.R. 1327/P.L. 106±125 Class E airspace; comments U.S. Government Printing due by 12-13-99; published Office, Washington, DC 20402 To designate the United Public Laws Electronic 10-29-99 (phone, 202±512±1808). The States Postal Service building Notification Service Class E airspace; correction; text will also be made located at 34480 Highway 101 (PENS) comments due by 12-17-99; available on the Internet from South in Cloverdale, Oregon, published 11-12-99 GPO Access at http:// as the ``Maurine B. Neuberger TREASURY DEPARTMENT United States Post Office''. www.access.gpo.gov/nara/ PENS is a free electronic mail Customs Service (Dec. 6, 1999; 113 Stat. 1642) index.html. Some laws may notification service of newly Merchandise entry: not yet be available. H.R. 3373/P.L. 106±126 enacted public laws. To Anticounterfeiting Consumer To require the Secretary of subscribe, go to www.gsa.gov/ H.R. 459/P.L. 106±121 Protection Act; Customs the Treasury to mint coins in archives/publaws-l.html or entry documentation; To extend the deadline under conjunction with the minting of send E-mail to comments due by 12-13- the Federal Power Act for coins by the Republic of [email protected] with 99; published 11-16-99 FERC Project No. 9401, the Iceland in commemoration of the following text message: TREASURY DEPARTMENT Mt. Hope Waterpower Project. the millennium of the Internal Revenue Service (Dec. 6, 1999; 113 Stat. 1637) discovery of the New World SUBSCRIBE PUBLAWS-L Your Name. Privacy Act; implementation; H.R. 1094/P.L. 106±122 by Leif Ericson. (Dec. 6, 1999; comments due by 12-17-99; 113 Stat. 1643) To amend the Federal Note: This service is strictly published 11-17-99 Reserve Act to broaden the H.J. Res. 85/P.L. 106±127 for E-mail notification of new range of discount window Appointing the day for the laws. The text of laws is not LIST OF PUBLIC LAWS loans which may be used as convening of the second available through this service. collateral for Federal reserve session of the One Hundred PENS cannot respond to This is a continuing list of notes. (Dec. 6, 1999; 113 Sixth Congress. (Dec. 6, specific inquiries sent to this public bills from the current Stat. 1638) 1999; 113 Stat. 1651) address.

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