Pages 53883±54198 Vol. 64 10±5±99 eDt 5SP9 75 c 4 99Jt134 O000Fm001Ft41 ft41 :F\M0OW.X fm3PsN:05OCWS pfrm03 E:\FR\FM\05OCWS.XXX Sfmt4710 Fmt4710 Frm00001 PO00000 Jkt183247 17:57Oct04, 1999 VerDate 25-SEP-99 No. 192 federal register October 5,1999 Tuesday 1 II Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 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 Paper or fiche 523–5243 interest. 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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Contents Federal Register Vol. 64, No. 192
Tuesday, October 5, 1999
Agricultural Marketing Service Monticello Site, UT, 54006 RULES Hydrogen Technical Advisory Panel, 54007 Cherries (sweet) grown in— Washington, 53885 Energy Efficiency and Renewable Energy Office Milk marketing orders: RULES New England et al., 53885–53886 Energy conservation: Commercial and industrial equipment, energy efficiency Agriculture Department program— See Agricultural Marketing Service Electric motors; test procedures, labeling, and See Forest Service certification requirements, 54113–54172 See Rural Utilities Service Environmental Protection Agency Coast Guard RULES PROPOSED RULES Air quality implementation plans; approval and Boating safety: promulgation; various States: Personal flotation devices; Federal requirements for Alaska, 53931 wearing, 53971–53973 PROPOSED RULES Practice and procedure: Air quality implementation plans; approval and Adjudicative procedures consolidation, 53970–53971 promulgation; various States: California, 53973–53976 Commerce Department Solid wastes: See International Trade Administration Municipal solid waste landfill permit programs; adequacy See National Institute of Standards and Technology determinations— See National Oceanic and Atmospheric Administration Rhode Island, 53976–53980 NOTICES NOTICES Agency information collection activities: Agency information collection activities: Submission for OMB review; comment request, 53994 Submission for OMB review; comment request, 54009 Committee for the Implementation of Textile Agreements Air quality implementation plans; approval and promulgation; various States: NOTICES Cotton, wool, and man-made textiles: Colorado; Class I visibility protection; information notice, Pakistan, 54003 54010 Thailand, 54003–54004 Meetings: Textile and apparel categories: National Drinking Water Advisory Council, 54011 Quota and visa requirements; exemptions— Water Environment Federation; annual conference; 1999 Textile products produced or manufactured in various National Wastewater Management Excellence Awards countries and re-imported, 54004 presentation, 54011–54013 Organization, functions, and authority delegations: Customs Service Point of contact for small business concerns regarding NOTICES compliance problems arising from Year 2000 (Y2K) Uruguay Round Agreements Act (URAA): failures, 54013 Foreign entities violating textile transshipment and Solid wastes: country of origin rules; list, 54067–54070 Municipal solid waste landfill permit programs; adequacy determinations— Defense Department Guam, 54013–54014 NOTICES Superfund program: Agency information collection activities: Prospective purchaser agreements— Submission for OMB review; comment request, 54004– Boyles Galvanizing Site, PA, 54014–54015 54006 Executive Office of the President Employment Standards Administration See Presidential Documents NOTICES Agency information collection activities: Federal Aviation Administration Proposed collection; comment request, 54056–54057 RULES Class D airspace, 53887–53888 Energy Department Class E airspace, 53888–53896 See Energy Efficiency and Renewable Energy Office PROPOSED RULES See Federal Energy Regulatory Commission Airworthiness directives: NOTICES Airbus, 53951–53956 Meetings: Aviation safety: Environmental Management Site-Specific Advisory Voluntarily submitted information; confidentiality Board— protection, 53958 Kirtland Area Office (Sandia), NM, 54006–54007 Class E airspace, 53956–53958
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Federal Communications Commission Protection of human subjects: RULES Investigational human drugs and biologics; determination Common carrier services: that informed consent is not feasible or is contrary to Telecommunications Act of 1996; implementation— best interests of recipients, etc., 54179–54189 Customer proprietary network information and other PROPOSED RULES customer information; telecommunications carriers’ Human drugs and biological products: use, 53944–53949 Evidence to demonstrate efficacy of new drugs against lethal or permanently disabling toxic substances Federal Emergency Management Agency when efficacy studies ethically cannot be conducted, RULES 53960–53970 Flood elevation determinations: NOTICES Various States, 53931–53944 Agency information collection activities: PROPOSED RULES Reporting and recordkeeping requirements, 54028 Flood elevation determinations: Meetings: Various States, 53980–53993 Ranch Hand Advisory Committee; correction, 54028 NOTICES Reports and guidance documents; availability, etc.: Disaster and emergency areas: Medical devices— California, 54015 Breast prostheses; preclinical and clinical data and Delaware, 54015–54016 labeling, 54028–54029 New Jersey, 54016 New York, 54016–54017 Pennsylvania, 54017 Forest Service South Carolina, 54017 PROPOSED RULES Texas, 54018 National Forest System land and resource management Virginia, 54018–54019 planning, 54073–54112 NOTICES Flood insurance program: Environmental statements; notice of intent: Cooperating Technical Communities flood hazard Caribou National Forest, ID, 53994 mapping initiative, 54019–54021 Meetings: National Dam Safety Review Board, 54021 Health and Human Services Department See Food and Drug Administration Federal Energy Regulatory Commission See Health Care Financing Administration PROPOSED RULES See Health Resources and Services Administration Practice and procedure: See Inspector General Office, Health and Human Services Complaint procedures, 53959–53960 Department NOTICES See National Institutes of Health Hydroelectric applications, 54007–54009 See Substance Abuse and Mental Health Services Administration Federal Housing Finance Board NOTICES NOTICES Reports and guidance documents; availability, etc.: Agency information collection activities: Research involving human biological materials; ethical Submission for OMB review; comment request, 54021– issues and policy guidance; National Bioethics 54022 Advisory Commission executive summary, 54023– 54028 Federal Reserve System NOTICES Meetings; Sunshine Act, 54022–54023 Health Care Financing Administration See Inspector General Office, Health and Human Services Fish and Wildlife Service Department NOTICES NOTICES Environmental statements; availability, etc.: Agency information collection activities: Incidental take permits— Submission for OMB review; comment request, 54029– Castle Rock, CO; Preble’s meadow jumping mouse, 54030 54052–54053 Medicare: Skilled nursing facilities; prospective payment system Food and Drug Administration and consolidated billing; update; report to Congress; RULES correction, 54030–54031 Animal drugs, feeds, and related products: New drug applications— Health Resources and Services Administration Pyrantel tartrate, 53926–53927 NOTICES Food additives: Advisory committees; annual reports; availability, 54031 Adjuvants, production aids, and sanitizers— 2,4-di-tert-pentyl-6-[1-(3,5-di-tert-pentyl-2- hydroxyphenyl)ethyl]phenyl acrylate, 53925–53926 Housing and Urban Development Department Medical devices: RULES General and plastic surgery devices— FHA programs; introduction: Nonresorbable gauze/sponge for external use, etc.; Administrative matters; editorial note removed; CFR classification, 53927–53929 correction, 53930
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Immigration and Naturalization Service National Institute of Standards and Technology NOTICES NOTICES Agency information collection activities: National Voluntary Conformity Assessment System Submission for OMB review; comment request, 54054– Evaluation Program: 54055 Telecommunications equipment certification bodies; Meetings: accreditation bodies establishment, 54000–54001 Employment Verification Pilots; evaluation status, 54055– 54056 National Institutes of Health NOTICES Inspector General Office, Health and Human Services Meetings: Department National Institute of Child Health and Human NOTICES Development, 54049 Hospice industry; compliance program guidance, 54031– 54049 National Oceanic and Atmospheric Administration RULES Fishery conservation and management: Interior Department Alaska; fisheries of Exclusive Economic Zone— See Fish and Wildlife Service Shortraker and rougheye rockfish, 53950 See Land Management Bureau Atlantic highly migratory species— See Minerals Management Service Large coastal shark, 53949–53950 NOTICES NOTICES Committees; establishment, renewal, termination, etc.: Meetings: Alaska Resource Adviory Council et al., 54051–54052 International Commission for Conservation of Atlantic Tunas, U.S. Section Advisory Committee, 54001 Internal Revenue Service New England Fishery Management Council, 54002 NOTICES Permits: Meetings: Marine mammals, 54002 Citizen Advocacy Panels— Brooklyn District, 54070 Nuclear Regulatory Commission South Florida District, 54070–54071 NOTICES Meetings: International Trade Administration Medical Uses of Isotopes Advisory Committee, 54057– 54058 NOTICES Antidumping: Drafting machines from— Presidential Documents Japan, 53996–53998 PROCLAMATIONS Forged stainless steel flanges from— Special observances: India, 53998–53999 Breast Cancer Awareness Month, National (Proc. 7228), Nitrile rubber from— 54191–54194 Japan, 53999 Disability Employment Awareness Month, National (Proc. Antidumping and countervailing duties: 7229), 54195–54196 Hot-rolled lead and bismuth carbon steel products from— Domestic Violence Awareness Month, National (Proc. United Kingdom, 53994–53996 7230), 54197–54198 Applications, hearings, determinations, etc.: EXECUTIVE ORDERS Armed Forces, U.S.; improving health protection of military Massachusetts Institute of Technology, 53999–54000 personnel participating in particular military operations (EO 13139), 54173–54178 Justice Department ADMINISTRATIVE ORDERS See Immigration and Naturalization Service Northern Mariana Islands; vessels located in the area (Memorandum of April 16, 1999), 53883 Labor Department See Employment Standards Administration Public Health Service NOTICES See Food and Drug Administration Agency information collection activities: See Health Resources and Services Administration Submission for OMB review; comment request, 54056 See National Institutes of Health See Substance Abuse and Mental Health Services Administration Land Management Bureau NOTICES Research and Special Programs Administration Closure of public lands: NOTICES Utah, 54053–54054 Agency information collection activities: Proposed collection; comment request, 54065 Minerals Management Service Meetings: NOTICES Pipeline safety— Royalty management: Rapid isolation of ruptured sections of gas transmission Federal natural gas from Gulf of Mexico; invitation for pipelines, 54066–54067 exchange, 54054 Pipeline Safety Advisory Committee, 54065–54066
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Rural Utilities Service Certificates of public convenience and necessity and RULES foreign air carrier permits; weekly applications, Telecommunications standards and specifications: 54064 Materials, equipment, and construction— Meetings: Central office equipment contract (not including NAFTA Land Transportation Standards Subcommittee installation) (RUS Form 545), 53886–53887 and Transportation Consultative Group: annual plenary session, 54064–54065 Securities and Exchange Commission RULES Treasury Department Securities: See Customs Service International disclosure standards; foreign private issuers See Internal Revenue Service conformance, 53900–53925 NOTICES United States Information Agency Investment Company Act of 1940: RULES Exemption applications— Exchange visitor program: J.P. Morgan Securities Inc., 54058–54061 Au pair programs; oversight and general accountability, Applications, hearings, determinations, etc.: 53929–53930 HyperFeed Technologies, Inc., 54058 Veterans Affairs Department Small Business Administration NOTICES NOTICES Agency information collection activities: Agency information collection activities: Proposed collection; comment request, 54071 Submission for OMB review; comment request, 54062 Interest rates; quarterly determinations, 54062 Separate Parts In This Issue Social Security Administration NOTICES Part II Agency information collection activities: Department of Interior, Forest Service, 54073–54112 Proposed collection and submission for OMB review; comment request, 54062–54063 Part III Department of Energy, Energy Efficiency and Renewable Substance Abuse and Mental Health Services Energy Office, 54113–54172 Administration NOTICES Part IV Federal agency urine drug testing; certified laboratories The President, 54173–54178 meeting minimum standards, list, 54049–54051 Part V Textile Agreements Implementation Committee Department of Health and Human Services, Food and Drug See Committee for the Implementation of Textile Administration, 54179–54189 Agreements Part VI Transportation Department The President, 54191–54198 See Coast Guard See Federal Aviation Administration See Research and Special Programs Administration Reader Aids NOTICES Consult the Reader Aids section at the end of this issue for Aviation proceedings: phone numbers, online resources, finding aids, reminders, Agreements filed; weekly receipts, 54064 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 21 CFR Proclamations: 50...... 54180 4865 (see 178...... 53925 312...... 54180 Memorandum of 558...... 53926 April 16, 1999) ...... 53883 878...... 53927 7228...... 54193 7229...... 54195 Proposed Rules: 7230...... 54197 314...... 53960 601...... 53960 Executive Orders: 13139...... 54175 22 CFR Administrative Orders; 514...... 53928 Memorandums: 24 CFR April 16, 1999 ...... 53883 200...... 53930 7 CFR 33 CFR 923...... 53885 Proposed Rules: 1000...... 53885 20...... 53970 1001...... 53885 175...... 53971 1002...... 53885 1004...... 53885 36 CFR 1005...... 53885 Proposed Rules: 1006...... 53885 217...... 59074 1007...... 53885 219...... 59074 1012...... 53885 1013...... 53885 40 CFR 1030...... 53885 52...... 53931 1032...... 53885 Proposed Rules: 1033...... 53885 52...... 53973 1036...... 53885 258...... 53976 1040...... 53885 44 CFR 1044...... 53885 65 (3 documents) ...... 53931, 1046...... 53885 53933, 53936 1049...... 53885 67 (2 documents) ...... 53938, 1050...... 53885 53939 1064...... 53885 1065...... 53885 Proposed Rules: 1068...... 53885 67 (2 documents) ...... 53980, 1076...... 53885 53982 1079...... 53885 46 CFR 1106...... 53885 1124...... 53885 Proposed Rules: 1126...... 53885 5...... 53970 1131...... 53885 47 CFR 1134...... 53885 64...... 53944 1135...... 53885 1137...... 53885 50 CFR 1138...... 53885 635...... 53949 1139...... 53885 679...... 53950 1755...... 53886 10 CFR 431...... 54114 14 CFR 71 (13 documents) ...... 53887, 53888, 53889, 53890, 53891, 53892, 53893, 53894, 53895, 53896, 53898, 53899 Proposed Rules: 39 (2 documents) ...... 53951, 53953 71 (2 documents) ...... 53956, 53957 193...... 53958 17 CFR 210...... 53900 228...... 53900 229...... 53900 230...... 53900 239...... 53900 240...... 53900 249...... 53900 260...... 53900 18 CFR Proposed Rules: 385...... 53959
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Federal Register Presidential Documents Vol. 64, No. 192
Tuesday, October 5, 1999
Title 3— Memorandum of April 16, 1999
The President Delegation of Authority Under Sections 212(f) and 215(a)(1) of the Immigration and Nationality Act
Memorandum for the Attorney General
By the authority vested in me as President by the Constitution and the laws of the United States of America, including sections 212(f) and 215(a)(1) of the Immigration and Nationality Act, as amended (8 U.S.C. 1182(f) and 1185(a)(1)), and in light of Proclamation 4865 of September 29, 1981, I hereby delegate to the Attorney General the authority to: (a) Maintain custody, at any location she deems appropriate, and conduct any screening she deems appropriate in her unreviewable discretion, of any undocumented person encountered in vessels interdicted on the high seas in the general area of the Northern Mariana Islands in 1999, including the stateless vessel located west of the Northern Mariana Islands and identified by United States authorities on or about April 12, 1999; and (b) Undertake any other appropriate actions with respect to such aliens permitted by law. This memorandum is not intended to create, and should not be construed to create, any right or benefit, substantive or procedural, legally enforceable by any party against the United States, its agencies or instrumentalities, officers, employees, or any other person, or to require any procedures to determine whether a person is a refugee. You are authorized and directed to publish this memorandum in the Federal Register. œ–
THE WHITE HOUSE, Washington, April 16, 1999. [FR Doc. 99–26061 Filed 10–4–99; 8:45 am] Billing code 4410–07–M
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Rules and Regulations Federal Register Vol. 64, No. 192
Tuesday, October 5, 1999
This section of the FEDERAL REGISTER (e)(1) was changed, the instruction 1131 Central Arizona contains regulatory documents having general should specify that only paragraph (e)(1) 1134 Western Colorado applicability and legal effect, most of which and the table are revised. 1135 Southwestern Idaho-Eastern Oregon are keyed to and codified in the Code of 1137 Eastern Colorado Federal Regulations, which is published under Correction of Publication 1138 New Mexico-West Texas 50 titles pursuant to 44 U.S.C. 1510. Accordingly, the publication of 1139 Great Basin The Code of Federal Regulations is sold by interim final regulations (FV99–923–1 AGENCY: Agricultural Marketing Service, the Superintendent of Documents. Prices of IFR), which was the subject of FR Doc. USDA. new books are listed in the first FEDERAL 99–16055 is corrected as follows: ACTION: Final rule; delay of effective REGISTER issue of each week. 1. On page 33743, column 2, date. instruction number 2 is corrected to read ‘‘In § 923.322, paragraph (e)(1) and SUMMARY: This document announces a DEPARTMENT OF AGRICULTURE the table are revised to read as follows:’’. delay of the October 1, 1999, effective Dated: September 29, 1999. date of the order consolidating the Agricultural Marketing Service Robert C. Keeney, current 31 Federal milk marketing orders into 11 orders. This action is 7 CFR Part 923 Deputy Administrator, Fruit and Vegetable Programs. based on a temporary restraining order by the U.S. District Court for the District [Docket No. FV99±923±1 IFRC] [FR Doc. 99–25829 Filed 10–4–99; 8:45 am] of Vermont, which enjoins the Secretary Sweet Cherries Grown in Designated BILLING CODE 3410±02±P of Agriculture from implementing the Counties in Washington; Change in amendments to the above mentioned Pack Requirements DEPARTMENT OF AGRICULTURE orders at this time. The current 31 Federal milk orders will therefore AGENCY: Agricultural Marketing Service, remain in effect. USDA. Agricultural Marketing Service EFFECTIVE DATE: ACTION: Final rule; correction. The effective date of the 7 CFR Parts 1000, 1001, 1002, 1004, final rule published on September 1, SUMMARY: The Agricultural Marketing 1005, 1006, 1007, 1012, 1013, 1030, 1999 at 64 FR 47898 is delayed until Service published in the Federal 1032, 1033, 1036, 1040, 1044, 1046, further notice. 1049, 1050, 1064, 1065, 1068, 1076, Register on June 24, 1999, an interim FOR FURTHER INFORMATION CONTACT: John final rule which changed the pack 1079, 1106, 1124, 1126, 1131, 1134, F. Borovies, Branch Chief, USDA/AMS/ requirements prescribed under the 1135, 1137, 1138, and 1139 Dairy Division, Order Formulation Washington cherry marketing order. [DA±97±12] Branch, Room 2971, South Building, This document corrects the amendatory P.O. Box 96456, Washington, DC 20090– instruction in that document. Milk in the New England and Other 6456, (202) 720–6274, e-mail address EFFECTIVE DATE: This correction is Marketing Areas; Delay of Effective [email protected]. effective June 25, 1999. Date SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: 7 CFR Part / Marketing Area George J. Kelhart, Marketing Order Prior Documents in This Proceeding 1000 General Provisions of Federal Milk Proposed Rule: Issued January 21, Administration Branch, Fruit and Marketing Orders Vegetable Programs, AMS, USDA, room 1001 New England 1998; published January 30, 1998 (63 FR 2525–S, P.O. Box 96456, Washington, 1002 New York-New Jersey 4802). DC 20090–6456; telephone 202–720– 1004 Middle Atlantic Correction: Issued February 19, 1998; 2491. 1005 Carolina published February 25, 1998 (63 FR SUPPLEMENTARY INFORMATION: 1006 Upper Florida 9686). 1007 Southeast Extension of Time: Issued March 10, Background 1012 Tampa Bay 1998; published March 13, 1998 (63 FR The interim final regulations that are 1013 Southeastern Florida 12417). 1030 Chicago Regional the subject of this correction revised 1032 Southern Illinois-Eastern Missouri Final Decision on Proposed § 923.322, paragraph (e)(1) and the table, 1033 Ohio Valley Amendments: Issued March 12, 1999; but did not change paragraph (e)(2). 1036 Eastern Ohio-Western Pennsylvania published April 2, 1999 (64 FR 16026). Correction: Issued July 8, 1999; Need for Correction 1040 Southern Michigan 1044 Michigan Upper Peninsula published July 14, 1999 (64 FR 37892). As published, the amendatory 1046 Louisville-Lexington-Evansville Notice of Referenda: Issued July 14, instruction concerning changes in the 1049 Indiana 1999: published July 21, 1999 (64 FR sweet cherry regulations needs to be 1050 Central Illinois 39092). clarified. Otherwise it may prove to be 1064 Greater Kansas City Final Rule: Issued August 23, 1999; misleading. The instruction, as 1065 Nebraska-Western Iowa 1068 Upper Midwest published September 1, 1999 (64 FR published in the Federal Register, states 1076 Eastern South Dakota 47898). that ‘‘Section 923.322 is amended by 1079 Iowa Statement of Consideration revising paragraph (e) to read as 1106 Southwest Plains follows:’’. Since the entire paragraph (e) 1124 Pacific Northwest On September 28, 1999, the U.S. was not changed and only paragraph 1126 Texas District Court for the District of Vermont
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 53886 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations issued, on the basis of a civil action 1598, U.S. Department of Agriculture, Reduction Act of 1995 (44 U.S.C. before it, a temporary restraining order 1400 Independence Ave., SW, Chapter 35). enjoining the Secretary from Washington DC, 20250–1598, telephone National Environmental Policy Act implementing an order consolidating number (202) 720–0671. Certification the current 31 Federal milk marketing SUPPLEMENTARY INFORMATION: orders into 11 orders. The consolidated The Administrator of RUS has orders were to become effective on Executive Order 12866 determined that this proposed rule will not significantly affect the quality of the October 1, 1999. This final rule has been determined to human environment as defined by the Accordingly, based upon the be not significant for purposes of National Environmental Policy Act of temporary restraining order granted by Executive Order 12866 and therefore the U.S. District Court for the District of 1969 (42 U.S.C. 4321 et seq.). Therefore, has not been reviewed by the Office of Vermont, the October 1, 1999, effective this action does not require an Management and Budget (OMB). date of the order consolidating the environmental impact statement or current 31 milk marketing orders that Executive Order 12372 assessment. was issued on August 23, 1999, and This final rule is excluded from the Catalog of Federal Domestic Assistance published in the Federal Register on scope of Executive Order 12372, The program described by this September 1, 1999, at 64 FR 47898, is Intergovernmental Consultation, which hereby delayed until further notice. The proposed rule is listed in the Catalog of may require a consultation with State Federal Domestic Assistance Programs 31 current Federal milk orders will and local officials. A final rule related continue to remain in effect. under number 10.851, Rural Telephone Notice entitled, ‘‘Department Programs Loans and Loan Guarantees; and List of Subjects in 7 CFR Parts 1000, and Activities Excluded from Executive number 10.852, Rural Telephone Bank 1001, 1002, 1004, 1005, 1006, 1007, Order 12372’’ (50 FR 47034) exempts Loans. This catalog is available on a 1012, 1013, 1030, 1032, 1033, 1036, RUS and Rural Telephone Bank loans subscription basis from the 1040, 1044, 1046, 1049, 1050, 1064, and loan guarantees from coverage Superintendent of Documents, the 1065, 1068, 1076, 1079, 1106, 1124, under this Order. United States Government Printing 1126, 1131, 1134, 1135, 1137, 1138, and Executive Order 12988 Office, Washington, DC 20402–9325. 1139 Unfunded Mandates Milk marketing orders. This final rule has been reviewed under Executive Order 12988, Civil The authority citation for Parts 1000 This rule contains no Federal Justice Reform. RUS has determined through 1139 continues to read as mandates (under the regulatory that this rule meets the applicable follows: provisions of Title II of the Unfunded standards provided in section 3 of the Mandates Reform Act of 1995) for State, Authority: 7 U.S.C. 601–674, and 7253. Executive Order. In addition, all state local, and tribal governments for the Dated: September 30, 1999. and local laws and regulations that are private sector. Thus, this rule is not Michael V. Dunn, in conflict with this rule will be subject to the requirements of section Under Secretary, Marketing and Regulatory preempted, no retroactive effort will be 202 and 205 of the Unfunded Mandates Programs. given to this rule, and, in accordance Reform Act of 1995. [FR Doc. 99–25959 Filed 10–1–99; 10:38 am] with Sec. 212(c) of the Department of Background BILLING CODE 3410±02±P Agriculture Reorganization Act of 1994 (7 U.S.C. Sec. 6912(c)), appeal The last revision to the RUS Form 545 procedures must be exhausted before an was September 1966. Since that date, DEPARTMENT OF AGRICULTURE action against the Department or its divestiture and competition legislation agencies may be initiated. and regulation have brought about many Rural Utilities Service changes in the conduct of Regulatory Flexibility Act Certification telecommunications business. Notable 7 CFR Part 1755 RUS has determined that this advances of central office equipment RUS Form 545, Central Office proposed rule will not have a significant technology such as Signaling System Equipment Contract (Not Including economic impact on a substantial No. 7 (SS7), Advanced Intelligent Installation) number of small entities, as defined in Network (AIN), and Integrated Services the Regulatory Flexibility Act (5 U.S.C. Digital Network, have made many new AGENCY: Rural Utilities Service, USDA. 601 et seq.). The RUS services available. In order to address ACTION: Final rule. telecommunications program provides the above, significant changes have been loans to borrowers at interest rates and made in the way business is conducted SUMMARY: The Rural Utilities Service terms that are more favorable than those in the telecommunications industry. (RUS) is amending its regulations on generally available from the private RUS Form 545 incorporates those Telecommunications Standards and sector. RUS borrowers, as a result of changes into the Central Office Specifications for Materials, Equipment, obtaining federal financing, receive Equipment Contract. The main changes and Construction to revise RUS Form economic benefits that exceed any to the contract are new requirements 545 Central Office Equipment Contract direct economic costs associated with that: (1) Provide for a software license, (Not Including Installation). RUS is complying with RUS regulations and (2) provide for patent, copyright, and revising this contract form in order to requirements. trademark infringement protection, (3) incorporate contractual and provide a cap on consequential Information Collection and technological changes. damages, and (4) provide Equal Recordkeeping Requirements EFFECTIVE DATE: November 4, 1999. Employment Opportunity requirements. FOR FURTHER INFORMATION CONTACT: John This rule contains no new reporting In addition, it revises and updates J. Schell, Chief, Inside Plant Branch, or recordkeeping burdens under OMB provisions for (1) delivery of equipment, Telecommunications Standards control number 0572–0059 that would (2) inspection and testing of the Division, Rural Utilities Service, Stop require approval under the Paperwork completed installations, (3) payments to
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The above actions will Reporting and recordkeeping SUPPLEMENTARY INFORMATION: make it possible for RUS requirements, Rural areas, Telephone. telecommunications borrowers to History continue to provide their subscribers For the reasons set out in the preamble, Chapter XVII of Title 7 of the with the most modern and efficient On Wednesday, July 7, 1999, the FAA Code of Federal Regulations is amended telecommunications service, proposed to amend 14 CFR part 71 to as follows: implemented in a predictable and modify Class D airspace at Belleville, IL orderly fashion. PART 1755ÐTELECOMMUNICATIONS (64 FR 36630). The proposal was to amend the effective hours to coincide A proposed rule was issued in the STANDARDS AND SPECIFICATIONS with the ATCT hours of operations for Federal Register, on December 11, 1998, FOR MATERIALS, EQUIPMENT, AND Scott AFB/MidAmerica airport. at 63 FR 68406, requesting comments on CONSTRUCTION Interested parties were invited to these changes and proposed to codify 1. The authority citation for part 1755 participate in this rulemaking revised RUS Form 545 in full text. The continues to read as follows: proceeding by submitting written comment period closed February 9, comments on the proposal to the FAA. 1999, and no comments were received. Authority: 7 U.S.C. 901 et seq., 1921 et seq., 7941 et seq. No comments objecting to the proposal Following the issuance of this were received. Class D airspace proposed rule, a direct final rule was 2. Section 1755.30(c)(41) is revised to designations are published in paragraph published in the Federal Register on read as follows: 5000 of FAA Order 7400.9G dated February 10, 1999, at 64 FR 6501, § 1755. 30 List of telecommunications September 1, 1999, and effective establishing new policy on the manner standard contract forms. September 16, 1999, which is in which RUS publishes the standard * * * * * incorporated by reference in 14 CFR forms of contracts that borrowers are (c) * * * 71.1. The Class D airspace designation required to use when contracting for (41) RUS Form 545, issued November listed in this document will be construction, procurement, engineering 4, 1999, Central Office Equipment published subsequently in the Order. services, or architectural services Contract (Not Including Installation). financed through loans made or The Rule * * * * * guaranteed by RUS. This form falls This amendment to 14 CFR part 71 Dated: September 27, 1999. under this new policy. The full text will modifies Class D airspace at Belleville, not be codified in this rule. Borrowers Jill Long Thompson, IL, by amending the hours of operation can determine the appropriate standard Under Secretary, Rural Development. of the Class D airspace for Scott AFB/ forms based on the issuance date of the [FR Doc. 99–25720 Filed 10–4–99; 8:45 am] MidAmerica Airport. The area will be form as identified by the most recent BILLING CODE 3410±15±P depicted on appropriate aeronautical published list set forth in § 1755.30(c). charts. A copy of RUS Form 545 can be The FAA has determined that this obtained from the Rural Utilities DEPARTMENT OF TRANSPORTATION Service, U.S. Department of Agriculture, regulation only involves an established body of technical regulations for which Program Development and Regulatory Federal Aviation Administration Analysis, Stop 1522, Washington, DC, frequent and routine amendments are 20250–1522. 14 CFR Part 71 necessary to keep them operationally current. Therefore, this regulation—(1) RUS has issued a series of 7 CFR [Airspace Docket No. 99±AGL±39] is not a ‘‘significant regulatory action’’ chapter XVII parts, which serve to under Executive Order 12866; (2) is not implement the policies, procedures, and Modification of Class D Airspace; a ‘‘significant rule’’ under DOT requirements for administering its loan Belleville, IL Regulatory Policies and Procedures (44 and loan guarantee programs and the AGENCY: FR 11034; February 26, 1979); and (3) loan documents and security Federal Aviation Administration (FAA), DOT. does not warrant preparation of a instruments that provide for and secure Regulatory Evaluation as the anticipated ACTION: Final rule. RUS financing. The revision to 7 CFR impact is so minimal. Since this is a part 1755 revises the issuance date of SUMMARY: routine matter that will only affect air RUS Form 545, Central Office This action modifies Class D airspace at Belleville, IL. This action traffic procedures and air navigation, it Equipment Contract (Not Including is certified that this rule will not have Installation). RUS telecommunications amends the effective hours of the Class D surface area to coincide with the a significant economic impact on a borrowers are required to use the RUS substantial number of small entities Form 545 contract where major central airport traffic control tower (ATCT) hours of operation for Scott AFB/ under the criteria of the Regulatory office facilities are being procured but Flexibility Act. not installed under this contract. The MidAmerica Airport. The purpose of present RUS Form 545 has become this action is to clarify when two-way List of Subjects in 14 CFR Part 71 outdated due to technological radio communication with the ATCT is advancements and other reasons. required. Airspace, Incorporation by reference, Advanced technology and equipment EFFECTIVE DATE: 0901 UTC, December Navigation (air). concepts have introduced new issues. 30, 1999. Adoption of the Amendment Contract terms and obligations have FOR FURTHER INFORMATION CONTACT: been modified and updated to more Annette Davis, Air Traffic Division, In consideration of the foregoing, the accurately reflect present business Airspace Branch, AGL–520, Federal Federal Aviation Administration practices. Aviation Administration, 2300 East amends 14 CFR part 71 as follows:
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PART 71ÐDESIGNATION OF CLASS A, radius of the existing controlled a significant economic impact on a CLASS B, CLASS C, CLASS D, AND airspace for this airport. substantial number of small entities CLASS E AIRSPACE AREAS; EFFECTIVE DATE: 0901 UTC, December under the criteria of the Regulatory AIRWAYS: ROUTES; AND REPORTING 30, 1999. Flexibility Act. POINTS FOR FURTHER INFORMATION CONTACT: List of Subjects in 14 CFR Part 71 1. The authority citation for part 71 Denis C. Burke, Air Traffic Division, continues to read as follows: Airspace Branch, AGL–520, Federal Airspace, Incorporation by reference, Aviation Administration, 2300 East Navigation (air). Authority: 49 U.S.C. 106(g), 40103, 40113, Devon Avenue, Des Plaines, Illinois 40120; E.O. 10854, 24 FR 95665, 3 CFR, 60018, telephone (847) 294–7568. Adoption of the Amendment 1959–1963 Comp., p. 389. SUPPLEMENTARY INFORMATION: In consideration of the foregoing, the § 71.1 [Amended] History Federal Aviation Administration 2. The incorporation by reference in amends 14 CFR part 71 as follows: 14 CFR 71.1 of the Federal Aviation On Tuesday, July 13, 1999, the FAA Administration Order 7400.9G, Airspace proposed to amend 14 CFR part 711 to PART 71ÐDESIGNATION OF CLASS A, Designations and Reporting Points, modify Class E airspace at Hayward, WI CLASS B, CLASS C, CLASS D, AND dated September 1, 1999, and effective (64 FR 37716). The proposal was to add CLASS E AIRSPACE AREAS; September 16, 1999, is amended as controlled airspace extending upward AIRWAYS; ROUTES; AND REPORTING from 700 to 1200 feet AGL to contain follows: POINTS Instrument Flight Rules (IFR) operations Paragraph 5000 Class D airspace. in controlled airspace during portions of 1. The authority citation for part 71 * * * * * the terminal operation and while continues to read as follows: AGL IL D Belleville, IL [Revised] transiting between the enroute and terminal environments. Authority: 49 U.S.C. 106(g), 40103, 40113, Scott AFB/MidAmerica Airport, IL 40120; E.O. 10854, 24 FR 95665, 3 CFR 1959– (Lat. 38°32′41′′ N., long. 89°50′ 01′′ W.) Interested parties were invited to participate in this rulemaking 1963 Comp., p. 389. That airspace extending upward from the proceeding by submitting written surface to and including 3,000 feet MSL § 71.1 [Amended] within an 4.8-mile radius of the Scott AFB/ comments on the proposal to the FAA. MidAmerica Airport. This Class D airspace No comments objecting to the proposal 2. The incorporation by reference in area is effective during the specific dates and were received. Class E airspace 14 CFR 71.1 of the Federal Aviation times established in advance by Notice to designations for airspace areas Administration Order 7400.9F, Airspace Airmen. The effective date and time will extending upward from 700 feet or more Designations and Reporting Points, thereafter be continuously published in the above the surface of the earth are dated September 10, 1998, and effective Airport/Facility Directory. published in paragraph 6005 of FAA September 16, 1998, is amended as * * * * * Order 7400.9F dated September 10, follows: Issued in Des Plaines, Illinois on 1998, and effective September 16, 1998, September 7, 1999. which is incorporated by reference in 14 * * * * * Christopher R. Blum, CFR 71.1. The Class E airspace Paragraph 6005 Class E airspace areas Manager, Air Traffic Division. designation listed in this document will extending upward from 700 feet or more [FR Doc. 99–25860 Filed 10–4–99; 8:45 am] be published subsequently in the Order. above the surface of the earth BILLING CODE 4910±13±M The Rule * * * * * This amendment to 14 CFR part 71 AGL WI E5 Hayward, WI [Revised] DEPARTMENT OF TRANSPORTATION modifies Class E airspace at Hayward, Hayward, Sawyer County Airport, WI WI, to accommodate aircraft executing (Lat. 46°01′33′′ N., long. 91°26′39′′ W.) Federal Aviation Administration the proposed GPS Rwy 02 SIAP and the Hayward VOR/DME GPS Rwy 20 SIAP at Sawyer County (Lat. 46°01′08′′ N., long. 91°26′47′′ W.) 14 CFR Part 71 Airport by modifying the existing That airspace extending upward from 700 controlled airspace. The area will be feet above the surface within an 6.5-mile [Airspace Docket No. 99±AGL±40] depicted on appropriate aeronautical radius of the Sawyer County Airport, and Modification of Class A Airspace; charts. within 3.7 miles each side of the Hayward ° Hayward, WI The FAA has determined that this VOR/DME 205 radial extending from the regulation only involves an established 6.5-mile radius to 9.4 miles southwest of the AGENCY: Federal Aviation body of technical regulations for which VOR/DME, and within 2.5 miles each side of Administration (FAA), DOT. frequent and routine amendments are the Hayward VOR/DME 022° radial ACTION: Final rule. necessary to keep them operationally extending from the 6.5-mile radius to 7.9 current. Therefore, this regulation—(1) miles northeast of the VOR/DME. SUMMARY: This action modifies Class E is not a ‘‘significant regulatory action’’ * * * * * airspace at Hayward, WI. A Global under Executive Order 12866; (2) is not Issued in Des Plaines, Illinois on Positioning System (GPS) Standard a ‘‘significant rule’’ under DOT September 17, 1999. Instrument Approach Procedure (SIAP) Regulatory Policies and Procedures (44 David B. Johnson, to Runway (Rwy) 02, and a GPS SIAP FR 11034; February 26, 1979); and (3) to Rwy 20, have been developed for does not warrant preparation of a Acting Member, Air Traffic Division. Sawyer County Airport. Controlled Regulatory Evaluation as the anticipated [FR Doc. 99–25854 Filed 10–4–99; 8:45 am] airspace extending upward from 700 to impact is so minimal. Since this is a BILLING CODE 4910±13±M 1200 feet above ground level (AGL) is routine matter that will only affect air needed to contain aircraft executing the traffic procedures and air navigation, it approaches. This action increases the is certified that this rule will not have
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DEPARTMENT OF TRANSPORTATION The Rule (Lat. 46°11′39′′ N., long. 91°14′47′′ W.) Hayward VOR/DME Federal Aviation Administration This amendment to 14 CFR part 71 (Lat. 46°01′08′′ N., long. 91°26′47′′ W.) modifies Class E airspace at Cable Seeley NDB 14 CFR Part 71 Union, WI, to accommodate aircraft (Lat. 46°06′37′′ N., long. 91°23′02′′ W.) executing the proposed GPS Rwy 34 That airspace extending upward from 700 [Airspace Docket No. 99±AGL±41] SIAP at Cable Union Airport by feet above the surface within an 6.4-mile modifying the existing controlled radius of the Cable Union Airport, and Modification of Class E Airspace; airspace. The area will be depicted on within 3.0 miles each side of the Hayward ° Cable Union, WI appropriate aeronautical charts. VOR/DME 038 radial extending from the 6.4-mile radius to 10.0 miles southwest of the AGENCY: Federal Aviation The FAA has determined that this airport, and within 1.8 miles each side of the Administration (FAA), DOT. regulation only involves an established Seeley NDB 226° bearing extending from the ACTION: Final rule. body of technical regulations for which 6.4-mile radius to 7.6 miles southwest of the frequent and routine amendments are airport, excluding that airspace within the SUMMARY: This action modifies Class E necessary to keep them operationally Hayard, WI, Class E airspace area. airspace at Cable Union, WI. A Global current. Therefore, this regulation—(1) * * * * * Positioning System (GPS) Standard is not a ‘‘significant regulatory action’’ Issued in Des Plaines, Illinois on Instrument Approach Procedure (SIAP) under Executive Order 12866; (2) is not September 17, 1999. to Runway (Rwy) 34 has been developed a ‘‘significant rule’’ under DOT David B. Johnson, for Cable Union Airport. Controlled Regulatory Policies and Procedures (44 Acting Manager, Air Traffic Division. airspace extending upward from 700 to FR 11034; February 26, 1979); and (3) [FR Doc. 99–25852 Filed 10–4–99; 8:45 am] does not warrant preparation of a 1200 feet above ground level (AGL) is BILLING CODE 4910±13±M needed to contain aircraft executing the Regulatory Evaluation as the anticipated approach. This action decreases the impact is so minimal. Since this is a radius of the existing controlled routine matter that will only affect air DEPARTMENT OF TRANSPORTATION airspace and redefines a portion of the traffic procedures and air navigation, it existing controlled airspace using an is certified that this rule will not have Federal Aviation Administration additional navigation facility for this a significant economic impact on a airport. substantial number of small entities 14 CFR Part 71 EFFECTIVE DATE: 0901 UTC, December under the criteria of the Regulatory [Airspace Docket No. 99±AAL±10] 30, 1999. Flexibility Act. Establishment of Class E Airspace; St. FOR FURTHER INFORMATION CONTACT: List of Subjects in 14 CFR Part 71 Michael, AK Denis C. Burke, Air Traffic Division, Airspace, Incorporation by reference, Airspace Branch, AGL–520, Federal Navigation (air). AGENCY: Federal Aviation Aviation Administration, 2300 East Administration (FAA), DOT. Devon Avenue, Des Plaines, Illinois Adoption of the Amendment ACTION: Final rule. 60018, telephone (847) 294–7568. In consideration of the foregoing, the SUPPLEMENTARY INFORMATION: SUMMARY: This action establishes Class Federal Aviation Administration E airspace at St. Michael, AK. The History amends 14 CFR part 71 as follows: establishment of Global Positioning On Tuesday, July 13, 1999, the FAA PART 71ÐDESIGNATION OF CLASS A, System (GPS) instrument approach proposed to amend 14 CFR part 71 to CLASS B, CLASS C, CLASS D, AND procedures at St. Michael Airport made modify Class E airspace at Cable Union, CLASS E AIRSPACE AREAS; this action necessary. The St. Michael WI (64 FR 37715). The proposal was to AIRWAYS; ROUTES; AND REPORTING Airport status changes from Visual add controlled airspace extending POINTS Flight Rules (VFR) to Instrument Flight upward from 700 to 1200 feet AGL to Rules (IFR). This rule provides adequate contain Instrument Flight Rules (IFR) 1. The authority citation for part 71 controlled airspace for aircraft flying operations in controlled airspace during continues to read as follows: IFR procedures at St. Michael, AK. portions of the terminal operation and Authority: 49 U.S.C. 106(g), 40103, 40113, EFFECTIVE DATE: 0901 UTC, November 4, while transiting between the enroute 40120; E.O. 10854, 24 FR 95665, 3 CFR, 1999. and terminal environments. Interested 1959–1963 Comp., p. 389. FOR FURTHER INFORMATION CONTACT: Bob parties were invited to participate in Durand, Operations Branch, Federal § 71.1 [Amended] this rulemaking proceeding by Aviation Administration, 222 West 7th submitting written comments on the 2. The incorporation by reference in Avenue, Box 14, Anchorage, AK 99513– proposal to the FAA. One comment 14 CFR 71.1 of the Federal Aviation 7587; telephone number (907) 271– strongly supporting the proposal was Administration Order 7400.9F, Airspace 5898; fax: (907) 271–2850; email: received from the Wisconsin Designations and Reporting Points, ated [email protected]. Internet address: Department of Transportation. Class E September 10, 1998, and effective http://www.alaska.faa.gov/at or at airspace designations for airspace areas September 16, 1998, is amended as address http://162.58.28.41/at. extending upward from 700 feet or more follows: SUPPLEMENTARY INFORMATION: above the surface of the earth are * * * * * History published in paragraph 6005 of FAA Paragraph 6005 Class E airspace areas Order 7400.9F dated September 10, extending upward from 700 feet or more On July 30, 1999, a proposal to amend 1998, and effective September 16, 1998, above the surface of the earth part 71 of the Federal Aviation which is incorporated by reference in 14 * * * * * Regulations (14 CFR part 71) to establish CFR 71.1 The Class E airspace the Class E airspace at St. Michael, AK, designation listed in this document will AGL WI E5 Cable Union, WI (Revised) was published in the Federal Register be published subsequently in the Order. Cable Union Airport, WI (64 FR 41360). The proposal was
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 53890 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations necessary due to the establishment of PART 71Ð DESIGNATION OF CLASS DEPARTMENT OF TRANSPORTATION GPS instrument approaches at St. A, CLASS B, CLASS C, CLASS D, AND Michael, AK. Interested parties were CLASS E AIRSPACE AREAS; Federal Aviation Administration invited to participate in this rulemaking AIRWAYS; ROUTES; AND REPORTING 14 CFR Part 71 proceeding by submitting written POINTS comments on the proposal to the FAA. [Airspace Docket No. 99±AAL±11] No public comments to the proposal 1. The authority citation for 14 CFR were received; thus, the rule is adopted part 71 continues to read as follows: Establishment of Class E Airspace; as written. Platinum, AK Authority: 49 U.S.C. 106(g), 40103, 40113, The area will be depicted on 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– AGENCY: Federal Aviation aeronautical charts for pilot reference. 1963 Comp., p. 389. Administration (FAA), DOT. The coordinates for this airspace docket ACTION: Final rule. are based on North American Datum 83. § 71.1 [Amended] The Class E airspace areas designated as SUMMARY: This action establishes Class 2. The incorporation by reference in 700/1200 foot transition areas are E airspace at Platinum, AK. The 14 CFR 71.1 of Federal Aviation published in paragraph 6005 of FAA establishment of a Global Positioning Administration Order 7400.9F, Airspace Order 7400.9F, Airspace Designations System (GPS) instrument approach and Reporting Points, dated September Designations and Reporting Points, procedure at Platinum Airport made 10, 1998, and effective September 16, dated September 10, 1998, and effective this action necessary. The Platinum 1998, which is incorporated by September 16, 1998, is amended as Airport status changes from Visual reference in 14 CFR 71.1 (63 FR 50139; follows: Flight Rules (VFR) to Instrument Flight September 21, 1998). The Class E Paragraph 6005 Class E airspace areas Rules (IFR). This rule provides adequate airspace designations listed in this extending upward from 700 feet or more controlled airspace for aircraft flying document will be revised and published above the surface of the earth IFR procedures at Platinum, AK. subsequently in the Order. * * * * * EFFECTIVE DATE: 0901 UTC, November 4, 1999. The Rule AAL AK E5 St. Michael, AK [New] FOR FURTHER INFORMATION CONTACT: Bob This amendment to 14 CFR part 71 St. Michael Airport Durand, Operations Branch, Federal establishes the Class E airspace at St. (Lat. 62°29′24′′ N., long. 162°06′37′′ W.) Aviation Administration, 222 West 7th Michael, AK, through the establishment Fort Davis NDB Avenue, Box 14, Anchorage, AK 99513– of GPS instrument approaches. The area (Lat. 64°29′41′′ N., long. 165°18′50′′ W.) 7587; telephone number (907) 271– will be depicted on aeronautical charts North River NDB 5898; fax: (907) 271–2850; email: for pilot reference. The intended effect (Lat. 63°54′28′′ N., long. 160°48′43′′ W.) [email protected]. Internet address: of this proposal is to provide adequate That airspace extending upward from 700 http://www.alaska.faa.gov/at or at controlled airspace for IFR operations at feet above the surface within 5.8-mile readius address http://162.58.28.41/at. St. Michael, AK. of the St. Michael Airport; and that airspace SUPPLEMENTARY INFORMATION: extending upward from 1,200 feet above the The FAA has determined that these History proposed regulations only involve an surface within an area bounded by lat. ° ′ ′′ ° ′ ′′ On July 30, 1999, a proposal to amend established body of technical 63 54 30 N long. 161 44 20 W, to lat. ° ′ ′′ ° ′ ′′ part 71 of the Federal Aviation regulations for which frequent and 63 41 00 N long. 161 04 30 W, to lat. ° ′ ′′ ° ′ ′′ Regulations (14 CFR part 71) to revise routine amendments are necessary to 63 02 00 N long. 162 23 05 W, to lat. 62°50′00′′ N long. 164°00′00′′ W, to lat. the Class E airspace at Platinum, AK, keep them operationally current. It, 63°05′00′′ N long. 164°00′00′′ W, to the was published in the Federal Register therefore—(1) is not a ‘‘significant beginning point; and that airspace 4 miles (64 FR 41359). The proposal was regulatory action’’ under Executive northwest of a line from North River NDB to necessary due to the establishment of a Order 12866; (2) is not a ‘‘significant lat. 63°35′44′′ N long. 161°44′03′′ W; and that GPS instrument approach to runway rule’’ under DOT Regulatory Policies airspace 4 miles either side of a line from (RWY) 06 and RWY 24 at Platinum, AK. and Procedures (44 FR 11034; February Fort Davis NDB to lat 63°22′14′′ N long. Interested parties were invited to 26, 1979); and (3) does not warrant 162°33′13′′ W; and that airspace 4 miles participate in this rulemaking preparation of a regulatory evaluation as either side of a line from Fort Davis NDB to proceeding by submitting written the anticipated impact is so minimal. lat. 63°41′11′′ N long. 162°02′50′′ W; comments on the proposal to the FAA. Since this is a routine matter that will excluding that airspace within the Nome, No public comments to the proposal only affect air traffic procedures and air AK, Class E airspace area. were received. The Kipnuk VOR and the navigation, it is certified that this rule, Togiak NDB coordinates however, were when promulgated, will not have a * * * * * published with errors. The Knipnuk significant economic impact on a Issued in Anchorage, AK, on September 28, VOR coordinates should read ‘‘lat. substantial number of small entities 1999. 59°56′34′′ N., long. 164°02′04′′ W.’’ and under the criteria of the Regulatory Willis C. Nelson, the Togiak NDB coordinates should Flexibility Act. Manager, Air Traffic Division, Alaskan ° ′ ′′ Region. read, ‘‘lat. 59 03 51 N., long. List of Subjects in 14 CFR Part 71 160°22′27′′ W.’’ The Federal Aviation [FR Doc. 99–25850 Filed 10–4–99; 8:45 am] Administration has determined that Airspace, Incorporation by reference, BILLING CODE 4910±13±P these changes are editorial in nature and Navigation (air). will not increase the scope of this rule. Adoption of the Amendment Except for the non-substantive change just discussed, the rule is adopted as In consideration of the foregoing, the written. Federal Aviation Administration The area will be depicted on amends 14 CFR part 71 as follows: aeronautical charts for pilot reference.
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The coordinates for this airspace docket § 71.1 [Amended] for aircraft flying IFR procedures at are based on North American Datum 83. 2. The incorporation by reference in Mountain Village, AK. The Class E airspace areas designated as 14 CFR 71.1 of Federal Aviation EFFECTIVE DATE: 0901 UTC, November 4, 700/1200 foot transition areas are Administration Order 7400.9F, Airspace 1999. published in paragraph 6005 of FAA Designations and Reporting Points, FOR FURTHER INFORMATION CONTACT: Bob Order 7400.9F, Airspace Designations dated September 10, 1998, and effective Durand, Operations Branch, Federal and Reporting Points, dated September September 16, 1998, is amended as Aviation Administration, 222 West 7th 10, 1998, and effective September 16, follows: Avenue, Box 14, Anchorage, AK 99513– 1998, which is incorporated by Paragraph 6005 Class E airspace areas 7587; telephone number (907) 271– reference in 14 CFR 71.1 (63 FR 50139; extending upward from 700 feet or more 5898; fax: (907) 271–2850; email: September 21, 1998). The Class E above the surface of the earth [email protected]. Internet address: airspace designations listed in this * * * * * http://www.alaska.faa.gov/at or at document will be revised and published address http://162.58.28.41/at. subsequently in the Order. AAL AK E5 Platinum, AK [New] SUPPLEMENTARY INFORMATION: Platinum Airport The Rule (Lat. 59°00′41′′ N., long. 161°49′11′′ W.) History Togiak NDB This amendment to 14 CFR part 71 ° ′ ′′ ° ′ ′′ On July 30, 1999, a proposal to amend establishes the Class E airspace at (Lat. 59 03 51 N., long. 160 22 27 W.) Kipnuk VOR part 71 of the Federal Aviation Platinum, AK, through the (Lat. 59°56′34′′ N., long. 164°02′04′′ W.) Regulations (14 CFR part 71) to establish establishment of a GPS instrument Oscarville NDB the Class E airspace at Mountain approach. The area will be depicted on (Lat. 60°47′29′′ N., long. 161°52′22′′ W.) Village, AK, was published in the aeronautical charts for pilot reference. That airspace extending upward from 700 Federal Register (64 FR 41362). The The intended effect of this proposal is feet above the surface within 5.5-mile radius proposal was necessary due to the to provide adequate controlled airspace of the Platinum Airport; and that airspace establishment of GPS instrument for IFR operations at Platinum, AK. extending upward from 1,200 feet above the approaches at Mountain Village, AK. surface 4 miles either side of a line from the The FAA has determined that these ° ′ ′′ Interested parties were invited to proposed regulations only involve an Togiak NDB to lat. 59 19 00 N. long. 161°52′00′′ W., and 4 miles either side of a participate in this rulemaking established body of technical line from Kipnuk VOR to lat. 59°19′00′′ N. proceeding by submitting written regulations for which frequent and long. 161°52′00′′ W., and 4 miles either side comments on the proposal to the FAA. routine amendments are necessary to of a line from Oscarville NDB to lat. No public comments to the proposal keep them operationally current. It, 59°19′00′′ N. long. 161°52′00′′ W., and 4 were received; thus, the rule is adopted therefore—(1) is not a ‘‘significant miles either side of a line extending from lat. as written. regulatory action’’ under Executive 59°19′00′′ N. long. 161° 52′00′′ W. to lat. The area will be depicted on Order 12866; (2) is not a ‘‘significant 59°09′58′′ N. long 161°57′39′′ W. to lat. ° ′ ′′ ° ′ ′′ aeronautical charts for pilot reference. rule’’ under DOT Regulatory Policies 59 05 27 N. long. 161 53 31 W. The coordinates for this airspace docket and Procedures (44 FR 11034; February * * * * * are based on North American Datum 83. 26, 1979); and (3) does not warrant Issued in Anchorage, AK, on September 28, The Class E airspace areas designated as preparation of a regulatory evaluation as 1999. 700/1200 foot transition areas are the anticipated impact is so minimal. Willis C. Nelson, published in paragraph 6005 of FAA Since this is a routine matter that will Manager, Air Traffic Division, Alaskan Order 7400.9F, Airspace Designations only affect air traffic procedures and air Region. and Reporting Points, dated September navigation, it is certified that this rule, [FR Doc. 99–25849 Filed 10–4–99; 8:45 am] 10, 1998, and effective September 16, when promulgated, will not have a BILLING CODE 4910±13±P 1998, which is incorporated by significant economic impact on a reference in 14 CFR 71.1 (63 FR 50139; substantial number of small entities September 21, 1998). The Class E under the criteria of the Regulatory DEPARTMENT OF TRANSPORTATION airspace designations listed in this Flexibility Act. document will be revised and published Federal Aviation Administration List of Subjects in 14 CFR Part 71 subsequently in the Order. 14 CFR Part 71 The Rule Airspace, Incorporation by reference, Navigation (air). [Airspace Docket No. 99±AAL±9] This amendment to 14 CFR part 71 establishes the Class E airspace at Adoption of the Amendment Establishment of Class E Airspace; Mountain Village, AK, through the Mountain Village, AK In consideration of the foregoing, the establishment of GPS instrument Federal Aviation Administration AGENCY: Federal Aviation approaches. The area will be depicted amends 14 CFR part 71 as follows: Administration (FAA), DOT. on aeronautical charts for pilot ACTION: Final rule. reference. The intended effect of this PART 71Ð DESIGNATION OF CLASS proposal is to provide adequate A, CLASS B, CLASS C, CLASS D, AND SUMMARY: This action establishes Class controlled airspace for IFR operations at CLASS E AIRSPACE AREAS; E airspace at Mountain Village, AK. The Mountain Village, AK. AIRWAYS; ROUTES; AND REPORTING establishment of Global Positioning The FAA has determined that these POINTS System (GPS) instrument approach proposed regulations only involve an procedures at Mountain Village Airport established body of technical 1. The authority citation for 14 CFR made this action necessary. The regulations for which frequent and part 71 continues to read as follows: Mountain Village Airport status changes routine amendments are necessary to Authority: 49 U.S.C. 106(g), 40103, 40113, from Visual Flight Rules (VFR) to keep them operationally current. It, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Instrument Flight Rules (IFR). This rule therefore—(1) is not a ‘‘significant 1963 Comp., p. 389. provides adequate controlled airspace regulatory action’’ under Executive
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Order 12866; (2) is not a ‘‘significant DEPARTMENT OF TRANSPORTATION maintain basic VFR weather minimums rule’’ under DOT Regulatory Policies as detailed in 14 CFR part 91 section and Procedures (44 FR 11034; February Federal Aviation Administration 155 (§ 91.155) established for Class E 26, 1979); and (3) does not warrant airspace to the surface consisting of preparation of a regulatory evaluation as 14 CFR Part 71 three (3) statute miles visibility and the anticipated impact is so minimal. [Airspace Docket No. 99±AAL±7] cloud clearance of 500 feet below, 1,000 Since this is a routine matter that will feet above, and 2,000 feet horizontal only affect air traffic procedures and air Establishment of Class E Airspace; distance from clouds; and if the basic navigation, it is certified that this rule, Aniak, AK; Establishment of Class E VFR weather minimums (§ 91.155) can when promulgated, will not have a Airspace; St. Mary's, AK not be maintained, then a pilot will be significant economic impact on a required to fly in accordance with the AGENCY: Federal Aviation Special VFR weather minimums substantial number of small entities Administration (FAA), DOT. under the criteria of the Regulatory contained in § 91.157, i.e., have an Air ACTION: Flexibility Act. Final rule. Traffic Control (ATC) clearance. Comments were received from List of Subjects in 14 CFR Part 71 SUMMARY: This action establishes Class E (surface area) airspace at Aniak, AK, Tatonduk Outfitters Limited, Tanana Air Service, and one pilot. Based on the Airspace, Incorporation by reference, and St. Mary’s, AK. This action is at the supportive comments received during Navigation (air). request of air taxi operators with flight operations at these airports. This rule the airspace study, the FAA decided to proceed with the rulemaking process to Adoption of the Amendment provides additional Class E airspace for establish surface areas at Aniak, AK, aircraft flying Instrument Flight Rules In consideration of the foregoing, the and St. Mary’s, AK. Federal Aviation Administration (IFR) procedures at Aniak, AK, and St. On July 30, 1999, a proposal to amend amends 14 CFR part 71 as follows: Mary’s, AK. part 71 of the Federal Aviation EFFECTIVE DATE: 0901 UTC, November 4, Regulations (14 CFR part 71) to revise PART 71Ð DESIGNATION OF CLASS 1999. the Class E airspace areas at Aniak, AK, A, CLASS B, CLASS C, CLASS D, AND FOR FURTHER INFORMATION CONTACT: Bob and St. Mary’s, AK, was published in CLASS E AIRSPACE AREAS; Durand, Operations Branch, Federal the Federal Register (64 FR 41363). AIRWAYS; ROUTES; AND REPORTING Aviation Administration, 222 West 7th Interested parties were invited to POINTS Avenue, Box 14, Anchorage, AK 99513– participate in this rulemaking 7587; telephone number (907) 271– proceeding by submitting written 1. The authority citation for 14 CFR 5898; fax: (907) 271–2850; email: comments on the proposal to the FAA. part 71 continues to read as follows: [email protected]. Internet address: No public comments to the proposal Authority: 49 U.S.C. 106(g), 40103, 40113, http://www.alaska.faa.gov/at or at were received; thus, the rule is adopted 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– address http://162.58.28.41/at. as written. 1963 Comp., p. 389. SUPPLEMENTARY INFORMATION: The areas will be depicted on § 71.1 [Amended] aeronautical charts for pilot reference. History The coordinates for this airspace docket 2. The incorporation by reference in On March 16, 1999, the FAA initiated are based on North American Datum 83. 14 CFR 71.1 of Federal Aviation Airspace Study 99–AAL–022–NR, The Class E airspace areas designated as Administration Order 7400.9F, Airspace Proposal to Establish Surface Areas at surface areas are published in paragraph Designations and Reporting Points, Aniak and St. Mary’s Airports, at the 6002 of FAA Order 7400.9F, Airspace dated September 10, 1998, and effective request from Pen Air, Northern Air Designations and Reporting Points, September 16, 1998, is amended as Cargo, and Arctic Transportation dated September 10, 1998, and effective follows: Services to consider the establishment September 16, 1998, which is of additional controlled Class E Paragraph 6005 Class E airspace areas incorporated by reference in 14 CFR extending upward from 700 feet or more Airspace. These additional controlled 71.1 (63 FR 50139; September 21, 1998). above the surface of the earth Class E airspaces would provide surface The Class E airspace designations listed areas for aircraft flying IFR at the Aniak * * * * * in this document will be revised and and St. Mary’s airports. published subsequently in the Order. Mountain Village Airport [New] Concerns expressed included: (1) It is The Rule (Lat. 62°05′43′′ N., long. 163°40′55′′ W.) disconcerting to be on an IFR approach That airspace extending upward from 700 knowing that Visual Flight Rule (VFR) This amendment to 14 CFR part 71 feet above the surface within 6.3-mile radius aircraft may be in close proximity when establishes the Class E (surface area) of the Mountain Village Airport and that the transition is made from IFR to VFR airspace at Aniak, AK, and St. Mary’s, airspace extending upward from 1,200 feet for landing; (2) aircraft are not required AK, at the request of air taxi operators above the surface within 35 miles southeast to talk on the Common Traffic Advisory with flight operations at these airports. of the airport extending clockwise from the Frequency (CTAF); (3) aircraft on The area will be depicted on 139° radial to the 310° radial, excluding that instrument approach must mix with aeronautical charts for pilot reference. airspace within the St. Marys, AK, Class E VFR aircraft in weather conditions as The intended effect of this proposal is airspace area. low as ‘clear of clouds’ and ‘one-mile to provide additional controlled * * * * * flight visibility’; and (4) an aircraft on an airspace for IFR operations at Aniak, Issued in Anchorage, AK, on September 28, IFR approach could descend through AK, and St. Mary’s, AK. 1999. the clouds and find themselves on a The FAA has determined that these Willis C. Nelson, collision course with uncontrolled VFR proposed regulations only involve an Manager, Air Traffic Division, Alaskan traffic. established body of technical Region. Changes that will result for VFR pilots regulations for which frequent and [FR Doc. 99–25848 Filed 10–4–99; 8:45 am] with the establishment of these surface routine amendments are necessary to BILLING CODE 4910±13±P areas include: (1) A requirement to keep them operationally current. It,
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53893 therefore—(1) is not a ‘‘significant AAL E2 St. Mary’s, AK [New] Regulations (14 CFR part 71) to establish regulatory action’’ under Executive St. Mary’s Airport, AK the Class E airspace at Kalskag, AK, was Order 12866; (2) is not a ‘‘significant (Lat. 62°03′38′′ N., long. 163°18′08′′ W.) published in the Federal Register (64 rule’’ under DOT Regulatory Policies St. Mary’s NDB FR 41357). The proposal was necessary ° ′ ′′ ° ′ ′′ and Procedures (44 FR 11034; February (Lat. 62 03 30 N., long. 163 17 30 W.) due to the establishment of GPS 26, 1979); and (3) does not warrant Within a 4.1-mile radius of the St. Mary’s instrument approaches at Kalskag, AK. Airport and within 1.5 miles west of the 339° preparation of a regulatory evaluation as ° Interested parties were invited to the anticipated impact is so minimal. bearing and 1.5 miles east of the 001 bearing participate in this rulemaking from the St. Mary’s NDB, extending from the Since this is a routine matter that will 4.1 mile radius to 6.7 miles north of the proceeding by submitting written only affect air traffic procedures and air airport and within 1.5 miles west of the 197° comments on the proposal to the FAA. navigation, it is certified that this rule, bearing and 1.5 miles east of the 185° bearing No public comments to the proposal when promulgated, will not have a from the St. Mary’s NDB, extending from the were received. The airspace description, significant economic impact on a 4.1-mile radius to 6.7 miles south of the however, should read ‘‘excluding that substantial number of small entities airport. This Class E airspace area is effective airspace within the Aniak, AK, Class E under the criteria of the Regulatory during the specific dates and times area’’ not the St. Mary’s Class E area.’’ established in advance by a Notice to Flexibility Act. Airmen. The effective date and time will The Federal Aviation Administration has determined that this change is List of Subjects in 14 CFR Part 71 thereafter be continuously published in the Airport/Facility Directory. editorial in nature and will not increase Airspace, Incorporation by reference, * * * * * the scope of this rule. Except for the Navigation (air). Issued in Anchorage, AK, on September 28, non-substantive change just discussed, 1999. the rule is adopted as written. Adoption of the Amendment Willis C. Nelson, The area will be depicted on In consideration of the foregoing, the Manager, Air Traffic Division, Alaskan aeronautical charts for pilot reference. Federal Aviation Administration Region. The coordinates for this airspace docket amends 14 CFR part 71 as follows: [FR Doc. 99–25847 Filed 10–4–99; 8:45 am] are based on North American Datum 83. BILLING CODE 4910±13±P The Class E airspace areas designated as PART 71ÐDESIGNATION OF CLASS A, 700/1200 foot transition areas are CLASS B, CLASS C, CLASS D, AND published in paragraph 6005 of FAA CLASS E AIRSPACE AREAS; DEPARTMENT OF TRANSPORTATION Order 7400.9F, Airspace Designations AIRWAYS; ROUTES; AND REPORTING and Reporting Points, dated September POINTS Federal Aviation Administration 10, 1998, and effective September 16, 1998, which is incorporated by 14 CFR Part 71 1. The authority citation for 14 CFR reference in 14 CFR 71.1 (63 FR 50139; part 71 continues to read as follows: [Airspace Docket No. 99±AAL±14] September 21, 1998). The Class E airspace designations listed in this Authority: 49 U.S.C. 106(g), 40103, 40113, Establishment of Class E Airspace; 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– document will be revised and published 1963 Comp., p. 389. Kalskag, AK subsequently in the Order. § 71.1 [Amended] AGENCY: Federal Aviation The Rule Administration (FAA), DOT. 2. The incorporation by reference in ACTION: Final rule. This amendment to 14 CFR part 71 14 CFR 71.1 of Federal Aviation establishes the Class E airspace at Administration Order 7400.9F, Airspace SUMMARY: This action establishes Class Kalskag, AK, through the establishment Designations and Reporting Points, E airspace at Kalskag, AK. The of GPS instrument approaches. The area dated September 10, 1998, and effective establishment of Global Positioning will be depicted on aeronautical charts September 16, 1998, is amended as System (GPS) instrument approach for pilot reference. The intended effect follows: procedures at Kalskag Airport made this of this proposal is to provide adequate action necessary. The Kalskag Airport controlled airspace for IFR operations at Paragraph 6002 Class E airspace designated status changes from Visual Flight Rules Kalskag, AK. as surface areas (VFR) to Instrument Flight Rules (IFR). The FAA has determined that these * * * * * This rule provides adequate controlled proposed regulations only involve an AAL AK E2 Aniak, AK [New] airspace for aircraft flying IFR established body of technical Aniak Airport procedures at Kalskag, AK. regulations for which frequent and (Lat. 61°34′54′′ N., long. 159°32′35′′ W.) EFFECTIVE DATE: 0901 UTC, November 4, routine amendments are necessary to Aniak NDB 1999. keep them operationally current. It, (Lat. 61°35′25′′ N., long. 159°35′53′′ W.) FOR FURTHER INFORMATION CONTACT: Bob therefore—(1) is not a ‘‘significant Within a 4-mile radius of the Aniak Airport Durand, Operations Branch, Federal regulatory action’’ under Executive and within 1.5 miles each side of the 300° Aviation Administration, 222 West 7th Order 12866; (2) is not a ‘‘significant ° bearing and the 112 bearing from the Aniak Avenue, Box 14, Anchorage, AK 99513– rule’’ under DOT Regulatory Policies NDB, extending from the 4-mile radius to 6.5 7587; telephone number (907) 271– and Procedures (44 FR 11034; February miles and within 2.8 miles each side of the 26, 1979); and (3) does not warrant Aniak NDB 229° bearing, extending from the 5898; fax: (907) 271–2850; email: 4-mile radius to 6.5 miles southwest of the [email protected]. Internet address: preparation of a regulatory evaluation as airport. This Class E airspace area is effective http://www.alaska.faa.gov/at or at the anticipated impact is so minimal. during the specific dates and times address http://162.58.28.41/at. Since this is a routine matter that will established in advance by a Notice to SUPPLEMENTARY INFORMATION: only affect air traffic procedures and air Airmen. The effective date and time will navigation, it is certified that this rule, thereafter be continuously published in the History when promulgated, will not have a Airport/Facility Directory. On July 30, 1999, a proposal to amend significant economic impact on a * * * * * part 71 of the Federal Aviation substantial number of small entities
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.091 pfrm08 PsN: 05OCR1 53894 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations under the criteria of the Regulatory development of a Global Positioning adverse comments or objections. Unless Flexibility Act. System (GPS) Standard Instrument a written adverse or negative comment, Approach Procedure (SIAP), at List of Subjects in 14 CFR Part 71 or a written notice of intent to submit Georgetown Municipal Airport, an adverse or negative comment is Airspace, Incorporation by reference, Georgetown, TX, has made this rule received within the comment period, Navigation (air). necessary. This action is intended to the regulation will become effective on Adoption of the Amendment provide adequate controlled airspace the date specified above. After the close extending upward from 700 feet or more In consideration of the foregoing, the of the comment period, the FAA will above the surface for Instrument Flight Federal Aviation Administration publish a document in the Federal Rules (IFR) operations to Georgetown amends 14 CFR part 71 as follows: Register indicating that no adverse or Municipal Airport, Georgetown, TX. negative comments were received and PART 71ÐDESIGNATION OF CLASS A, DATES: Effective 0901 UTC, December confirming the date on which the final CLASS B, CLASS C, CLASS D, AND 30, 1999. Comments must be received rule will become effective. If the FAA CLASS E AIRSPACE AREAS; on or before November 19, 1999. does receive, within the comment AIRWAYS; ROUTES; AND REPORTING ADDRESSES: Send comments on the rule period, an adverse or negative comment, POINTS in triplicate to Manager, Airspace or written notice of intent to submit Branch, Air Traffic Division, Federal such a comment, a document 1. The authority citation for 14 CFR Aviation Administration, Southwest withdrawing the direct final rule will be part 71 continues to read as follows: Region, Docket No. 99–ASW–18, Fort published in the Federal Register, and Authority: 49 U.S.C. 106(g), 40103, 40113, Worth, TX 76193–0520. The official a notice of proposed rulemaking may be 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– docket may be examined in the Office published with a new comment period. 1963 Comp., p. 389. of the Regional Counsel, Southwest § 71.1 [Amended] Region, Federal Aviation 2. The incorporation by reference in Administration, 2601 Meacham Comments Invited 14 CFR 71.1 of Federal Aviation Boulevard, Room 663, Fort Worth, TX, Although this action is in the form of Administration Order 7400.9F, Airspace between 9:00 AM and 3:00 PM, Monday a final rule and was not preceded by a Designations and Reporting Points, through Friday, except Federal holidays. notice of proposed rulemaking, dated September 10, 1998, and effective An informal docket may also be comments are invited on this rule. September 16, 1998, is amended as examined during normal business hours Interested persons are invited to follows: at the Airspace Branch, Air Traffic Division, Federal Aviation comment on this rule by submitting Paragraph 6005 Class E airspace areas Administration, Southwest Region, such written data, views, or arguments extending upward from 700 feet or more Room 414, Fort Worth, TX. as they may desire. Communications above the surface of the earth. FOR FURTHER INFORMATION CONTACT: should identify the Rules Docket * * * * * Donald J. Day, Airspace Branch, Air number and be submitted in triplicate to AAL AK E5 Kalskag, AK [ New ] Traffic Division, Southwest Region, the address specified under the caption Kalskag Airport Federal Aviation Administration, Fort ADDRESSES. All communications (Lat. 61°32′11′′ N., long. 160°20′29′′ W.) Worth, TX 76193–0520, telephone 817– received on or before the closing date That airspace extending upward from 700 222–5593. for comments will be considered, and feet above the surface within 6.8-mile radius SUPPLEMENTARY INFORMATION: This this rule may be amended or withdrawn of the Kalskag Airport, excluding that amendment to 14 CFR part 71 revises in light of the comments received. airspace within Aniak, AK, Class E airspace the Class E airspace at Georgetown, TX. Factual information that supports the area. The development of a GPS SIAP, at commenter’s ideas and suggestions is * * * * * Georgetown Municipal Airport, extremely helpful in evaluating the Issued in Anchorage, AK, on September 28, Georgetown, TX, has made this rule effectiveness of this action and 1999. necessary. This action is intended to determining whether additional Willis C. Nelson, provide adequate controlled airspace rulemaking action is needed. Manager, Air Traffic Division, Alaskan extending upward from 700 feet or more Comments are specifically invited on Region. above the surface for Instrument Flight the overall regulatory, economic, [FR Doc. 99–25846 Filed 10–4–99; 8:45 am] Rules (IFR) operations to Georgetown environmental, and energy aspects of BILLING CODE 4910±13±P Municipal Airport, Georgetown, TX. the rule that might suggest a need to Class E airspace designations are modify the rule. All comments published in Paragraph 6005 of FAA submitted will be available, both before DEPARTMENT OF TRANSPORTATION Order 7400.9G, dated September 1, and after the closing date for comments, 1999, and effective September 16, 1999, Federal Aviation Administration in the Rules Docket for examination by which is incorporated by reference in 14 interested persons. A report that CFR § 71.1. The Class E airspace summarizes each FAA-public contact 14 CFR Part 71 designation listed in this document will [Airspace Docket No. 99±ASW±18] concerned with the substance of this be published subsequently in the order. action will be filed in the Rules Docket. Revision of Class E Airspace; The Direct Final Rule Procedure Commenters wishing the FAA to Georgetown, TX The FAA anticipates that this acknowledge receipt of their comments submitted in response to this rule must AGENCY: Federal Aviation regulation will not result in adverse or Administration (FAA), DOT. negative comment and therefore is submit a self-addressed, stamped issuing it as a direct final rule. A postcard on which the following ACTION: Direct final rule; request for statement is made: ‘‘Comments to comments. substantial number of previous opportunities provided to the public to Docket No. 99–ASW–18.’’ The postcard SUMMARY: This amendment revises the comment on substantially identical will be date stamped and returned to the Class E airspace at Georgetown, TX. The actions have resulted in negligible commenter.
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Agency Findings Paragraph 6005 Class E airspace areas Region, Federal Aviation extending upward from 700 feet or more Administration, 2601 Meacham The regulations adopted herein will above the surface of the earth. Boulevard, Room 663, Fort Worth, TX, not have substantial direct effects on the * * * * * between 9:00 AM and 3:00 PM, Monday States, on the relationship between the through Friday, except Federal holidays. national government and the States, or ASW TX E5 Georgetown, TX [Revised] An informal docket may also be on the distribution of power and Georgetown Municipal Airport, Georgetown, examined during normal business hours responsibilities among the various level TX at the Airspace Branch, Air Traffic of government. Therefore, in accordance (Lat. 30°40′46′′ N., long. 97°40′46′′ W.) Division, Federal Aviation with Executive Order 12612, it is Georgetown NDB ° ′ ′′ ° ′ ′′ Administration, Southwest Region, determined that this final rule does not (Lat. 30 41 04 N., long. 97 40 48 W.) Room 414, Fort Worth TX. have sufficient federalism implications That airspace extending upward from 700 to warrant the preparation of a feet above the surface within a 6.5-mile FOR FURTHER INFORMATION CONTACT: radius of Georgetown Municipal Airport and Federalism Assessment. Donald J. Day, Airspace Branch, Air within 2.5 miles each side of the 359° bearing Traffic Division, Southwest Region, Further, the FAA has determined that from the Georgetown NDB extending from Federal Aviation Administration, Fort this regulation is noncontroversial and the 6.5-mile radius to 7.4 miles north of the Worth, TX 76193–0520, telephone 817– unlikely to result in adverse or negative airport and within 2.2 miles each side of the 222–5593. comments and only involves an 301° bearing from the airport extending from established body of technical the 6.5-mile radius to 9.7 miles northwest of SUPPLEMENTARY INFORMATION: This regulations that require frequent and the airport. amendment to 14 CFR part 71 revises routine amendments to keep them * * * * * the Class E airspace at Mineral Wells, operationally current. Therefore, I Issued in Fort Worth, TX on September 14, TX. The development of a NDB SIAP, at certify that this regulation (1) is not a 1999. Mineral Wells Airport, Mineral Wells, ‘‘significant regulatory action’’ under Robert N. Stevens, TX, has made this rule necessary. This Executive Order 12866; (2) is not a Acting Manager, Air Traffic Division, action is intended to provide adequate ‘‘significant rule’’ under DOT Southwest Region. controlled airspace extending upward Regulatory Policies and Procedures (44 [FR Doc. 99–25861 Filed 10–4–99; 8:45 am] from 700 feet or more above the surface FR 11034; February 26, 1979); and (3) if BILLING CODE 4910±13±M for Instrument Flight Rules (IFR) promulgated, will not have a significant operations to Mineral Wells Airport, economic impact, positive or negative, Mineral Wells, TX. on a substantial number of small entities DEPARTMENT OF TRANSPORTATION Class E airspace designations are under the criteria of the Regulatory published in Paragraph 6005 of FAA Federal Aviation Administration Flexibility Act. Since this rule involves Order 7400.9G, dated September 1, 1999, and effective September 16, 1999, routine matters that will only affect air 14 CFR part 71 traffic procedures and air navigation, it which is incorporated by reference in 14 does not warrant preparation of a [Airspace Docket No. 99±ASW±20] CFR § 71.1. The Class E airspace Regulatory Flexibility Analysis because designation listed in this document will the anticipated impact is so minimal. Revision of Class E Airspace; Mineral be published subsequently in the order. Wells, TX. List of Subjects in 14 CFR Part 71 The Direct Final Rule Procedure AGENCY: Federal Aviation The FAA anticipates that this Airspace, Incorporation by reference, Administration (FAA), DOT. regulation will not result in adverse or Navigation (air). ACTION: Direct final rule; request for negative comment and therefore is Adoption of the Amendment comments. issuing it as a direct final rule. A substantial number of previous Accordingly, pursuant to the SUMMARY: This amendment revises the opportunities provided to the public to authority delegated to me, the Federal Class E airspace at Mineral Wells, TX. comment on substantially identical Aviation Administration amends 14 The development of a Nondirectional actions have resulted in negligible CFR part 71 as follows: Radio Beacon (NDB) Standard adverse comments or objections. Unless Instrument Approach Procedure (SIAP), PART 71ÐDESIGNATION OF CLASS A, a written adverse or negative comment, at Mineral Wells Airport, Mineral Wells, or a written notice of intent to submit CLASS B, CLASS C, CLASS D, AND TX, has made this rule necessary. This CLASS E AIRSPACE AREAS; an adverse or negative comment is action is intended to provide adequate received within the comment period, AIRWAYS; ROUTES; AND REPORTING controlled airspace extending upward POINTS the regulation will become effective on from 700 feet or more above the surface the date specified above. After the close 1. The authority citation for 14 CFR for Instrument Flight Rules (IFR) of the comment period, the FAA will part 71 continues to read as follows: operations to Mineral Wells Airport, publish a document in the Federal Mineral Wells, TX. Authority: 49 U.S.C. 106(g), 40103, 40113, Register indicating that no adverse or DATES: 40120; E.O. 10854; 24 FR 9565, 3 CFR 1959– Effective 0901 UTC, December negative comments were received and 1963 Comp., p. 389. 30, 1999. Comments must be received confirming the date on which the final on or before November 19, 1999. rule will become effective. If the FAA § 71.1 [Amended] ADDRESSES: Send comments on the rule does receive, within the comment 2. The incorporation by reference in in triplicate to Manager, Airspace period, an adverse or negative comment, 14 CFR 71.1 of the Federal Aviation Branch, Air Traffic Division, Federal or written notice of intent to submit Administration Order 7400.9G, Aviation Administration, Southwest such a comment, a document Airspace Designations and Reporting Region, Docket No. 99–ASW–20, Fort withdrawing the direct final rule will be Points, dated September 1, 1999, and Worth, TX 76193–0520. The official published in the Federal Register, and effective September 16, 1999, is docket may be examined in the Office a notice of proposed rulemaking may be amended as follows: of the Regional Counsel, Southwest published with a new comment period.
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Comments Invited certify that this regulation (1) is not a Issued in Forth Worth, TX, on September 14, 1999. Although this action is in the form of ‘‘significant regulatory action’’ under Robert N. Stevens, a final rule and was not preceded by a Executive Order 12866; (2) is not a notice of proposed rulemaking, ‘‘significant rule’’ under DOT Acting Manager, Air Traffic Division, Southwest Region. comments are invited on this rule. Regulatory Policies and Procedures (44 Interested persons are invited to FR 11034; February 26, 1979); and (3) if [FR Doc. 99–25859 Filed 10–4–99; 8:45 am] comment on this rule by submitting promulgated, will not have a significant BILLING CODE 4910±13±M such written data, views, or arguments economic impact, positive or negative, on a substantial number of small entities as they may desire. Communications DEPARTMENT OF TRANSPORTATION should identify the Rules Docket under the criteria of the Regulatory Flexibility Act. Since this rule involves number and be submitted in triplicate to Federal Aviation Administration the address specified under the caption routine matters that will only affect air ADDRESSES. All communications traffic procedures and air navigation, it 14 CFR part 71 does not warrant preparation of a received on or before the closing date [Airspace Docket No. 99±ASW±23] for comments will be considered, and Regulatory Flexibility Analysis because the anticipated impact is so minimal. this rule may be amended or withdrawn Revision of Class E Airspace; Alice, TX in light of the comments received. List of Subjects in 14 CFR Part 71 Factual information that supports the AGENCY: Aviation Administration commenter’s ideas and suggestions is Airspace, Incorporation by reference, (FAA), DOT. extremely helpful in evaluating the Navigation (air). ACTION: Direct final rule; request for effectiveness of this action and Adoption of the Amendment comments. determining whether additional Accordingly, pursuant to the SUMMARY: This amendment revises the rulemaking action is needed. authority delegated to me, the Federal Class E airspace at Alice, TX. The Comments are specifically invited on Aviation Administration amends 14 development of a Nondirectional Radio the overall regulatory, economic, CFR part 71 as follows: Beacon (NDB) Standard Instrument environmental, and energy aspects of Approach Procedure (SIAP), at Kleberg the rule that might suggest a need to PART 71ÐDESIGNATION OF CLASS A, County Airport, Kingsville, TX, has modify the rule. All comments CLASS B, CLASS C, CLASS D, AND made this rule necessary. This action is submitted will be available, both before CLASS E AIRSPACE AREAS; intended to provide adequate controlled and after the closing date for comments, AIRWAYS; ROUTES; AND REPORTING airspace extending upward from 700 in the Rules Docket for examination by POINTS feet or more above the surface for interested persons. A report that Instrument Flight Rules (IFR) operations 1. The authority citation for 14 CFR summarizes each FAA-public contact to Kleberg County Airport, Kingsville, part 71 continues to read as follows: concerned with the substance of this TX. action will be filed in the Rules Docket. Authority: 49 U.S.C. 106(g), 40103, 40113, DATES: Commenters wishing the FAA to Effective 0901 UTC, December 40120; E.O. 10854; 24 FR 9565, 3 CFR, 1959– 30, 1999. Comments must be received acknowledge receipt of their comments 1963 Comp., p. 389. submitted in response to this rule must on or before November 19, 1999. submit a self-addressed, stamped § 71.1 [Amended] ADDRESSES: Send comments on the rule postcard on which the following 2. The incorporation by reference in in triplicate to Manager, Airspace statement is made: ‘‘Comments to 14 CFR 71.1 of the Federal Aviation Branch, Air Traffic Division, Federal Docket No. 99–ASW–20.’’ The postcard Administration Order 7400.9G, Aviation Administration, Southwest will be date stamped and returned to the Airspace Designations and Reporting Region, Docket No. 99–ASW–23, Fort commenter. Points, dated September 1, 1999 and Worth, TX 76193–0520. effective September 16, 1999, is The official docket may be examined Agency Findings amended as follows: in the Office of the Regional Counsel, The regulations adopted herein will Southwest Region, Federal Aviation Paragraph 6005 Class E airspace areas not have substantial direct effects on the Administration, 2601 Meacham extending upward from 700 feet or more Boulevard, Room 663, Fort Worth, TX, States, on the relationship between the above the surface of the earth. national government and the States, or between 9:00 AM and 3:00 PM, Monday * * * * * on the distribution between the national through Friday, except Federal holidays. government and the States, or on the ASW TX ES Mineral Wells, TX [Revised] An informal docket may also be distribution of power and Mineral Wells Airport, TX examined during normal business hours responsibilities among the various level (Lat. 32°46′56′′ N., long. 98°03′40′′ W.) at the Airspace Branch, Air Traffic of government. Therefore, in accordance Mineral Wells NDB Division, Federal Aviation with Executive Order 12612, it is (Lat. 32°47′07′′ N., long. 98°03′26′′ W.) Administration, Southwest Region, Millsap VORTAC Room 414, Fort Worth, TX. determined that this final rule does not ° ′ ′′ ° ′ ′′ have sufficient federalism implications (Lat. 32 43 57 N., long. 98 00 00 W.) FOR FURTHER INFORMATION CONTACT: to warrant the preparation of a That airspace extending upward from 700 Donald J. Day, Airspace Branch, Air Federalism Assessment. feet above the surface within a 6.5-mile Traffic Division, Southwest Region, radius of Mineral Wells Airport and within Federal Aviation Administration, Fort Further, the FAA has determined that 2.5 miles each side of the 145° bearing from this regulation is noncontroversial and the Mineral Wells NDB extending from the Worth, TX 76193–0520, telephone 817– unlikely to result in adverse or negative 6.5-mile radius to 7.5 miles southeast for the 232–5593. comments and only involves an airport and within 2.5 miles each side of the SUPPLEMENTARY INFORMATION: This established body of technical 138° radial of the Millsap VORTAC amendment to 14 CFR part 71 revises regulations that require frequent and extending from the 6.5-mile radius to 11.7 the Class E airspace at Alice, TX. The routine amendments to keep them miles southeast of the airport. development of a NDB SIAP, at Kleberg operationally current. Therefore, I * * * * * County Airport, Kingsville, TX, has
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53897 made this rule necessary. This action is determining whether additional Aviation Administration amends 14 intended to provide adequate controlled rulemaking action is needed. CFR part 71 as follows: airspace extending upward from 700 Comments are specifically invited on feet or more above the surface for the overall regulatory, economic, PART 71ÐDESIGNATION OF CLASS A, Instrument Flight Rules (IFR) operations environmental, and energy aspects of CLASS B, CLASS C, CLASS D, AND to Kleberg County Airport, Kingsville, the rule that might suggest a need to CLASS E AIRSPACE AREAS; TX. modify the rule. All comments AIRWAYS; ROUTES; AND REPORTING Class E airspace designations are submitted will be available, both before POINTS published in Paragraph 6005 of FAA and after the closing date for comments, 1. The authority citation for 14 CFR Order 7400.9G, dated September 1, in the Rules Docket for examination by part 71 continues to read as follows: 1999, and effective September 16, 1999, interested persons. A report that Authority: 49 U.S.C. 106(g), 40103, 40113, which is incorporated by reference in 14 summarizes each FAA-public contact concerned with the substance of this 40120; E.O. 10854; 24 FR 9565, 3 CFR, 1959– CFR § 71.1. The Class E airspace 1963 Comp., p. 389. designation listed in this document will action will be filed in the Rules Docket. be published subsequently in the order. Commenters wishing the FAA to § 71.1 [Amended] acknowledge receipt of their comments 2. The incorporation by reference in The Direct Final Rule Procedure submitted in response to this rule must 14 CFR 71.1 of the Federal Aviation The FAA anticipates that this submit a self-addressed, stamped Administration Order 7400.96, Airspace regulation will not result in adverse or postcard on which the following Designations and Reporting Points, negative comment and therefore is statement is made: ‘‘Comments to dated September 1, 1999, and effective issuing it as a direct final rule. A Docket No. 99–ASW–23.’’ The postcard September 16, 1999, is amended as substantial number of previous will be date stamped and returned to the follows: commenter. opportunities provided to the public to Paragraph 6005 Class E airspace areas comment on substantially identical Agency Findings extending upward from 700 feet or more actions have resulted in negligible The regulations adopted herein will above the surface of the earth. adverse comments or objections. Unless not have substantial direct effects on the * * * * * a written adverse or negative comment, States, on the relationship between the or a written notice of intent to submit ASW TX E5 Alice, TX [Revised] national government and the States, or an adverse or negative comment is Alice International Airport, TX on the distribution of power and received within the comment period, (Lat. 27°44′27′′ N., long. 98°01′38′′ W.) responsibilities among the various the regulation will become effective on Orange Grove NALF, TX levels of government. Therefore, in ° ′ ′′ ° ′ ′′ the date specified above. After the close (Lat. 27 54 04 N., long. 98 03 06 W.) accordance with Executive Order 12612, of the comment period, the FAA will Navy Orange Grove TACAN it is determined that this final rule does (Lat. 27°53′43′′ N., long. 98°02′33′′ W.) publish a document in the Federal not have sufficient federalism Kingsville, Kleberg County Airport, TX Register indicating that no adverse or implications to warrant the preparation (Lat. 27°33′03′′ N., long. 98°01′51′′ W.) negative comments were received and Agua Dulce, Old Hoppe Place Airport, TX of a Federalism Assessment. ° ′ ′′ ° ′ ′′ confirming the date on which the final Further, the FAA has determined that (Lat. 27 48 01 N., long. 97 51 04 W.) rule will become effective. If the FAA this regulation is noncontroversial and Kleberg County NDB (Lat. 27°36′21′′ N., long. 98°05′23′′ W.) does receive, within the comment unlikely to result in adverse or negative period, an adverse or negative comment, comments and only involves an That airspace extending upward from 700 feet above the surface within a 7.5-mile or written notice of intent to submit established body of technical such a comment, a document radius of Alice International Airport and regulations that require frequent and within 2 miles each side of the 135° bearing withdrawing the direct final rule will be routine amendments to keep them published in the Federal Register, and from the airport extending from the 7.5-mile operationally current. Therefore, I radius to 9.8 miles southeast of the airport a notice of proposed rulemaking may be certify that this regulation (1) is not a and within a 7.2-mile radius of Orange Grove published with a new comment period. ‘‘significant regulatory action’’ under NALF and within 1.6 miles each side of the ° Comments Invited Executive Order 12866; (2) is not a 129 radial of the Navy Orange Grove ‘‘significant rule’’ under DOT TACAN extending from the 7.2-mile radius Although this action is in the form of Regulatory Policies and Procedures (44 to 11.7 miles southeast of the airport and a final rule and was not preceded by a within 1.5 miles each side of the 320° radial FR 11034; February 26, 1979); and (3) if of the Navy Orange Grove TACAN extending notice of proposed rulemaking, promulgated, will not have a significant comments are invited on this rule. from the 7.2-mile radius to 9.7 miles economic impact, positive or negative, northwest of the airport and within a 6.5- Interested persons are invited to on a substantial number of small entities mile radius of Kleberg County Airport and comment on this rule by submitting under the criteria of the Regulatory within 4 miles east and 8 miles west of the such written data, views, or arguments Flexibility Act. Since this rule involves 306° bearing extending from the Kleberg as they may desire. Communications routine matters that will only affect air County NDB to 14.4 miles northwest of the should identify the Rules Docket traffic procedures and air navigation, it airport and within a 6.3-mile radius of Old number and be submitted in triplicate to does not warrant preparation of a Hoppe Place Airport excluding that airspace the address specified under the caption within the Corpus Christi, TX, Class E Regulatory Flexibility Analysis because airspace area. ADDRESSES. All communications the anticipated impact is so minimal. received on or before the closing date * * * * * for comments will be considered, and List of Subjects in 14 CFR part 71 Issued in Forth Worth, TX, on September 14, 1999. this rule may be amended or withdrawn Airspace, Incorporation by reference, in light of the comments received. Navigation (air). Robert N. Stevens, Factual information that supports the Acting Manager, Air Traffic Division, commenter’s ideas and suggestions is Adoption of the Amendment Southwest Region. extremely helpful in evaluating the Accordingly, pursuant to the [FR Doc. 99–25858 Filed 10–4–99; 8:45 am] effectiveness of this action and authority delegated to me, the Federal BILLING CODE 4910±13±M
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DEPARTMENT OF TRANSPORTATION Class E airspace designations are and after the closing date for comments, published in Paragraph 6005 of FAA in the Rules Docket for examination by Federal Aviation Administration Order 7400.9G, dated September 1, interested persons. A report that 1999, and effective September 16, 1999, summarizes each FAA-public contact 14 CFR Part 71 which is incorporated by reference in 14 concerned with the substance of this [Airspace Docket No. 99±ASW±21] CFR § 71.1. The Class E airspace action will be filed in the Rules Docket. designation listed in this document will Revision of Class E Airspace; be published subsequently in the order. Commenters wishing the FAA to Falfurrias, TX acknowledge receipt of their comments The Direct Final Rule Procedure submitted in response to this rule must AGENCY: Federal Aviation The FAA anticipates that this submit a self-addressed, stamped Administration (FAA), DOT. regulation will not result in adverse or postcard on which the following ACTION: Direct final rule; request for negative comment and therefore is statement is made: ‘‘Comments to comments. issuing it as a direct final rule. A Docket No. 99–ASW–21.’’ The postcard substantial number of previous will be date stamped and returned to the SUMMARY: This amendment revises the opportunities provided to the public to commenter. Class E airspace at Falfurrias, TX. The comment on substantially identical development of a Nondirectional Radio actions have resulted in negligible Agency Findings Beacon (NDB) Standard Instrument adverse comments or objections. Unless The regulations adopted herein will Approach Procedure (SIAP), at Brooks a written adverse or negative comment, County Airport, Falfurrias, TX, has or a written notice of intent to submit not have substantial direct effects on the made this rule necessary. This action is an adverse or negative comment is States, on the relationship between the intended to provide adequate controlled received within the comment period, national government and the States, or airspace extending upward from 700 the regulation will become effective on on the distribution of power and feet or more above the surface for the date specified above. After the close responsibilities among the various level Instrument Flight Rules (IFR) operations of the comment period, the FAA will of government. Therefore, in accordance to Brooks County Airport, Falfurrias, publish a document in the Federal with Executive Order 12612, it is TX. Register indicating that no adverse or determined that this final rule does not DATES: Effective 0901 UTC, December negative comments were received and have sufficient federalism implications 30, 1999. Comments must be received confirming the date on which the final to warrant the preparation of a on or before November 19, 1999. rule will become effective. If the FAA Federalism Assessment. ADDRESSES: Send comments on the rule does receive, within the comment Further, the FAA has determined that in triplicate to Manager, Airspace period, an adverse or negative comment, this regulation is noncontroversial and or written notice of intent to submit Branch, Air Traffic Division, Federal unlikely to result in adverse or negative such a comment, a document Aviation Administration, Southwest comments and only involves an Region, Docket No. 99–ASW–21, Fort withdrawing the direct final rule will be published in the Federal Register, and established body of technical Worth, TX 76193–0520. The official regulations that require frequent and docket may be examined in the Office a notice of proposed rulemaking may be published with a new comment period. routine amendments to keep them of the Regional Counsel, Southwest operationally current. Therefore, I Region, Federal Aviation Comments Invited certify that this regulation (1) is not a Administration, 2601 Meacham Although this action is in the form of ‘‘significant regulatory action’’ under Boulevard, Room 663, Fort Worth, TX, a final rule and was not preceded by a Executive Order 12866; (2) is not a between 9:00 AM and 3:00 PM, Monday notice of proposed rulemaking, ‘‘significant rule’’ under DOT through Friday, except Federal holidays. comments are invited on this rule. An informal docket may also be Regulatory Policies and Procedures (44 Interested persons are invited to examined during normal business hours FR 11034; February 26, 1979); and (3) if comment on this rule by submitting at the Airspace Branch, Air Traffic promulgated, will not have a significant such written data, views, or arguments Division, Federal Aviation economic impact, positive or negative, as they may desire. Communications Administration, Southwest Region, on a substantial number of small entities should identify the Rules Docket Room 414, Fort Worth, TX. under the criteria of the Regulatory number and be submitted in triplicate to FOR FURTHER INFORMATION CONTACT: Flexibility Act. Since this rule involves the address specified under the caption routine matters that will only affect air Donald J. Day, Airspace Branch, Air ADDRESSES. All communications traffic procedures and air navigation, it Traffic Division, Southwest Region, received on or before the closing date does not warrant preparation of a Federal Aviation Administration, Fort for comments will be considered, and Regulatory Flexibility Analysis because Worth, TX 76193–0520, telephone 817– this rule may be amended or withdrawn the anticipated impact is so minimal. 222–5593. in light of the comments received. SUPPLEMENTARY INFORMATION: This Factual information that supports the List of Subjects in 14 CFR Part 71 amendment to 14 CFR part 71 revises commenter’s ideas and suggestions is the Class E airspace at Falfurrias, TX. extremely helpful in evaluating the Airspace, Incorporation by reference, The development of a NDB SIAP, at effectiveness of this action and Navigation (air). Brooks County Airport, Falfurrias, TX, determining whether additional Adoption of the Amendment has made this rule necessary. This rulemaking action is needed. action is intended to provide adequate Comments are specifically invited on Accordingly, pursuant to the controlled airspace extending upward the overall regulatory, economic, authority delegated to me, the Federal from 700 feet or more above the surface environmental, and energy aspects of Aviation Administration amends 14 for Instrument Flight Rules (IFR) the rule that might suggest a need to CFR part 71 as follows: operations to Brooks County Airport, modify the rule. All comments Falfurrias, TX. submitted will be available, both before
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PART 71ÐDESIGNATION OF CLASS A, provide adequate controlled airspace an adverse or negative comment is CLASS B, CLASS C, CLASS D, AND extending upward from 700 feet or more received within the comment period, CLASS E AIRSPACE AREAS; above the surface for Instrument Flight the regulation will become effective on AIRWAYS; ROUTES; AND REPORTING Rules (IFR) operations to Corpus Christi the date specified above. After the close POINTS International Airport, Corpus Christi, of the comment period, the FAA will TX. publish a document in the Federal 1. The authority citation for 14 CFR DATES: Effective 0901 UTC, December Register indicating that no adverse or part 71 continues to read as follows: 30, 1999. Comments must be received negative comments were received and Authority: 49 U.S.C. 106(g), 40103, 40113, on or before November 19, 1999. confirming the date on which the final 40120; E.O. 10854; 24 FR 9565, 3 CFR, 1959– ADDRESSES: Send comments on the rule rule will become effective. If the FAA 1963 Comp., p. 389. in triplicate to Manager, Airspace does receive, within the comment period, an adverse or negative comment, § 71.1 [Amended] Branch, Air Traffic Division, Federal Aviation Administration, Southwest or written notice of intent to submit 2. The incorporation by reference in such a comment, a document 14 CFR 71.1 of the Federal Aviation Region, Docket No. 99–ASW–22, Fort Worth, TX 76193–0520. The official withdrawing the direct final rule will be Administration Order 7400.9G, published in the Federal Register, and Airspace Designations and Reporting docket may be examined in the Office of the Regional Counsel, Southwest a notice of proposed rulemaking may be Points, dated September 1, 1999, and published with a new comment period. effective September 16, 1999, is Region, Federal Aviation amended as follows: Administration, 2601 Meacham Comments Invited Boulevard, Room 663, Fort Worth, TX, Paragraph 6005 Class E airspace areas Although this action is in the form of between 9:00 AM and 3:00 PM, Monday a final rule and was not preceded by a extending upward from 700 feet or more through Friday, except Federal holidays. above the surface of the earth. notice of proposed rulemaking, An informal docket may also be * * * * * comments are invited on this rule. examined during normal business hours Interested persons are invited to ASW TX ES Falfurrias, TX [Revised] at the Airspace Branch, Air Traffic comment on this rule by submitting Falfurrias, Brooks County Airport, TX Division, Federal Aviation such written data, views, or arguments (Lat. 27°12′25′′N., long. 98°07′16′′W.) Administration, Southwest Region, as they may desire. Communications Brooks County NDB Room 414, Fort Worth, TX. should identify the Rules Docket ° ′ ′′ ° ′ ′′ (Lat. 27 12 25 N., long. 98 07 18 W.) FOR FURTHER INFORMATION CONTACT: number and be submitted in triplicate to That airspace extending upward from 700 Donald J. Day, Airspace Branch, Air the address specified under the caption feet above the surface within a 6.7-mile Traffic Division, Southwest Region, ADDRESSES. All communications radius of Brooks County Airport and within Federal Aviation Administration, Fort received on or before the closing date 2.5 miles each side of the 177° bearing from Worth, TX 76193–0520, telephone 817– for comments will be considered, and the Brooks County NDB extending from the 222–5593. 6.7-mile radius to 7 miles south of the this rule may be amended or withdrawn airport. SUPPLEMENTARY INFORMATION: This in light of the comments received. amendment to 14 CFR part 71 revises * * * * * Factual information that supports the Issued in Fort Worth, TX, on September 14, the Class E airspace at Corpus Christi, commenter’s ideas and suggestions is 1999. TX. The development of a NDB SIAP, at extremely helpful in evaluating the Robert N. Stevens, Corpus Christi International Airport, effectiveness of this action and Corpus Christi, TX, has made this rule Acting Manager, Air Traffic Division, determining whether additional Southwest Region. necessary. This action is intended to rulemaking action is needed. provide adequate controlled airspace Comments are specifically invited on [FR Doc. 99–25857 Filed 10–4–99; 8:45 am] extending upward from 700 feet or more the overall regulatory, economic, BILLING CODE 4910±13±M above the surface for Instrument Flight environmental, and energy aspects of Rules (IFR) operations to Corpus Christi the rule that might suggest a need to DEPARTMENT OF TRANSPORTATION International Airport, Corpus Christi, modify the rule. All comments TX. submitted will be available, both before Federal Aviation Administration Class E airspace designations are and after the closing date for comments, published in Paragraph 6005 of FAA in the Rules Docket for examination by 14 CFR Part 71 Order 7400.96, dated September 1, interested persons. A report that 1999, and effective September 16, 1999, [Airspace Docket No. 99±ASW±22] summarizes each FAA-public contact which is incorporated by reference in 14 concerned with the substance of this Revision of Class E Airspace; Corpus CFR § 71.1. The Class E airspace action will be filed in the Rules Docket. Christi, TX designation listed in this document will Commenters wishing the FAA to be published subsequently in the order. acknowledge receipt of their comments AGENCY: Federal Aviation submitted in response to this rule must The Direct Final Rule Procedure Administration (FAA), DOT. submit a self-addressed, stamped ACTION: Direct final rule; request for The FAA anticipates that this postcard on which the following comments. regulation will not result in adverse or statement is made: ‘‘Comments to negative comment and therefore is Docket No. 99–ASW–22.’’ The postcard SUMMARY: This amendment revises the issuing it as a direct final rule. A will be date stamped and returned to the Class E airspace at Corpus Christi, TX. substantial number of previous commenter. The development of a Nondirectional opportunities provided to the public to Radio Beacon (NDB) Standard comment on substantially identical Agency Findings Instrument Approach Procedure (SIAP), actions have resulted in negligible The regulations adopted herein will at Corpus Christi International Airport, adverse comments or objections. Unless not have substantial direct effects on the Corpus Christi, TX, has made this rule a written adverse or negative comment, States, on the relationship between the necessary. This action is intended to or a written notice of intent to submit national government and the States, or
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.080 pfrm08 PsN: 05OCR1 53900 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations on the distribution of power and (Lat. 27°46′13′′N., long. 97°30′04′′W.) Compliance Dates: responsibilities among the various level Corpus Christi NAS, TX (Lat. 27°41′35′′N., long. 97°17′29′′W.) Registrants must comply with the of government. Therefore, in accordance revisions to Form 20–F for annual or with Executive Order 12612, it is Nueces County Airport, TX (Lat. 27°46′43′′N., long. 97°41′26′′W.) transition reports on that form that are determined that this final rule does not Corpus Christi VORTAC, TX filed with respect to fiscal years ending have sufficient federalism implications (Lat. 26°54′14′′N., long. 97°26′42′′W.) on or after September 30, 2000. to warrant the preparation of a That airspace extending upward from 700 Federalism Assessment. Registrants eligible to incorporate feet above the surface within a 7.5-mile information from a Form 20–F annual Further, the FAA has determined that radius of Corpus Christi International Airport this regulation is noncontroversial and and within 1.4 miles each side of the 200° report must comply with the revisions unlikely to result in adverse or negative radial of the Corpus Christi VORTAX to Forms F–2 and F–3 and to Form F– comments and only involves an extending from the 7.5-mile radius to 8.5 4 for registration statements and post- established body of technical miles north of the airport and within 1.5 effective amendments on those forms regulations that require frequent and miles each side of the 316° bearing from the filed for the first time after the registrant routine amendments to keep them airport extending from the 7.5-mile radius to is required to file its first annual report operationally current. Therefore, I 10.1 miles northwest of the airport and on amended Form 20–F. certify that this regulation (1) is not a within an 8.8-mile radius of Corpus Christi NAS and within a 6.2-mile radius of Nueces A registrant voluntarily may comply ‘‘significant regulatory action’’ under County Airport. with any of the revised forms any time Executive Order 12866; (2) is not a after September 30, 2000, but prior to ‘‘significant rule’’ under DOT * * * * * Issued in Fort Worth, TX, on September 14, the compliance date for that form. Regulatory Policies and Procedures (44 1999. FR 11034; February 26, 1979); and (3) if FOR FURTHER INFORMATION CONTACT: Robert N. Stevens, promulgated, will not have a significant Sandra Folsom Kinsey, Senior economic impact, positive or negative, Acting Manager, Air Traffic Division, International Counsel, or Rani Doyle, on a substantial number of small entities Southwest Region. Special Counsel, in the Office of under the criteria of the Regulatory [FR Doc. 99–25856 Filed 10–4–99; 8:45 am] International Corporate Finance, Flexibility Act. Since this rule involves BILLING CODE 4910±13±M Division of Corporation Finance at (202) routine matters that will only affect air 942–2990. traffic procedures and air navigation, it SECURITIES AND EXCHANGE SUPPLEMENTARY INFORMATION: We are does not warrant preparation of a 1 Regulatory Flexibility Analysis because COMMISSION adopting amendments to Form 20–F the anticipated impact is so minimal. under the Securities Exchange Act of 17 CFR Parts 210, 228, 229, 230, 239, 1934.2 As part of those amendments, we List of Subjects in 14 CFR Part 71 240, 249 and 260 are deleting Rule 3–19 under Regulation Airspace, Incorporation by reference, S–X.3 We are adopting amendments to [Release Nos. 33±7745; 34±41936; 4 Navigation (air). International Series Release No. 1205; File Rule 3–20 under Regulation S–X, Items No. S7±3±99] 402, 404, 512, and 601 of Regulation S– Adoption of the Amendment K,5 Rules 175, 434 and 463 of Accordingly, pursuant to the RIN 3235±AH62 Regulation C,6 Forms F–1, F–2, F–3, F– authority delegated to me, the Federal 7 International Disclosure Standards 4, F–6 and S–11 under the Securities Aviation Administration amends 14 Act of 1933,8 Exchange Act Rules 3b–6, CFR part 71 as follows: AGENCY: Securities and Exchange 13a–10 and 15d–10,9 and Rule 0–11 Commission. under the Trust Indenture Act of 1939 10 PART 71ÐDESIGNATION OF CLASS A, ACTION: Final rule. to conform references to the items in CLASS B, CLASS C, CLASS D, AND Form 20–F that are being revised in CLASS E AIRSPACE AREAS; SUMMARY: The Securities and Exchange connection with the amendments to AIRWAYS; ROUTES, AND REPORTING Commission is adopting revised Form 20–F. We are adopting POINTS disclosure requirements for foreign amendments to Rules 3–01, 3–02 and 3– private issuers to conform to the 1. The authority citation for 14 CFR 12 under Regulation S–X 11 and to Item international disclosure standards part 71 continues to read as follows: 310 of Regulation S–B 12 to eliminate endorsed by the International Authority: 49 U.S.C. 106(g), 40103, 40113, references to Rule 3–19. We also are Organization of Securities Commissions revising the definition of foreign private 40120, E.O. 10854; 24 FR 9565, 3 CFR, 1959– in September 1998. The international 1063 Comp., p. 389. disclosure standards will replace most 1 17 CFR 249.220f (‘‘Form 20–F’’). § 71.1 [Amended] of the non-financial statement 2 15 U.S.C. § 78a et seq. (the ‘‘Exchange Act’’). 2. The incorporation by reference in disclosure requirements of Form 20–F, 3 17 CFR 210.3–19. 14 CFR 71.1 of the Federal Aviation the basic disclosure document for 4 17 CFR 210.3–20. Administration Order 7400.9G, foreign private issuers. We are revising 5 17 CFR 229.402, 17 CFR 229.404, 17 CFR the registration statements used by 229.512 and 17 CFR 229.601. Airspace Designations and Reporting 6 Points, dated September 1, 1999, and foreign private issuers under the 17 CFR 230.175, 17 CFR 230.434 and 17 CFR Securities Act of 1933 to reflect the 230.463. effective September 16, 1999, is 7 See 17 CFR 239.31, 17 CFR 239.32, 17 CFR amended as follows: changes in Form 20–F. We also are 239.33, 17 CFR 239.34, 17 CFR 239.36 and 17 CFR revising the definition of ‘‘foreign 239.18. Paragraph 6005: Class E airspace areas private issuer’’ to give clearer guidance 8 15 U.S.C. 77a et seq. (the ‘‘Securities Act’’). extending upward from 700 feet or more on how foreign companies should 9 17 CFR 240.3b–6, 17 CFR 240.13a–10 and 17 above the surface of the earth. CFR 240.15d–10. determine whether their shareholders 10 * * * * * are U.S. residents. 17 CFR 260.0–11. 11 17 CFR 210.3–01, 17 CFR 210.3–02, and 17 CFR ASW TX E5 Corpus Christi, TX [Revised] DATES: Effective Date: September 30, 210.3–12. Corpus Christi International Airport, TX 2000. 12 17 CFR 228.310.
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53901 issuer in Securities Act Rule 405 13 and calculate the amount of their voting expressed support for the proposed Exchange Act Rule 3b–4.14 securities held by U.S. residents. amendments. The letters from organizations representing users of I. Executive Summary II. Background of Proposals and issuer information, such as analysts and Commenters’ Concerns Many of our initiatives for foreign institutional investors, were particularly issuers have had the goal of reducing A. Background supportive. These commenters viewed barriers to cross-border offerings and As noted in the Proposing Release, we the proposal as a means for promoting listings in the United States, while historically have sought to balance the harmonization and improving preserving or enhancing existing information needs of investors with the comparability, without compromising investor protections. In addition to our public interest served by opportunities the level of information provided by own initiatives, we, as a member of the to invest in a variety of securities, foreign registrants. Several commenters International Organization of Securities including foreign securities.18 who expressed support for international Commissions, referred to as IOSCO, Technological advances have made it harmonization of disclosure standards have participated in international easier than ever for investors to learn placed even greater importance on initiatives intended to facilitate the about and invest in foreign companies. achieving harmonization in the area of cross-border flow of securities and Because of the increasing flow of capital international accounting standards. As capital by promoting the use of a single across borders, we and other securities we noted in the Proposing Release, the disclosure document that would be regulators around the world have an development of international accepted in multiple jurisdictions. In interest in ensuring that a high level of accounting standards currently is the 1998, IOSCO endorsed a core set of information is available to investors in subject of a separate project by IOSCO.21 disclosure standards for the non- all markets. For this reason, we have Some of the commenters had helpful financial statement portions of a been actively involved in IOSCO’s suggestions for incorporating the disclosure document, and encouraged efforts to develop a set of high quality international disclosure standards into its members to take whatever steps international disclosure standards that our foreign integrated disclosure system would be necessary in their own could be used in cross-border offerings and for clarifying the instructions to jurisdictions to accept disclosure and listings. We support international Form 20–F, and we have adopted many documents prepared in accordance with of these suggestions in the final 15 initiatives that raise the level and those standards. quality of information available to amendments. We believe IOSCO’s disclosure investors, facilitate the cross-border standards represent a strong A few commenters urged us to flow of capital and reduce the regulatory international consensus on fundamental evaluate the extent to which other burdens on foreign issuers, if those disclosure topics, and that they can be jurisdictions accept the international initiatives do so in a manner that is used to produce offering and listing disclosure standards before we take consistent with our mandate to protect documents that will contain the same steps to revise our rules. They suggested investors. We believe the international high level of information we that the international disclosure disclosure standards endorsed by standards be available as an optional, traditionally have required. Today we IOSCO achieve those goals and that the are revising our existing foreign issuer alternative disclosure system, rather best way to promote use of the than being mandatory for all foreign integrated disclosure system to standards is to incorporate them fully incorporate fully the international registrants.22 These and other into our existing foreign issuer commenters tended to view the disclosure standards. We are adopting integrated disclosure system.19 the revisions to our foreign integrated proposed amendments to Form 20–F as disclosure system essentially as B. Comments Regarding International significantly increasing the disclosure proposed,16 with a few changes Disclosure Standards burden for foreign registrants, and they prompted by the suggestions of We received fifteen comment letters predicted that imposing these commenters. The international on the Proposing Release.20 All of the requirements would deter foreign disclosure standards replace most, but comment letters expressed support for issuers from offering securities or listing not all, of the previous requirements of increasing international harmonization in the United States. One commenter Form 20–F, the combined registration of disclosure standards and many suggested that the revisions would and annual report form for foreign penalize foreign registrants who had private issuers under the Exchange Act. 18 Securities Act Release No. 6360 (Nov. 20, 1981) entered the U.S. market under the prior We also are revising the definition of [46 FR 58511]. rules, and proposed that the over 1,100 ‘‘foreign private issuer’’ found in the 19 As noted in the Proposing Release, we have reporting foreign issuers be rules under the Securities Act and the preserved the original wording of the international ‘‘grandfathered’’ and allowed to disclosure standards to the maximum extent Exchange Act, to base the definition possible. We think this approach will promote continue using the disclosure standards more closely on the percentage of consistent use of the standards and will help in effect before these amendments. securities beneficially owned by U.S. foreign issuers recognize them as a national version As noted in the Proposing Release, we residents.17 In response to concerns of the IOSCO standards accepted in other jurisdictions. Upon adoption, the international do not view the amendments to the raised by commenters, we have disclosure standards become part of the U.S. federal foreign integrated disclosure system as modified the proposed definition to give securities laws, as we noted in the Proposing resulting in a significant increase in the issuers clearer guidance on how to Release. The standards have not been adopted on information foreign issuers must a mutual recognition basis with any other jurisdiction, and there will be no change in our 13 17 CFR 230.405. current procedures and practices for reviewing and 21 See Proposing Release at n. 24. 14 17 CFR 240.3b–4. commenting on filed documents. 22 One commenter held the opposite view. See the 15 You can find the full text of the standards 20 You may read and copy the comment letters comment letter, dated June 5, 1999, submitted by endorsed by IOSCO on the IOSCO Internet Web site and the staff’s summary of these letters in our the Federation of European Stock Exchanges, which
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.013 pfrm08 PsN: 05OCR1 53902 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations disclose.23 In the few cases where the some of the more developed capital December 31 fiscal year ends will not be international disclosure standards ask markets represented in IOSCO either required to file an annual report on for information not previously required have agreed to accept, or are planning revised Form 20–F until June 30, 2001, by Form 20–F, we understand that the to accept, disclosure documents almost two years from the date of this information is required under the prepared using the international release. domestic disclosure requirements in disclosure standards in cross-border C. Comments Regarding Elimination of many other jurisdictions.24 Much of the offerings and listings. For example, the Rule 3–19 information that is new to Form 20–F’s London Stock Exchange has advised us disclosure requirements, therefore, is that it currently would accept disclosure As we explained in the Proposing likely to be disclosed routinely by documents based on the international Release, we are eliminating Rule 3–19 of companies in countries outside the disclosure standards, and, as part of its Regulation S–X, which specifies the United States. In some cases, companies annual revision of its listing rules, it content, age and other requirements for already may provide information will be codifying that position in its foreign issuer financial statements, required under the amendments to Form rules. Some IOSCO jurisdictions have because the requirements of the rule are 20–F because of our general requirement adopted the standards for domestic addressed in new Item 8 of Form 20–F. to provide additional material purposes; we understand that is the case The only substantive change relates to information.25 in Argentina, Italy and Mexico. We the permitted age of financial In some cases, changes in the wording think that by moving quickly to statements. Item 8 of Form 20–F of requirements may create the incorporate the international disclosure requires that audited financial impression that different or additional standards into our foreign registration statements be no older than 15 months disclosure is required. We understand system, we demonstrate our strong at ‘‘the time of the offering or listing,’’ that changes in wording may create support for high quality international which means the effective date of the uncertainty among practitioners who are standards and encourage other registration statement, rather than the 18 familiar with the prior phrasing and are jurisdictions to follow suit. As one of months permitted under Rule 3–19. In unsure how to interpret different the largest capital markets, we believe the case of the issuer’s initial public expressions of what is intended to be our support is important for widespread offering, the audited financial essentially the same requirement. One acceptance and implementation of the statements also must be as of a date not commenter urged us to identify standards. older than 12 months at the time the disclosure requirements that use In the Proposing Release we offering document is filed. This stricter different wording but that are not explained that we had considered but rule for initial public offerings does not intended to impose different substantive rejected the alternative of a two-tiered apply to foreign issuers offering disclosure requirements. Although it is registration system for foreign issuers. securities in the United States for the not possible to identify every example, We continue to believe that any elective first time if they already are public in we have tried to bear that concern in approach would add unnecessary their home country.27 Item 8 also mind in our more detailed explanation complexity to our registration system, provides that if the date of a registration of the amendments we are adopting when our preference is for measures statement is more than nine months today. that promote regulatory simplification. after the end of the issuer’s last fiscal With respect to the suggestion that we For the same reason—and because, as year, the registration statement must delay adopting the international explained above, we do not view the contain interim financial statements, disclosure standards until we see how international disclosure standards as including U.S. GAAP information, widely they are accepted, or that we imposing a significant additional covering at least the first six months of implement them on a voluntary basis, disclosure burden—we do not plan to the issuer’s fiscal year. This information we do not believe that those approaches ‘‘grandfather’’ the existing foreign may be unaudited. would achieve our goal of promoting reporting companies. Some commenters pointed out that regulatory harmonization at a high level We believe the lengthy effective dates business history, market factors and of disclosure.26 We understand that for the revised rules and forms will industry practices often cause foreign allow time to confirm that there is issuers to prepare financial statements 23 Several commenters supported this view, international support for the standards. that are more current than required. noting in one case that ‘‘while the format of the The delayed effective dates also provide These commenters did not believe the IOSCO disclosure standards differs somewhat from a transition period that should be the current format of Form 20–F, the overall of proposal to shorten the age of financial disclosure required is not significantly different.’’ particularly helpful for registrants statements requirement would have See Rogers & Wells client memorandum, dated adapting to a new disclosure form. For significant practical effect on many February 1999, submitted as a comment letter. example, as explained later in this issuers. One commenter approved of another commenter expressed the view that ‘‘New release, issuers filing registration Form 20–F is generally comparable in quality to the requiring more current financial disclosure requirements currently applicable to statements on Form 20–F or Form F–1 information and urged us to consider foreign private issuers.’’ See Cleary, Gottlieb, Steen will not use the revised forms until accelerating further the filing deadlines & Hamilton comment letter, dated May 18, 1999. September 30, 2000, and repeat issuers 24 In its comment letter dated June 15, 1999, the filing registration statements on Forms 27 Since many foreign issuers already are public Federation of European Stock Exchanges expressed F–2, F–3 or F–4 will have an even companies when they file their first registration its members’ support for the proposal and for efforts statement in the United States, we believe the 12- to create an ‘‘international passport’’ that would longer transition period. Annual reports month rule will apply only in very limited reduce the burden of different regulatory on revised Form 20–F will not be due circumstances. Even in those circumstances, we requirements while preserving investor protection until March 31, 2001 at the earliest, for will consider waiving the requirement if the issuer and promoting transparency. In explaining its those companies with September 30 represents adequately to the staff that no support, the Federation noted that some of the jurisdiction outside the United States imposes the requirements in amended Form 20–F are equivalent fiscal year ends. Companies with 12-month requirement on the registrant’s offering to current and planned disclosure requirements for and that complying with the requirement is most European countries. disclosure standards would be inconsistent with the impracticable or presents undue hardship. If we 25 17 CFR 230.408 and 17 CFR 240.12b–20. concept of regulatory simplification and the goals waive the 12-month requirement, issuers would be 26 The Federation of European Stock Exchanges of the amendments. See Federation of European instructed to comply with the 15-month age of specifically noted that maintaining alternative Stock Exchanges letter dated June 15, 1999. financial statement requirement of Item 8.A.
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00018 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.015 pfrm08 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53903 for annual reports of foreign registrants. the previous requirements for those Gas’’ is amended only to correct item On the other hand, several commenters types of offerings. We expect to references; no substantive changes were expressed the view that the proposed reconsider this accommodation in the made. Corresponding changes were change would unduly burden foreign future, however, and may propose made in the Securities Act registration issuers. These commenters pointed out reducing the permitted age of financial statement forms that refer to Form that foreign issuers often need statements for these types of offerings 20–F. additional time to prepare a based on a review of its operation in Several commenters made helpful reconciliation to U.S. GAAP after they practice or a possible change in the due suggestions for clarifying the have finished preparing their primary date for annual reports.28 instructions to the ten items of the financial statements. international disclosure standards or for We believe that the 15-month audited D. Specific Changes to Registration and adapting them to our existing integrated financial statement requirement is in Report Forms disclosure system. The ten core items line with the requirements in other Form 20–F is used as an initial are described below, together with an countries and is not an undue burden registration statement under the explanation of some of the changes from on a company seeking to offer securities Exchange Act and as an annual report the Proposing Release. As noted, most of in the United States. In most cases, form for foreign private issuers required the ten items have been adopted as companies have the ability to control to file annual reports pursuant to proposed. the timing of their offerings so as to Section 13 or 15(d) of the Exchange Act. Item 1. Identity of Directors, Senior reduce the impact of this shorter age The amendments to Form 20–F adopted Management and Advisors requirement. We believe the 15-month today replace prior Items 1—14 of Form period is sufficient time to prepare a 20–F, excluding Item 9A, with ten new Several commenters noted that the reconciliation to U.S. GAAP along with items that track the wording of the terms ‘‘principal bankers and legal the financial statements. We also IOSCO disclosure standards. The item advisors’’ and ‘‘legal advisors to the hesitate to factor in extra time for a previously designated as Item 9A, issue’’ may be confusing or raise company to prepare a reconciliation to Quantitative and Qualitative Disclosures liability issues in the United States. U.S. GAAP, because this requirement about Market Risk, of Form 20–F is While these terms and the term affects companies in different ways. retained and renumbered as Item 11. ‘‘sponsor’’ are commonly used and well Whether or not there are any reconciling The items previously designated as Item understood in some countries, they may items to be reported—and the number 15, Defaults Upon Senior Securities, and not be used in other jurisdictions. We and extent of those items—depends, Item 16, Changes in Securities and have revised the instructions to this among other things, on a company’s Changes in Security for Registered item to clarify that these individuals or business activities during the period Securities, of Form 20–F also are entities only need be identified if the covered by the financial statements, on retained and renumbered as Items 12 issuer is required to identify them in how similar the accounting standards and 13, and the wording has been other jurisdictions. used in preparing the primary financial revised to reflect ‘‘plain English’’ Item 2. Offer Statistics and Expected statements are to U.S. GAAP, and on the drafting principles. These two items Timetable way in which the company has chosen continue to apply only when Form to apply those accounting standards in 20–F is used as an annual report form. One commenter noted that the preparing its primary financial Items 17 and 18 of Form 20–F are timetable for a typical U.S. offering by statements. For some companies, the retained in substance and are not a foreign private issuer would be very burden is not significant. renumbered; these items explain the dependent on market conditions and Some commenters argued that the financial statement requirements for other unpredictable factors. We would ‘‘blackout’’ period resulting from the registration statements and reports and expect that in cases such as a typical, new age of financial statements the different types of reconciliation to U.S.-style, firm-commitment requirements and the current six-month U.S. GAAP that must be provided by underwritten offering, the timetable due date for annual reports on Form 20– issuers who prepare financial disclosure would be very brief and F would pose a particular hardship for statements using accounting principles would likely focus more on the issuers who are in the market more or other than U.S. GAAP. As noted in the sequence of events than on precise less continuously, as in the case of Proposing Release, the text of old Item dates. In other cases, such as offerings rights offerings, dividend or interest 18 was largely the same as the text of involving a complex corporate reinvestment plans, and offerings of old Item 17; our revisions to Item 18 restructuring, we expect that the securities upon conversion or exercise eliminate the redundant text and timetable would provide more detail of outstanding securities. We already highlight the differences, but are not and likely would include anticipated have distinguished these types of intended to change any substantive dates or elapsed periods of time for offerings in certain respects, such as by requirements of that Item. major events. permitting the financial statements in The amendments adopted today also Item 3. Key Information prospectuses for these types of offerings bring the exhibit requirements for to be reconciled to U.S. GAAP in foreign issuers more in line with the This item includes requirements for accordance with Item 17, rather than exhibits required for domestic issuers selected financial data, exchange rate Item 18, of Form 20–F. Because the filing a registration statement on Form information, the reasons for the offer blackout period may be particularly 10 or an annual report on Form 10-K. and the expected use of proceeds, and disruptive for these types of offerings, The ‘‘Appendix A to Item 2(b)—Oil and information about risk factors. With we have amended the instructions to respect to the Item 3.B requirement for Item 8.A.5 to replace the 15-month 28 See Section XI.A.2 of Securities Act Release a statement of capitalization and requirement for these types of offerings No. 7606A (Nov. 13, 1998) [63 FR 67174]. In the indebtedness, we have amended the with an 18-month requirement and to Securities Act reform release we proposed proposed instructions to clarify that this accelerating the due date for Form 20–F annual replace the nine-month interim reports to five months after the close of the issuer’s statement is not required in annual financial statements requirement with a fiscal year and solicited comment on whether the reports, in line with current disclosure 12-month requirement, which mirror due date should be accelerated to four months. practice, and also to provide guidance
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00019 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.016 pfrm08 PsN: 05OCR1 53904 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations on complying with the requirement in believes is necessary for an Item 7 reduces the Form 20–F threshold the case of offerings under shelf understanding of the financial for disclosure of beneficial ownership registration statements. With respect to statements as a whole. In response to from 10% to 5%, and the commenters the requirement for information on the comments asking us to clarify when that mentioned this change generally reason for the offer and use of proceeds, information must be provided with expressed support. found in Item 3.C, we view this item as respect to inflation rates and the effects Item 8. Financial Information calling for the same type of information of hyperinflation, we have added an that U.S. companies provide in response instruction to provide additional This item contains requirements to Item 504 of Regulation S–K. With guidance. relating to the presentation of financial respect to Item 3.D, risk factors, one statements, requirements that Item 6. Directors, Senior Management commenter suggested that attempting to previously were set forth in Rule 3–19 and Employees limit risk factor disclosure in annual of Regulation S–X, and requirements reports to ‘‘the most significant risk This item includes requirements relating to legal proceedings. The only factors’’ was confusing and unnecessary. relating to compensation and change we are making to Regulation S– We agree that, in view of our recent shareholdings for directors and X is the elimination of Rule 3–19; the ‘‘plain English’’ initiative and its management. The definition of the term remaining items of Regulation S–X emphasis on avoiding boilerplate risk ‘‘administrative, supervisory or continue to apply to registration factors, any listing of risk factors— management bodies’’ in Form 20–F’s statements and reports filed by foreign whether in a registration statement or an Glossary states that this term private issuers to the same extent they annual report—should focus on the corresponds to ‘‘executive officers’’ in did before these amendments to Form most significant risk factors as they the United States. Two commenters 20–F were adopted. With respect to the apply to the issuer and its operations. suggested that this attempt at provisions of Item 8.A.5 that relate to An explicit instruction would be clarification could create confusion, financial information published by the redundant and may create confusion. because in some countries the members issuer that is more current than the Accordingly, we have deleted this of these bodies may not perform the financial statements required in the instruction. same functions as executive officers in filing, some commenters expressed U.S. companies. In response to this concern that these provisions expand on Item 4. Information on the Company concern, we have deleted the the requirements of Rule 3–19(f) or This item includes requirements for a clarification and added an instruction change the reconciliation requirement description of the issuer’s business and stating that the meaning of these terms for this type of information. This was properties. To the extent segment will depend on the functions performed. not the intention, and we have revised information is required, this item states Several commenters noted that Item 6 the instructions in an attempt to that information may be presented on requires disclosure of the amount of eliminate any confusion on this point.29 the same basis as that used to determine shares held by individual directors and We also have added an instruction the company’s business segments under management, without the alternative clarifying that in order to comply with the body of accounting principles used previously available under old Item 5 of the requirement for three years of in preparing the financial statements. Form 20–F of providing this information audited financial statements, the issuer This statement is intended to refer to the on an aggregate basis. We believe that is not required to provide a balance accounting principles used in preparing the international disclosure standards sheet for the earliest of these periods if the primary financial statements, not reflect a consensus that the individual it is not required in a jurisdiction those used in preparing any required share ownership of management outside the United States. U.S. GAAP reconciliation. One provides important information for Two commenters asked if the commenter suggested that we continue investors. However, we have added an statement in the Item 8 instructions and to include the Form 20–F instructions instruction indicating that if an in the General Instructions, that regarding the necessity of complying individual member of management financial statements must be audited in with applicable Industry Guides and, for beneficially owns less than 1% of the accordance with U.S. generally accepted issuers in extractive industries, the need outstanding securities, that fact may be auditing standards, was intended to to name any independent consultants stated instead of providing the specific change the staff’s practice of accepting who have prepared or reviewed number of shares that individual auditor’s reports that state that the audit estimates of reserves. Following this beneficially owns, as long as the specific was conducted in accordance with local suggestion, we have revised the number of shares is not otherwise auditing standards that are instructions to Item 4 to reflect our disclosed or required to be disclosed in ‘‘substantially similar’’ or ‘‘similar in all existing instructions in this area. a non-U.S. jurisdiction. This mirrors the material respects’’ to U.S. GAAS. As one approach taken in Item 403 of Item 5. Operating and Financial Review commenter noted, that practice was Regulation S–K for U.S. issuers. and Prospects adopted to accommodate audit report styles in different jurisdictions that This item corresponds to the current Item 7. Major Shareholders and Related Party Transactions differ from the audit report wording requirement for management’s specified by U.S. GAAS. The practice This item requires disclosure of discussion and analysis of financial was not intended to relieve the auditor information about major shareholders condition and results of operations. We of the responsibility to perform all and others that control or may control interpret the requirements of this item auditing procedures necessary under the company, as well as disclosure of as being essentially the same as those of U.S. GAAS. We do not intend to change related party transactions. At the request old Item 9 of Form 20–F. We have our practice of accepting wording of one commenter, we have added an added an instruction to clarify that, as variations in audit reports to comply instruction similar to Instruction 3 to was the case under old Item 9, this with local reporting formats. In all other section of the registration statement or Item 404(c) of Regulation S–K, to clarify report should discuss any aspect of the the extent to which banks and other 29 There also is no change in the reconciliation U.S. GAAP reconciliation and U.S. lending institutions must disclose loans requirement for interim information presented in GAAP differences that the registrant made in the ordinary course of business. selected financial data.
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The Offer and Listing In the issuer’s home jurisdiction, amendments, in effect, change the test and This item includes requirements for a of whether more than 50 percent of an • In the primary trading market for description of the offering, including the issuer’s outstanding voting securities are the issuer’s securities if different from plan of distribution, trading markets, held by residents of the United States the issuer’s home jurisdiction. selling shareholders, dilution and from a record ownership test to one that These jurisdictions should cover most of expenses. Item 9.A requires disclosure more closely reflects the beneficial the trading volume for the issuer’s of how the offering price was 30 ownership of the issuer’s securities. securities, and searches in these determined if there is no established As noted in the Proposing Release, we jurisdictions are likely to yield the market for the securities being offered. believe that the increased prevalence of greatest number of U.S. beneficial We view this requirement as being offshore nominees and custodial owners. This modification to the test equivalent to the requirement of Item accounts has made record ownership should reduce the burden on foreign 505 of Regulation S–K. One commenter less meaningful for purposes of companies while still producing a pointed out that the requirement in Item determining U.S. ownership. We believe reasonably accurate picture of whether 9.B.1 for the underwriters’ addresses a test based more closely on beneficial could create logistical problems in U.S.- or not the company is a foreign private ownership gives a better picture of issuer. style offerings where the syndicate whether or not a company incorporated members are not decided until final Most commenters questioned the outside the United States is entitled to basis for our proposed rebuttable pricing. In those circumstances, the accommodations available to foreign however, an issuer may comply with presumption that, if a foreign issuer’s private issuers under the federal securities trade in the U.S. markets in this requirement by disclosing only the securities laws. The ownership test addresses of the lead underwriters, the form of American Depositary adopted today is based on the method Receipts, or ADRs, the shares deposited which should be known before pricing. of calculation used in Exchange Act in the ADR program are held solely by Generally speaking, for a U.S.-style, firm Rule 12g3–2(a), which follows the U.S. residents. These commenters commitment underwritten offering, we definition of ‘‘securities held of record’’ pointed out that, for a number of would expect that the responses to Item in Rule 12g5–1, but requires the issuer reasons, non-U.S. investors may choose 9.B, Plan of Distribution, would include to ‘‘look through’’ the record ownership to hold securities in ADR form. Because much of the same information provided of brokers, dealers, banks or nominees it appears that issuers will not take in response to Item 508 of Regulation S– holding securities for the accounts of advantage of the presumption and will K, to the extent that information is their customers to determine the feel the need to query ADR depositaries material to an investor’s understanding residency of those customers. Issuers regarding the owners of ADRs, we have of the offering. also must take into account information determined not to adopt the Item 10. Additional Information regarding U.S. ownership derived from beneficial ownership reports that are presumption. This item includes requirements for, provided to the issuer or filed publicly, Some commenters pointed out that it among other things, a description of the as well as information that otherwise is is not always possible for issuers to issuer’s share capital, significant provided to the issuer. The reference to obtain information about separate provisions of its articles of beneficial ownership reports is not customer accounts, as required by Rule incorporation and bylaws, its material limited to reports filed with the 12g3–2(a). Brokers, dealers, banks or contracts, and applicable taxes. One Commission, since we understand that other nominees may be unwilling or commenter suggested that certain beneficial ownership of an issuer’s unable to provide information about requirements of Item 10, specifically securities may be required to be their customer accounts. This problem subsections 10.A (Share Capital), 10.E provided to the issuer or disclosed is not unique to the foreign private (Taxation) and 10.F (Dividends and publicly in other countries, as well as in issuer definition, however; the duty to Paying Agents), be limited to the United States. inquire about separate customer registration statements and annual Several commenters suggested that accounts already exists for issuers reports relating only to equity securities, these changes would create a substantial deciding whether the reporting since that information is inapplicable to burden for companies that trade in exemption in Rule 12g3–2(a) is other types of securities, or would many different markets, and that widely available. In the case of the foreign otherwise be disclosed in the issuer’s held companies would have to devote private issuer definition, the issuer financial statements or in response to significant effort and expense in would not be asking nominees to Item 10.B, Memorandum and Articles of determining beneficial ownership in provide the number of U.S. shareholders Association. After considering this many jurisdictions where the likelihood or the names of those shareholders, but comment and the prior requirements of of finding U.S. owners is small. In order only the percentage of the nominee’s Form 20–F, we agree that the to address these concerns, we have holdings of the issuer’s securities that information called for by Item 10.A and are represented by U.S. accounts. If after 10.F is less pertinent to non-equity 30 There are two parts to the foreign private issuer reasonable inquiry, however, the issuer securities and to annual reports, and we definition. The first part is based on ownership of is unable to obtain information about the issuer’s securities. The second part of the the nominee’s customer accounts, have amended the item to limit these definition is based on whether (a) a majority of the requirements to registration statements issuer’s executive officers or directors are U.S. including cases where the nominee’s relating to equity securities. citizens or residents, (b) over 50% of its assets are charge for supplying this information within the United States, or (c) its business is would be unreasonable, the issuer may E. ‘‘Foreign Private Issuer’’ Definition administered principally in the United States. Any rely on a presumption that the customer one of these three factors, together with majority We are adopting the proposed U.S. ownership, will mean the issuer fails to satisfy accounts are held in the nominee’s amendments to Rule 405 under the the foreign private issuer definition. principal place of business. We have
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00021 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.018 pfrm08 PsN: 05OCR1 53906 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations revised the instructions to the foreign make the transition from the old version IV. Cost-Benefit Analysis private issuer definition to clarify this of a form to the revised version: The amendments update and simplify point. • Pre-effective amendments—If, on the disclosure requirements for foreign III. Effective Dates and Transition September 30, 2000, a foreign private issuer private issuers. We believe the Provisions has on file at the Commission a registration amendments will make it easier for statement on Form F–1, a Form F–4 that does foreign private issuers to raise capital The amendments to rules and forms not permit incorporation by reference or and list their securities in multiple adopted today become effective Form 20–F and that registration statement jurisdictions, including the United September 30, 2000, with certain has not been declared effective, the issuer States. In addition, as other jurisdictions exceptions. In some cases, as explained may continue to file pre-effective adopt or accept the international below, the date at which a registrant amendments to that registration statement standards, U.S. issuers desiring to raise will have to comply with a revised form after September 30, 2000 without modifying those pre-effective amendments to reflect the capital in multiple foreign markets will will depend on that registrant’s fiscal revisions. This position does not apply to enjoy the benefits of harmonization. year end. pre-effective amendments to registration Foreign issuers seeking to raise capital • Registration statements filed on Form F– statements on Forms F–2, Form F–3 or a or list securities in more than one 1, Form F–4 or Form 20–F—Registrants must Form F–4 that permits incorporation by jurisdiction often encounter differing, reference, because registrants will have a use revised Form F–1 and revised Form 20- and in some cases conflicting, F for registration statements first filed on or lengthy transition period and experience after September 30, 2000.31 Registrants that preparing an annual report on revised Form regulatory requirements. These are not eligible to incorporate Form F–4 20–F, before they have to comply with the regulatory hurdles may influence information by reference to a previously filed revisions to those Securities Act registration issuers’ decisions about where to offer annual report on Form 20–F also must use statements. or list their securities. A primary goal of revised Form F–4 for registration statements • Post-effective amendments—The the amendments to Form 20–F is to filed on or after September 30, 2000. revisions to registration statement forms encourage and facilitate the use of one • Registration statements filed on Forms adopted today apply to post-effective disclosure document by issuers seeking F–2 and F–3 and on Form F–4 if it permits amendments filed on or after the effective to raise capital or list securities in information to be incorporated by reference— date given above for a particular form if the These forms permit a registrant to satisfy post-effective amendment is to include the multiple jurisdictions. The amendments form requirements by incorporating registrant’s latest audited financial provide the benefits of lowering information from an annual report on Form statements or to update the prospectus under regulatory barriers to cross-border 20–F. Form F–4 also permits the registrant to Section 10(a)(3).32 offerings and listings with the result of incorporate information about the other party • Registration statements and post- reduced regulatory costs and burdens. to a business combination by referring to that effective amendments filed under Rules 462 The amendments will bring us closer to company’s annual report. The revised Forms (b) and (c)—Registration statements and post- the goal of enabling issuers to prepare F–2, F–3 and F–4 do not provide for effective amendments filed under Rules 462 one basic disclosure document that will incorporation of information by reference to (b) and (c) are effective upon filing with the be accepted in many jurisdictions. ‘‘old’’ Form 20–F. Accordingly, the revisions Commission. These registration statements to Forms F–2 and F–3 will be effective for and amendments must comply with the Although some tailoring of the registration statements and post-effective registration statement revisions adopted disclosure document may be required to amendments filed any time after a registrant today only if the registrant first filed the satisfy specific national requirements, is required to file its first annual report on underlying registration statement on or after issuers and investors will benefit from revised Form 20–F. In cases where a Form F– the effective date given above for a particular greater uniformity in the requirements 4 permits information about either party to form. for core disclosure topics. the business combination to be incorporated • Prospectus supplements—The revisions The amendments impose some by reference to an annual report on Form 20– to registration statement forms adopted today additional disclosure requirements on F, the revisions to Form F–4 will be effective apply to prospectus supplements filed on or for registration statements and post-effective foreign private issuers. However, we after the effective date given above for a believe that the benefits of the amendments filed any time after the party particular form. If an issuer filed a base whose information is being incorporated by prospectus under Rule 415(a)(1)(x) before it amendments—to issuers and investors— reference is required to file its first annual was required to comply with revised Form F– justify possible costs. As we stated in report on Form 20–F. 3, that base prospectus does not have to be the proposing release, we believe the • Annual reports filed on Form 20–F— amended, even though subsequent IOSCO standards incorporated into Revised Form 20–F must be used for annual prospectus supplements must comply with amended Form 20–F are generally or transition reports filed with respect to the revised form. comparable to the prior disclosure fiscal years ending on or after September 30, Registrants are encouraged to use the requirements of Form 20–F and that 2000. revised forms for registration statements • Rule 3–19—Rule 3–19 of Regulation S– foreign private issuers should not X will no longer apply to registration and annual reports on a voluntary basis experience significantly increased statements filed on or after September 30, before the compliance dates described compliance costs. Some commenters, 2000 that are filed on Form F–1 or on a Form above. A registrant that wishes to use including attorneys in private practice F–4 that permits incorporation of information revised Forms F–2, F–3 or F–4 before it informally contacted by the staff of the by reference. A registrant may continue to has filed its first annual report on Office of International Corporate rely on Rule 3–19 for registration statements revised Form 20–F may do so. In those Finance, have concurred with our view. filed on Forms F–2 and F–3, and on a Form cases, however, the registrant either will They acknowledge that the disclosure F–4 that permits incorporation of information have to amend its previously filed requirements in amended Form 20–F by reference, until the revisions to those annual report to comply with the new forms take effect. are comparable to the Form’s previous disclosure requirements of Form 20–F disclosure requirements and would not, The following information applies to or provide within the body of the in practice, result in significant situations that arise when registrants Securities Act registration statement the additional or quantifiable compliance information it would otherwise costs. 31 Forms F–6 and S–11 under the Securities Act incorporate from Form 20–F. were revised to conform cross-references to Form We recognize that shortening the age 20–F. The changes to these forms also are effective of financial statements requirement may for forms first filed on or after September 30, 2000. 32 15 U.S.C. 77j(a)(3). present burdens for some foreign private
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Indeed, several Other countries, such as Argentina, issuers, will impose transitional costs commenters expressed their belief that Italy and Mexico, are adopting IOSCO’s on foreign private issuers, but after a the amendments will increase international disclosure standards for transitional period, we believe those transparency, ensure a high level of their domestic issuer disclosure costs will become much less significant. investor protection and enhance the requirements. As regulators move We believe those costs are justified in comparability of disclosures between further in the direction of harmonized light of the benefits the amendments standards, we expect more jurisdictions foreign and domestic issuers. In will provide to issuers, investors and to endorse and more foreign issuers to addition, in conversations with the markets. practitioners, many indicated that they comply with the IOSCO standards. did not expect the new Form 20–F Third, not all of the disclosure V. Consideration of Burdens on requirements to impact their clients requirements of the amended Form will Competition, and Promotion of adversely, because the market already apply to all foreign private issuers; some Efficiency, Competition and Capital demands more current financial requirements are based, as with old Formation information from offerors than presently Form 20–F, on foreign requirements. In required. For these issuers, no new these instances, disclosure will not be Form 20–F is used by foreign private burden will exist. Moreover, in response required under the amended Form issuers as an initial registration to concerns raised by some commenters, unless a foreign private issuer is statement and as an annual report form the final amendments relax the age of required to disclose information in under the Exchange Act. The financial statement requirements for another jurisdiction or makes the amendments to Form 20–F and related continuous offerings, diminishing the requested information public on a forms and rules should encourage and burdens potentially associated with the voluntary basis. facilitate the use of one disclosure new timing requirements. Furthermore, Finally, the amendments are document that would meet the in many offerings, issuers have scheduled to take effect gradually, regulatory requirements of multiple beginning more than one year from flexibility to determine the timing of jurisdictions. The Commission sought adoption, at the earliest. This schedule their filings and may be able to plan but did not receive any comments will give foreign private issuers a their offerings to accommodate the related to whether the amendments requirements. Accordingly, the significant amount of time to familiarize themselves with the amendments and to would promote efficiency, competition Commission does not believe that or capital formation, or have anti- foreign private issuers should set up cost-effective procedures, as competitive effects. Under Section 2(b) experience a significant quantifiable necessary, to comply with the of the Securities Act and 3(f) of the burden in complying with the amendments. We believe this will allow Exchange Act, the Commission amendments. foreign issuers to plan and minimize There are other reasons to conclude any compliance costs. considered whether the amendments that the benefits of the amendments, Some commenters expressed concern would promote competition, cross- which will accrue both to investors and that the amendments to change the border capital formation, and efficiency to issuers, will justify the costs. First, definition of ‘‘foreign private issuer’’ in multi-jurisdictional offerings and the purpose of the amendments is to under the Exchange Act and the listings. Moreover, the amendments facilitate cross-border offerings and Securities Act would impose significant adopted today reflect the Commission’s listings. We believe the amendments compliance costs. We believe the new consideration, as required by Section will encourage other jurisdictions to requirements are beneficial to the 23(a) of the Exchange Act, of the impact endorse or adopt the IOSCO standards, integrity of our regulatory system, the amendments may have on and widespread acceptance of the which provides accommodations for competition. The amendments are standards will further reduce foreign issuers because of the unique designed to harmonize disclosure compliance burdens for foreign issuers, difficulties they face in entering a requirements for foreign issuers, as well as for U.S. issuers seeking foreign regulatory regime. The without imposing any negative impact capital abroad. amendments provide a more accurate on U.S. businesses. Therefore, the Second, we, as well as some portrayal of whether a company Commission believes that any burden commenters, expect additional incorporated outside the United States on competition imposed by the compliance costs will be mitigated is the type of entity for whom the amendments is necessary or appropriate because a significant number of foreign special rules and forms for foreign in furtherance of the purposes of the private issuers already comply, for private issuers were intended. Exchange Act. various reasons, with the additional In response to concerns expressed by disclosure requirements in the amended commenters about the costs associated VI. Regulatory Flexibility Act Form. For instance: with the amendments, we have Certification • Foreign issuers often provide the determined to adopt a more focused additional information that is required ‘‘look through’’ requirement that will Pursuant to the Regulatory Flexibility by the amended Form in order to reduce issuer costs and capture most Act (15 U.S.C. § 605(b)), the Chairman of successfully market their securities or U.S. ownership information. We believe the Commission certified at the proposal attract investors, or in response to our that the benefits of accurate issuer stage that the revisions to rules and general materiality requirements. categorization justify the additional forms will not have a significant impact • As one commenter noted, some of costs a company incorporated outside on a substantial number of small the new requirements, including those the United States may bear in entities. We received no comments related to age of financial statements, determining whether it is entitled to the specifically addressing the certification. 5% beneficial ownership disclosure, accommodations available to foreign A copy of the certification was attached and expanded compensation-related private issuers. as Appendix A to the Proposing Release.
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VII. Paperwork Reduction Act it would take for an average foreign Securities Act of 1933 as amended, The amendments affect Form 20–F, private issuer to: (1) become familiar Sections 3, 12, 13, 15 and 23 of the which contains ‘‘collection of with the amendments; (2) make an Securities Exchange Act of 1934, and information requirements’’ within the initial filing on amended Form 20–F Section 319 of the Trust Indenture Act meaning of the Paperwork Reduction and/or related amended Securities Act of 1939. forms; and (3), file subsequent Act of 1995.33 The title for the collection List of Subjects of information is ‘‘Form 20–F.’’ registration statements or reports using Providing the information required by amended Form 20–F standards. It is our 17 CFR Part 210 Form 20–F is mandatory for foreign estimate that the average foreign private Accountants, Accounting. private issuers required to register issuer initially would need 20 hours to securities or offerings with the understand the amendments and 17 CFR Part 228 Commission, and the information another 10 to implement them. We Reporting and recordkeeping collected will not be kept confidential. believe this 30 hour burden will requirements, Securities, Small The amendments will affect changes decrease significantly after the first time business. to collections of information within the a foreign private issuer complies with Paperwork Reduction Act. The the amendments. 17 CFR Parts 229, 239 and 249 collections of information would be In addition to the transition burden, Reporting and recordkeeping required by amended Form 20–F. Most the average foreign private issuer would requirements, Securities. of the disclosure requirements of need 451 hours annually to file an 17 CFR Part 230 amended Form 20–F closely correspond amended Form 20–F or amended to the Form’s previous disclosure Securities Act form that incorporated Advertising, Investment companies, requirements. The new requirements of Form 20–F standards. To reach this Reporting and recordkeeping the amended Form are based on number, we relied on the total annual requirements, Securities. burden hour estimate submitted in common national requirements in other 17 CFR Part 240 countries, as identified by IOSCO. For connection with Form 20–F to the these reasons, we do not expect filers of Office of Management and Budget, Brokers, Reporting and recordkeeping the amended Form 20–F to experience referred to as OMB, in 1996. The requirements, Securities. resulting estimate is significantly less a long-term quantifiable change in their 17 CFR Part 260 information collection burdens. In the than the 1,995 burden hours set forth in short term, we expect that foreign the Proposing Release for these Reporting and recordkeeping private issuers will spend time amendments, which upon further requirements, Securities, Trusts and reviewing Form 20–F to become familiar review, we determined was inaccurate. trustees. We solicited but did not receive any with its amended format and Text of the Amendments requirements, and as necessary, comments on this estimate. In In accordance with the foregoing, the implement measures to comply with subsequent years, we expect the annual Securities and Exchange Commission additional disclosure requirements. The burden to revert to 451 hours per adopted rule is substantially similar to response. We estimate that there would amends Title 17, chapter II of the Code the proposed rules with respect to the be 1,007 respondents to Form 20–F. of Federal Regulations as follows: Each respondent would respond once collection of information requirements. PART 210ÐFORM AND CONTENT OF Changes from the proposed Form were per year. The Commission submitted the AND REQUIREMENTS FOR FINANCIAL undertaken in response to comment STATEMENTS, SECURITIES ACT OF letters and principally are clarifications. proposed revisions to those rules and forms to OMB for review in accordance 1933, SECURITIES EXCHANGE ACT The information collection burden is OF 1934, PUBLIC UTILITY HOLDING not readily quantifiable for several with 44 U.S.C. 3507(d) and 5 CFR COMPANY ACT OF 1935, INVESTMENT reasons: 1320.11. An agency may not conduct or COMPANY ACT OF 1940, AND • Some of the new disclosure sponsor, and a person is not required to requirements are not triggered unless respond to, a collection of information ENERGY POLICY AND the Form 20–F filer has a disclosure unless it displays a currently valid OMB CONSERVATION ACT OF 1975 obligation under foreign law; control number. The OMB control 1. The authority citation for part 210 • Different issuers will need more or number is 3235–0288. The revised continues to read as follows: less time to become familiar with the forms and regulations set forth the amendments; disclosures that the Commission will Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, • Some foreign private issuers already require foreign private issuers to make 77z–2, 77aa(25), 77aa(26), 78j–1, 78l, 78m, 78n, 78o(d), 78u–5, 78w(a), 78ll(d), 79e(b), disclose voluntarily the information that to the public about themselves and their 79j(a), 79n, 79t(a), 80a–8, 80a–20, 80a–29, is required by the amendments. securities offerings. Requests for 80a–30, 80a–37(a), unless otherwise noted. Once all Form 20–F filers familiarize materials submitted to OMB by the themselves with the amended Form, we Commission with regard to the § 210.3±19 [Removed] believe the burden hours will revert to collection of information should be in 2. By removing and reserving § 210.3– the current information collection writing, refer to File No. S7–3–99, and 19. burden estimate. In the longer term, as be submitted to the Securities and more jurisdictions endorse and accept Exchange Commission, Records § 210.3±20 [Amended] the IOSCO standards, we believe that Management, Office of Filings and 3. Amend § 210.3–20 in the last the burden estimate may decrease as the Information Services. sentence of paragraph (d) by removing differences between U.S. standards and the words ‘‘Items 17(c)(2) or 18(c)(2) of’’ VIII. Statutory Basis and Text of foreign standards are reduced. and adding, in their place, the words We determined the number of burden Amendments ‘‘Item 17(c)(2) of’’. hours by estimating the number of hours The amendments to the Commission’s 4. By removing in 17 CFR Part 210 the rules and forms are adopted pursuant to words ‘‘§ 210.3–19’’ and adding, in their 33 44 U.S.C. §§ 3501 et seq. Sections 2(b), 5, 6, 7, 10 and 19(a) of the place, the words ‘‘Item 8.A of Form 20–
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F (§ 249.220 of this chapter)’’ in the 6.B. and 6.E.2. of Form 20–F (17 CFR (1) More than 50 percent of the following places: 249.220f)’’. outstanding voting securities of such a. Section 210.3–01(h); and 10. Amend § 229.404 by revising issuer are directly or indirectly owned b. Section 210.3–02(d). paragraph 3 of Instructions to Item 404 of record by residents of the United to read as follows: States; and § 210.3±12 [Amended] (2) Any of the following: § 229.404 (Item 404) Certain relationships (i) The majority of the executive 5. Amend § 210.3–12 in paragraph (f) and related transactions. by removing the words ‘‘specified in officers or directors are United States § 210.3–19. Financial statements of a * * * * * citizens or residents; Instructions to Item 404. foreign business which are furnished (ii) More than 50 percent of the assets pursuant to §§ 210.3–05 or 210.3–09 * * * * * of the issuer are located in the United because it is an acquired business or a 3. A foreign private issuer will be deemed States; or to comply with Item 404 if it provides the 50 percent or less owned person may be (iii) The business of the issuer is information required by Item 7.B of Form 20– administered principally in the United of the age specified in § 210.3–19.’’ and F (17 CFR 249.220f). adding, in their place, the words States. ‘‘specified in Item 8.A of Form 20–F § 229.512 [Amended] Instructions to paragraph (1) of this (§ 249.220f of this chapter). Financial 11. Amend § 229.512 in the first definition: To determine the percentage of statements of a foreign business which sentence of paragraph (a)(4) by outstanding voting securities held by U.S. are furnished pursuant to §§ 210.3–05 or removing the words ‘‘§ 210.3–19 of this residents: 210.3–09 because it is an acquired chapter’’ and adding, in their place, the A. Use the method of calculating record words ‘‘Item 8.A. of Form 20–F (17 CFR ownership in Rule 12g3–2(a) under the business or a 50 percent or less owned Exchange Act (§ 240.12g3–2(a) of this person may be of the age specified in 249.220f)’’. chapter), except that your inquiry as to the Item 8.A of Form 20–F.’’ § 229.601 [Amended] amount of shares represented by accounts of customers resident in the United States may PART 228ÐINTEGRATED 12. Amend § 229.601 in paragraph be limited to brokers, dealers, banks and DISCLOSURE SYSTEM FOR SMALL (b)(10)(iii)(B)(5) by removing the words other nominees located in: BUSINESS ISSUERS ‘‘Item 11 of Form 20–F’’ and adding, in (1) The United States, their place, the words ‘‘Item 6.B. of (2) Your jurisdiction of incorporation, and 6. The authority citation for part 228 Form 20–F (§ 249.220f of this chapter)’’. (3) The jurisdiction that is the primary continues to read as follows: trading market for your voting securities, if different than your jurisdiction of Authority: 15 U.S.C. 77e, 77f, 77g, 77h, 77j, PART 230ÐGENERAL RULES AND incorporation. 77k, 77s, 77z–2, 77aa(25), 77aa(26), 77ddd, REGULATIONS, SECURITIES ACT OF B. If, after reasonable inquiry, you are 77eee, 77ggg, 77hhh, 77jjj, 77nnn, 77sss, 78l, 1933 unable to obtain information about the 78m, 78n, 78o, 78u–5, 78w, 78ll, 80a–8, 80a– amount of shares represented by accounts of 29, 80a–30, 80a–37, 80b–11, unless otherwise 13. The authority citation for part 230 continue to read in part as follows: customers resident in the United States, you noted. may assume, for purposes of this definition, Authority: 15 U.S.C. 77b, 77f, 77g, 77h, 77j, § 228.310 [Amended] that the customers are residents of the 77r, 77s, 77sss, 78c, 78d, 78l, 78m, 78n, 78o, jurisdiction in which the nominee has its 7. Amend the first sentence in Note 2 78w, 78ll(d), 79t, 80a–8, 80a–24, 80a–28, principal place of business. of § 228.310 by removing the words 80a–29, 80a–30, and 80a–37, unless C. Count shares of voting securities ‘‘Articles 3–19 and 3–20 (17 CFR 210.3– otherwise noted. beneficially owned by residents of the United 19 and 210.3–20)’’ and adding, in their * * * * * States as reported on reports of beneficial ownership that are provided to you or place, the words ‘‘Item 8.A of Form 20– § 230.175 [Amended] F (17 CFR 249.220f) and Article 3–20 of publicly filed and based on information Regulation S–X (17 CFR 210.3–20)’’. 14. Amend § 230.175 by removing in otherwise provided to you. paragraph (b)(2)(i) the words ‘‘or Item 9 * * * * * PART 229ÐSTANDARD of Form 20–F (§ 249.220f of this chapter) 16. Amend § 230.434 by revising INSTRUCTIONS FOR FILING FORMS ‘Management’s discussion and analysis paragraph (c)(3)(i) to read as set forth UNDER SECURITIES ACT OF 1933, of financial condition and results of below; and by removing in paragraph SECURITIES EXCHANGE ACT OF 1934 operations,’ ’’ and adding, in their place, (c)(3)(ii) the words ‘‘Item 11 of Form S– AND ENERGY POLICY AND the words ‘‘Management’s Discussion 3 or Form F–3 (§ 239.13 or § 239.33 of CONSERVATION ACT OF 1975Ð and Analysis of Financial Condition and this chapter)’’ and adding, in their REGULATION S±K Results of Operations, or Item 5 of Form place, the words ‘‘Item 11 of Form S– 20–F, Operating and Financial Review 3 or Item 5 of Form F–3 (§ 239.13 or 8. The authority citation for part 229 and Prospects, (§ 249.220f of this § 239.33 of this chapter)’’. continues to read in part as follows: chapter)’’; by removing in paragraph § 230.434 Prospectus delivery Authority: 15 U.S.C. 77e, 77f, 77g, 77h, 77j, (c)(3) the words ‘‘Item 9 of Form 20–F’’ requirements in firm commitment 77k, 77s, 77z–2, 77aa(25), 77aa(26), 77ddd, and adding, in their place, the words underwritten offerings of securities for 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77nnn, ‘‘Item 5 of Form 20–F’’. cash. 77sss, 78c, 78i, 78j, 78l, 78m, 78n, 78o, 78u– 15. By amending § 230.405 by revising 5, 78w, 78ll(d), 79e, 79n, 79t, 80a–8, 80a–29, the definition of ‘‘foreign private issuer’’ * * * * * 80a–30, 80a–37, 80b–11, unless otherwise to read as follows: (c) * * * noted. (3) * * * * * * * * § 230.405 Definitions of terms. (i) The description of securities * * * * * required by Item 202 of Regulations S– § 229.402 [Amended] Foreign private issuer. The term K (§ 229.202 of this chapter) or by Items 9. Amend § 229.402(a)(1)(ii) by foreign private issuer means any foreign 9, 10 and 12 of Form 20–F (§ 249.220f removing the words ‘‘Items 11 and 12 of issuer other than a foreign government of this chapter) as applicable, or a fair Form 20–F [17 CFR 249.220f]’’ and except an issuer meeting the following and accurate summary thereof; and adding, in their place, the words ‘‘Items conditions: * * * * *
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§ 230.463 [Amended] place, ‘‘A’’; by removing in newly Listing) and Item 12 (Description of 17. Amend § 230.463 by removing in designated paragraph 1.(c)(iv) the words Securities Other than Equity Securities). You paragraph (a) the words ‘‘Item 16(e)’’ ‘‘As to Item 9, a’’ and adding, in their do not have to repeat in the prospectus any and adding, in their place, the words place, ‘‘A’’; by removing in newly information called for by these items if the ‘‘Item 14(e)’’. designated paragraph 1.(c)(v) the words same information is contained in a report ‘‘As to Item 11, a brief statement of the being incorporated by reference into this PART 239ÐFORMS PRESCRIBED general character of the business done registration statement. UNDER THE SECURITIES ACT OF 1933 and intended to be done, the Selected * * * * * 18. The general authority citation for Financial Data (Item 8 of Form 20–F 23. Amend Form F–2 (referenced in part 239 continues to read in part as (§ 249.220f of this chapter))’’ and § 239.32) the Instructions As To follows: adding, in their place, the words ‘‘As to Summary Prospectuses section by Item 4, a brief statement of the general redesignating paragraphs 1.(c), 1.(d), Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, character of the business done and 1.(e), 1.(f), 1.(g) and 1.(h) as paragraphs 77z–2, 77sss, 78c, 78l, 78m, 78n, 78o(d), intended to be done, the Selected 78u–5, 78w(a), 78ll(d), 79e, 79f, 79g, 79j, 79l, 1.(c)(i), 1.(c)(ii), 1.(c)(iii), 1.(c)(iv), Financial Data (Item 3.A of Form 20–F 79m, 79n, 79q, 79t, 80a–8, 80a–24, 80a–29, 1.(c)(v) and 1.(d); by removing in newly 80a–30 and 80a–37, unless otherwise noted. (§ 249.220f of this chapter))’’; by removing in paragraph 3 the words designated paragraph 1.(c)(i) the words * * * * * ‘‘that information as to Items 9 and 11 ‘‘As to Item 4, a’’ and adding, in their 19. Amend General Instruction E. to specified in paragraphs (f) and (g) place, ‘‘A’’; by removing in newly Form S–11 (referenced in § 239.18) by above’’ and adding, in their place, the designated paragraph 1.(c)(ii) the words removing the words ‘‘Items 3, 4, 10, 11 words ‘‘that information specified in ‘‘As to Item 7, a’’ and adding, in their and 18, respectively, of Form 20–F’’ and paragraphs 1.(c)(iv) and 1.(c)(v) above’’. place, ‘‘A’’; by removing in newly adding, in their place, the words ‘‘Items designated paragraph 1.(c)(iii) the words Note: The text of Form F–1 does not and ‘‘As to Item 8, the’’ and adding, in their 6, 7.A, 8.A.7, and 18 of Form 20–F’’. this amendment will not appear in the Code Note: The text of Form S–11 does not and of Federal Regulations. place, ‘‘The’’; by removing in newly this amendment will not appear in the Code designated paragraph 1.(c)(iv) the words of Federal Regulations. 22. Amend Form F–2 (referenced in ‘‘As to Item 9, a’’ and adding, in their § 239.32) by removing Items 4 through 20. Amend Form F–1 (referenced in place, ‘‘A’’; and, by removing in newly 10 and 14; by adding new Item 4 to read designated paragraph 1.(c)(v) the words § 239.31) by removing in General as follows; by redesignating Items 11, Instruction III the words ‘‘the ‘‘As to Item 12, a brief statement of the 12, 13, 15, 16, and 17 as Items 5, 6, 7, general character of the business done information that would be required by 8, 9, and 10; by removing in newly Item 11’’ and adding in their place the and intended to be done, the Selected designated Item 5(b)(1) the words Financial Data (Item 8 of Form 20–F words ‘‘the information which would be ‘‘pursuant to Item 12’’ and adding, in (§ 249.220f of this chapter)’’ and adding, required by Item 4’’; by removing in their place, the words ‘‘pursuant to Item in their place, the words ‘‘A brief General Instruction III the words ‘‘called 6’’; by removing in newly designated statement of the general character of the for by Item 9’’ and adding in their place Item 5(b)(2) the words ‘‘accordance with business done and intended to be done, the words ‘‘called for by Items 10.A and Item 12 are not sufficiently current to the Selected Financial Data (Item 3.A of 10.B of Form 20–F or Item 12 of Form comply with the requirements of Rule 20–F, as applicable’’; by removing Items 3–19 of Regulation S–X (§ 210.3–19 of Form 20–F (§ 249.220f of this chapter)’’. 4 through 10 and 13; by redesignating this chapter), financial statements 24. Amend Form F–3 (referenced in Items 11, 12, 14, 15, 16, and 17 as Items necessary to comply with that rule’’ and § 239.33) by removing Items 4 through 4, 5, 6, 7, 8, and 9; by revising the adding, in their place, the words 10 and 14; by adding new Item 4 to read caption for newly designated Item 4 to ‘‘accordance with Item 6 are not as follows; by redesignating Items 11, read ‘‘Information with Respect to the sufficiently current to comply with the 12, 13, 15, 16, and 17 as Items 5, 6, 7, Registrant and the Offering’’; by requirements of Item 8.A of Form 20–F, 8, 9, and 10; in newly designated Item removing in newly designated Item 4(b) financial statements necessary to 5 remove the words ‘‘Item 12’’ and add, the words ‘‘Pursuant to Item 16’’ and comply with that Item’’; and, by in their place, the words ‘‘Item 6’’ in the adding, in their place, the words removing in the caption of the Note to following places: twice in Item 5(a), ‘‘Pursuant to Item 8’’; and, by removing newly designated Item 6 the words once in Item 5(b)(1), and once in Item in newly designated Item 8(b) the words ‘‘Item 12(a)’’ and adding, in their place, 5(b)(2); by removing in newly ‘‘and Item 11(b) of this Form’’ and the words ‘‘Item 6(a)’’. designated Item 5(b)(1) the words ‘‘Form adding, in their place, the words ‘‘and 8–K’’ and adding, in their place, the Item 4(b) of this Form’’. Note: The text of Form F–2 does not and this amendment will not appear in the Code words ‘‘Form 6–K’’; by removing in 21. Amend Form F–1 (referenced in of Federal Regulations. newly designated Item 5(b)(2) the words § 239.31) the Instructions As To ‘‘Rule 3–19 of Regulation S–X (§ 210.3– Summary Prospectuses section by Securities and Exchange Commission, Washington D.C. 20549 19 of this chapter), financial statements redesignating paragraphs 1.(c), 1.(d), necessary to comply with that rule’’ and 1.(e), 1.(f), 1.(g) and 1.(h) as paragraphs Form F–2—Registration Statement Under the adding, in their place, the words ‘‘Item 1.(c)(i), 1.(c)(ii), 1.(c)(iii), 1.(c)(iv), Securities Act of 1933 1.(c)(v) and 1.(d); by removing in newly * * * * * 8.A. of Form 20–F, financial statements necessary to comply with that Item’’; designated paragraph 1.(c)(i) the words Item 4. Information About the Offering ‘‘As to Item 4, a’’ and adding, in their and by removing in the caption of the place, ‘‘A’’; by removing in newly Furnish the information about the offering Note to newly designated Item 6 the required by the following items of Form 20– designated paragraph 1.(c)(ii) the words words ‘‘Item 12(d)’’ and adding, in their F: Item 2 (Offer Statistics and Expected place, the words ‘‘Item 6(d)’’. ‘‘As to Item 7, a’’ and adding, in their Timetable), Item 3.B (Capitalization and place, ‘‘A’’; by removing in newly Indebtedness), Item 3.C (Reasons for the Offer Note: The text of Form F–3 does not and designated paragraph 1.(c)(iii) the words and Use of Proceeds), Item 7.C (Interests of this amendment will not appear in the Code ‘‘As to Item 8, a’’ and adding, in their Experts and Counsel), Item 10 (The Offer and of Federal Regulations.
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Securities and Exchange Commission adding, in their place, the words ‘‘Item ‘‘Instruction 7 to Item 8 of Form 20–F’’ Form F–3, Registration Statement Under the 5 of Form 20–F, operating and financial and adding, in their place, the words Securities Act of 1933 review’’ in the following places: ‘‘The Instructions to Item 3.A. of Form * * * * * a. Item 12(b)(3)(vi)(A); 20–F’’. b. Item 14(g)(1); and 38. Amend Item 4(a)(3) of Form F–4 Item 4. Information About the Offering c. Item 17(b)(4)(i). (referenced in § 239.34) by removing the Furnish the information about the offering 31. Amend Form F–4 (referenced in words ‘‘Item 202 of Regulation S–K required by the following items of Form 20– § 239.34) by removing the words ‘‘Item (§ 229.202 of this chapter)’’ and adding, F: Item 2 (Offer Statistics and Expected 9A of Form 20–F’’ and adding, in their in their place, the words ‘‘Items 10.A Timetable), Item 3.B (Capitalization and place, the words ‘‘Item 11 of Form and 10.B of Form 20–F or Item 12 of Indebtedness), Item 3.C (Reasons for the Offer 20–F’’ in the following places: Form 20–F, as applicable’’. and Use of Proceeds), Item 7.C (Interests of a. Item 12(b)(3)(vi)(B); 39. Amend Item 7(a) of Form F–4 Experts and Counsel), Item 10 (The Offer and b. Item 14(g)(2); and (referenced in § 239.34) by removing the Listing) and Item 12 (Description of c. Item 17(b)(4)(ii). words ‘‘Item 507 of Regulation S–K Securities Other than Equity Securities). You do not have to repeat in the prospectus any 32. Amend Item 18(a)(7)(i) of Form (§ 229.507 of this chapter)’’ and adding, information called for by these items if the F–4 (referenced in § 239.34) by in their place, the words ‘‘Item 9.D. of same information is contained in a report removing the words ‘‘Item 10 of Form Form 20–F (§ 249.220f of this chapter)’’. being incorporated by reference into this 20–F, directors and officers of 40. Amend Item 8 of Form F–4 registration statement. registrant’’ and adding, in their place, (referenced in § 239.34) by removing the * * * * * the words ‘‘Item 6.A. of Form 20–F, words ‘‘Item 509 of Regulation S–K 25. Amend Form F–4 (referenced in directors and senior management of the (§ 229.509 of this chapter)’’ and adding, § 239.34) by removing the words ‘‘Item registrant’’. in their place, the words ‘‘Item 7.C. of 4 of Form 20–F’’ and adding, in their 33. Amend Item 19(a)(7)(i) of Form Form 20–F (§ 249.220f of this chapter)’’. place, the words ‘‘Item 7.A. of Form 20– F–4 (referenced in § 239.34) by 41. Amend Item 12 of Form F–4 F’’ in the following places: removing the words ‘‘Item 10 of Form (referenced in § 239.34) by removing in a. The Instruction following Item 20–F, directors and officers of the Item 12(a)(2) the words ‘‘Item 9 of Form 18(a)(5)(ii); and registrant: and adding, in their place, 20–F’’ and adding, in their place, the b. the Instruction following Item the words ‘‘Item 6.A. of Form 20–F, words ‘‘Item 5 of Form 20–F’’; by 19(a)(5). directors and senior management of the removing in Item 12(b)(1) the words 26. Amend Form F–4 (referenced in registrant’’. ‘‘Items 1 and 2 of Form 20–F’’ and § 239.34) by removing the words ‘‘Item 34. Amend Form F–4 (referenced in adding, in their place, the words ‘‘Item 5 of Form 20–F’’ and adding, in their § 239.34) by removing the words ‘‘Items 4 of Form 20–F’’; by removing in Item place, the words ‘‘Item 9.A.4. of Form 11 and 12 of Form 20–F, remuneration 12(b)(3)(i) the words ‘‘Items 1(a)(3) and 20–F’’ in the following places: and options’’ and adding, in their place, (a)(4) of Form 20–F’’ and adding, in a. Instruction 2. to Item 11; the words ‘‘Items 6.B. and 6.E. of their place, the words ‘‘Items 4.B., b. Item 12(a)(5); Form20–F, compensation and share 4.B.2., and 4.B.5. of Form 20–F’’; by c. Item 12(b)(3)(viii); ownership’’ in the following places: removing in Item 12(b)(3)(ii) the words d. Instruction 2. to Item 13; a. Item 18(a)(7)(ii); and ‘‘Item 2 of Form 20–F’’ and adding, in e. Item 14(i); and b. Item 19(a)(7)(ii). their place, the words ‘‘Item 4.D. of f. Item 17(b)(2). 35. Amend Form F–4 (referenced in Form 20–F’’; by removing in Item 27. Amend Item 12(b)(3)(iii) of Form § 239.34) by removing the words ‘‘Item 12(b)(3)(iv) the words ‘‘Item 7 of Form F–4 (referenced in § 239.34) by 13 of Form 20–F, interest of 20–F’’ and adding, in their place, the removing the words ‘‘Item 6 of Form management in certain transactions’’ words ‘‘Item 10.E of Form 20–F’’; and by 20–F, exchange controls and other and adding, in their place, the words removing in Item 12(b)(3)(v) the words limitations on security holders’’ and ‘‘Item 7.B. of Form 20–F, related party ‘‘Item 8 of Form 20–F’’ and adding, in adding, in their place, the words ‘‘Item transactions’’ in the following places: their place, the words ‘‘Item 3.A. of 10.D. of Form 20–F, exchange controls’’. a. Item 18(a)(7)(iii); and Form 20–F’’. 28. Amend Item 14(d) of Form F–4 b. Item 19(a)(7)(iii). 42. Amend Item 14 of Form F–4 (referenced in § 239.34) by removing the 36. Amend Form F–4 (referenced in (referenced in § 239.34) by removing in words ‘‘Item 6 of Form 20–F, exchange § 239.34) by removing the words ‘‘Rule Item 14(a) the words ‘‘Item 1 of Form controls and other limitations affecting 3–19 of Regulation S–X (210.3–19 of 20–F, description of business’’ and security holders’’ and adding, in their this chapter)’’ or ‘‘Rule 3–19 to adding, in their place, the words ‘‘Items place, the words ‘‘Item 10.D. of Form Regulation S–X’’ or ‘‘Rule 3–19 of 4.A., 4.B., and 4.C of Form 20–F, 20–F, exchange controls’’. Regulation S–X’’ and adding, in their information on the company’’; by 29. Amend Form F–4 (referenced in place, the words ‘‘Item 8.A. of Form 20– removing in Item 14(b) the words ‘‘Item § 239.34) by removing the words ‘‘Item F’’ in the following places: 2 of Form 20–F, description of 8 of Form 20–F’’ and adding, in their a. Item 10(b); property’’ and adding, in their place, the place, the words ‘‘Item 3.A. of Form 20– b. Instruction 2 to Item 11; words ‘‘Item 4.D. of Form 20–F, F’’ in the following places: c. Items 12(a)(2), (a)(5), (b)(2)(i), and property, plant and equipment’’; by a. Item 3(d), 3(e), 3(f)(1), 3(f)(2), (b)(3)(viii); removing in Item 14(c) words ‘‘Item 3 of 3(f)(3); d. Instruction 2 to Item 13; Form 20–F’’ and adding, in their place, b. Item 12(b)(3)(v); e. Item 14(i); the words ‘‘Item 8.A.7. of Form 20–F’’; c. Item 14(f); and f. the Instructions following Item by removing in Item 14(e) words ‘‘Item d. Item 17(b)(3); 14(i); and 7 of Form 20–F’’ and adding, in their 30. Amend Form F–4 (referenced in g. Items 17(b)(2) and 17(b)(6). place, the words ‘‘Item 10.E. of Form § 239.34) by removing the words ‘‘Item 37. Amend Item 3 of Form F–4 20–F’’. 9 of Form 20–F, management’s (referenced in § 239.34) by removing in Note: The text of Form F–4 does not and discussion and analysis of financial Instruction 2. to Instructions to this amendment will not appear in the Code condition and results of operations’’ and paragraphs (e) and (f) the words of Federal Regulations.
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43. Revise Item 1 of Form F–6 (2) Your jurisdiction of incorporation, and Appendix section following the (referenced in § 239.36) to read as (3) The jurisdiction that is the primary Instructions As To Exhibits section each follows: trading market for your voting securities, if time they appear the words ‘‘Item 2(b)’’ different than your jurisdiction of and adding, in their place, the words Note: The text of Form F–6 does not and incorporation. this amendment will not appear in the Code B. If, after reasonable inquiry, you are ‘‘Item 4.D’’. of Federal Regulations. unable to obtain information about the Note: The text of Form 20–F does not and Securities and Exchange Commission amount of shares represented by accounts of this amendment will not appear in the Code customers resident in the United States, you of Federal Regulations. Form F–6, Registration Statement Under the may assume, for purposes of this definition, Securities Act of 1933 For Depositary Shares United States Securities and Exchange that the customers are residents of the Commission, Washington, D.C. 20549 Evidenced by American Depositary Receipts jurisdiction in which the nominee has its * * * * * principal place of business. Form 20–F C. Count shares of voting securities * * * * * Item 1. Description of Securities To Be beneficially owned by residents of the United General Instructions Registered States as reported on reports of beneficial Furnish the information required by Item ownership provided to you or filed publicly A. Who May Use Form 20–F and When It 12.E. of Form 20–F (§ 249.22 of this chapter). and based on information otherwise provided Must Be Filed * * * * * to you. (a) Any foreign private issuer may use this 46. Amend § 240.3b–6 by removing in form as a registration statement under PART 240ÐGENERAL RULES AND paragraph (b)(2)(i) the words ‘‘or Item 9 Section 12 of the Securities Exchange Act of REGULATIONS, SECURITIES of Form 20–F’’ (§ 249.220f of this 1934 (referred to as the Exchange Act) or as EXCHANGE ACT OF 1934 an annual or transition report filed under chapter) ‘‘Management’s discussion and Section 13(a) or 15(d) of the Exchange Act. 44. The general authority citation for analysis of financial condition and A transition report is filed when an issuer part 240 continues to read in part as results of operations,’’ and adding, in changes its fiscal year end. The term ‘‘foreign follows: their place, the words ‘‘Management’s private issuer’’ is defined in Rule 3b–4 under Discussion and Analysis of Financial the Exchange Act. Authority: 15 U.S.C. 77c, 77d, 77g, 77j, Condition and Results of Operations’’ or (b) A foreign private issuer must file its 77s, 77z–2, 77eee, 77ggg, 77nnn, 77sss, 77ttt, annual report on this Form within six 78c, 78d, 78f, 78i, 78j, 78j–1, 78k, 78k–1, 78l, Item 5 of Form 20–F, ‘‘Operating and Financial Review and Prospects,’’; by months after the end of the fiscal year 78m, 78n, 78o, 78p, 78q, 78s, 78u–5, 78w, covered by the report. 78x, 78ll(d), 78mm, 79q, 79t, 80a–20, 80a–23, removing in paragraph (c)(3) the words (c) A foreign private issuer filing a 80a–29, 80a–37, 80b–3, 80b–4 and 80b–11, ‘‘Item 9 of Form 20–F’’ and adding, in transition report on this Form must file its unless otherwise noted. their place, the words ‘‘Item 5 of Form report in accordance with the requirements * * * * * 20–F’’. set forth in Rule 13a–10 or Rule 15d–10 45. By amending § 240.3b–4 by 47. Amend § 240.13a–10 by removing under the Exchange Act that apply when an revising the section heading and in paragraph (g)(4) the words issuer changes its fiscal year end. paragraph (c) to read as follows: ‘‘responding to Items 3, 9, 15, 16, and B. General Rules and Regulations That 17 or 18’’ and adding, in their place, the Apply to This Form § 240.3b±4 Definition of ``foreign words ‘‘responding to Items 5, 8.A.7., government,'' ``foreign issuer'' and ``foreign (a) The General Rules and Regulations private issuer''. 13, 14, and 17 or 18’’. under the Securities Act of 1933 (referred to 48. Amend § 240.15d–10 by removing as the Securities Act) contain general * * * * * in paragraph (g)(4) the words requirements that apply to registration on (c) The term foreign private issuer ‘‘responding to Items, 3, 9, 15, 16, and any form. Read these general requirements means any foreign issuer other than a 17 or 18’’ and adding, in their place, the carefully and follow them when preparing foreign government except an issuer words ‘‘responding to Items 5, 8.A.7., and filing registration statements and reports meeting the following conditions: 13, 14, and 17 or 18’’. on this Form. (1) More than 50 percent of the (b) Pay particular attention to Regulation issuer’s outstanding voting securities are PART 249ÐFORMS, SECURITIES 12B under the Exchange Act. Regulation 12B contains general requirements about matters directly or indirectly held of record by EXCHANGE ACT OF 1934 residents of the United States; and such as the kind and size of paper to be used, the legibility of the registration statement or (2) Any of the following: 49. The authority citation for part 249 continues to read, in part, as follows: report, the information to give in response to (i) The majority of the executive a requirement to state the title of securities, officers or directors are United States Authority: 15 U.S.C. 78a, et seq., unless the language to be used and the filing of the citizens or residents; otherwise noted; registration statement or report. (ii) More than 50 percent of the assets * * * * * (c) In addition to the definitions in the of the issuer are located in the United 50. Amend Form 20–F (referenced in General Rules and Regulations under the States; or § 249.220f) by revising the General Securities Act and the definitions in Rule (iii) The business of the issuer is 12b–2 under the Exchange Act, General Instructions; by removing Item 11; by Instruction F defines certain terms for administered principally in the United revising Items 1 through 9, 10, 12 States. purposes of this Form. through 16, 18, 19 and Instructions to (d) Note Regulation S–X, which applies to Instruction to paragraph (c)(1): To Exhibits to read as follows; by the presentation of financial information in a determine the percentage of outstanding redesignating Item 9A as Item 11; by registration statement or report. voting securities held by U.S. residents: removing in newly designated Item 11 A. Use the method of calculating record C. How To Prepare Registration Statements each time they appear the words ‘‘Item and Reports on This Form ownership in Rule 12g3–2(a) under the Act 9A’’ and adding, in their place, the (§ 240.12g3–2(a)), except that your inquiry as (a) Do not use this Form as a blank form to the amount of shares represented by words ‘‘Item 11’’; by removing in to be filled in; use it only as a guide in the accounts of customers resident in the United Instruction 3 to Item 17 the words ‘‘Item preparation of the registration statement or States may be limited to brokers, dealers, 1 of Form 20–F’’ and adding, in their annual report. General Instruction E states banks and other nominees located in: place, the words ‘‘Items 4.B.1 and 4.B.2 which items must be responded to in a (1) The United States, of Form 20–F’’; and, by removing in the registration statement and which items must
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00028 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53913 be responded to in an annual report. The Registration statements and reports are auditing standards, and the auditor must registration statement or report must contain filed with the Commission by sending or comply with the U.S. standards for auditor the numbers and captions of all items. You delivering them to our File Desk between the independence. If you have any questions may omit the text following each caption in hours of 9:00 a.m. and 5:30 p.m., about these requirements, contact the Office this Form, which describes what must be Washington, D.C. time. The File Desk is of Chief Accountant in the Division of disclosed under each item. Omit the text of closed on weekends and federal holidays. If Corporation Finance at (202) 942–2960. all instructions in this Form. If an item is you file a registration statement or report by (d) Securities Act Registration Statements. inapplicable or the answer to the item is in mail or by any means other than hand The registration statement forms under the the negative, respond to the item by making delivery, the address is U.S. Securities and Securities Act direct you to provide a statement to that effect. Exchange Commission, Attention: File Desk, information required by specific items of (b) Unless an item directs you to provide 450 Fifth Street, N.W., Washington, D.C. Form 20–F. Some items of Form 20–F only information as of a specific date or for a 20549. We consider documents to be filed on apply to Securities Act registration specific period, give the information in a the date our File Desk receives them. We do statements, and you do not have to respond registration statement as of a date reasonably not require foreign private issuers to file to those items if you are using Form 20–F to close to the date of filing the registration registration statements and reports under our file an Exchange Act registration statement or statement and give the information in an Electronic Data Gathering and Retrieval an annual report. The instructions to the annual report as of the latest practicable date. System (EDGAR). We encourage you to use items of Form 20–F identify which (c) Note Exchange Act Rule 12b–20, which EDGAR, if possible, because documents filed information is required only in Securities Act states: ‘‘In addition to the information through EDGAR are easily accessible by the registration statements. public through the Commission’s Internet expressly required to be included in a F. Definitions statement or report, there shall be added such Web site and through other electronic means. further material information, if any, as may If you have technical questions about EDGAR The following definitions apply to various terms used in this Form, unless the context be necessary to make the required statements, or want to request an access code, call the indicates otherwise. in light of the circumstances under which EDGAR Filer Support Office at (202) 942– Affiliate—An ‘‘affiliate’’ of a specified they are made, not misleading.’’ 8900. If you have questions about the EDGAR rules, call the Office of EDGAR Policy at person or entity refers to one who, directly (d) If the same information required by this (202) 942–2940. or indirectly, either controls, is controlled by Form also is required by the body of or is under common control with, the accounting principles used in preparing the E. Which Items To Respond to in specified person or entity. financial statements, you may respond to an Registration Statements and Annual Reports Beneficial owner—The term ‘‘beneficial item of this Form by providing a cross- (a) Exchange Act Registration Statements. owner’’ of securities refers to any person reference to the location of the information A registration statement filed under the who, even if not the record owner of the in the financial statements, in lieu of Exchange Act on this Form must include the securities, has or shares the underlying repeating the information. information specified in Part I and Part III. benefits of ownership. These benefits include (e) Note Item 10 of Regulation S–K which Read the instructions to each item carefully the power to direct the voting or the explains the Commission policy on before responding to the item. In some cases, disposition of the securities or to receive the projections of future economic performance the instructions may permit you to omit some economic benefit of ownership of the and the Commission policy on securities of the information specified in certain items securities. A person also is considered to be ratings. in Part I. the ‘‘beneficial owner’’ of securities that the (f) If you are providing the information (b) Annual Reports. An annual report on person has the right to acquire within 60 required by this Form in connection with a this Form must include the information days by option or other agreement. Beneficial registration statement under the Securities specified in Parts I, II and III. Read the owners include persons who hold their Act, note that Rule 421 requires you to follow instructions to each item carefully before securities through one or more trustees, plain English drafting principles. You can responding to the item. In some cases, the brokers, agents, legal representatives or other find helpful information in ‘‘A Plain English instructions may permit you to omit some of intermediaries, or through companies in Handbook—How to create clear SEC the information specified in certain items in which they have a ‘‘controlling interest,’’ disclosure documents’’ and in staff legal Part I. The instructions also may permit you which means the direct or indirect power to bulletins supplementing the Handbook. to omit certain information if it was direct the management and policies of the These documents are available on our previously reported to us and has not entity. Internet website, at www.sec.gov. changed. If that is the case, you do not have Company—References to the ‘‘company’’ D. How To File Registration Statements and to file copies of the previous report with the mean the company whose securities are Reports on This Form report being filed on this Form. being offered or listed, and refer to the (c) Financial Statements. An Exchange Act company on a consolidated basis unless the File with the Commission (i) three registration statement or annual report filed context indicates otherwise. complete copies of the registration statement on this Form must contain the financial Directors and senior management—This or report, including financial statements, statements and related information specified term includes (a) the company’s directors, (b) exhibits and all other papers and documents in Item 17 of this Form. We encourage you members of its administrative, supervisory or filed as part of the registration statement or to provide the financial statements and management bodies, (c) partners with report, and (ii) five additional copies of the related information specified in Item 18 of unlimited liability, in the case of a limited registration statement or report, which need this Form in lieu of Item 17, but the Item 18 partnership with share capital, (d) nominees not contain exhibits. File at least one statements and information are not required. to serve in any of the aforementioned complete copy of the registration statement In certain circumstances, Forms F–2, F–3 or positions, and (e) founders, if the company or report, including financial statements, F–4 for the registration of securities under has been established for fewer than five exhibits and all other papers and documents the Securities Act require that you provide years. The persons covered by the term filed as part of the registration statement or the financial statements and related ‘‘administrative, supervisory or management report, with each exchange on which any information specified in Item 18 in your bodies’’ vary in different countries and, for class of securities is or will be registered. annual report on Form 20–F. Consult those purposes of complying with the disclosure Manually sign at least one complete copy of Securities Act forms for the specific standards, will be determined by the host the registration statement or report filed with requirements and consider the potential country. the Commission and one copy filed with advantages of complying with Item 18 Document—This term covers prospectuses each exchange. Type or print the signatures instead of Item 17 of this Form. Note that and offering documents used in connection on copies that are not manually signed. See Items 17 and 18 may require you to file with a public offering of securities and Exchange Act Rule 12b–11(d) for instructions financial statements of other entities in registration statements or prospectuses used about manual signatures and the Instructions certain circumstances. These circumstances in connection with the initial listing of as to Exhibits of this Form for instructions are described in Regulation S–X. securities. about signatures pursuant to powers of The financial statements must be audited Instruction: References to the ‘‘document’’ attorney. in accordance with U.S. generally accepted mean whatever type of document is being
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00029 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.029 pfrm08 PsN: 05OCR1 53914 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations prepared using Form 20–F disclosure Securities Act solely due to the fact that they shorter period that the company has been in requirements, including, as applicable, a are named in response to Item 1.B. operation), in the same currency as the prospectus, an Exchange Act registration financial statements. Selected financial data statement, and an annual report. Item 2. Offer Statistics and Expected for either or both of the earliest two years of Equity securities—The term ‘‘equity Timetable the five-year period may be omitted, securities’’ includes common or ordinary The purpose of this standard is to provide however, if the company represents to the shares, preferred or preference shares, key information regarding the conduct of any host country regulator that such information options or warrants to subscribe for equity offering and the identification of important cannot be provided, or cannot be provided on securities, and any securities, other than debt dates relating to that offering. a restated basis, without unreasonable effort securities, which are convertible into or A. Offer statistics. For each method of or expense. If interim period financial exercisable or redeemable for equity offering, e.g., rights offering, general offering, statements are included, the selected securities of the same company or another etc., state the total expected amount of the financial data should be updated for that company. If the equity securities available issue, including the expected issue price or interim period, which may be unaudited, upon conversion, exercise or redemption are the method of determining the price and the provided that fact is stated. If selected those of another company, the disclosure number of securities expected to be issued. financial data for interim periods is provided, standards also apply to the other company. B. Method and expected timetable. For all comparative data from the same period in the Group—A ‘‘group’’ is a parent and all its offerings, and separately for each group of prior financial year shall also be provided, subsidiaries. References to a company’s targeted potential investors, the document except that the requirement for comparative group mean the group of which it is a shall state the following information to the balance sheet data is satisfied by presenting member. extent applicable to the offering procedure: the year end balance sheet information. Home country—This term refers to the 1. The time period during which the offer 2. The selected financial data presented jurisdiction in which the company is legally will be open, and where and to whom shall include items generally corresponding organized, incorporated or established and, if purchase or subscription applications shall to the following, except that the specific line different, the jurisdiction where it has its be addressed. Describe whether the purchase items presented should be expressed in the principal listing. period may be extended or shortened, and same manner as the corresponding line items Host country—This term refers to the manner and duration of possible in the company’s financial statements. Such jurisdictions, other than the home country, in extensions or possible early closure or data shall include, at a minimum, net sales which the company is seeking to offer, shortening of this period. Describe the or operating revenues; income (loss) from register or list its securities. manner in which the latter shall be made operations; income (loss) from continuing Instruction: Note that, as used in this Form, public. If the exact dates are not known when operations; net income (loss); net income the term ‘‘host country’’ means the United the document is first filed or distributed to (loss) from operations per share; income States and its territories. the public, describe arrangements for (loss) from continuing operations per share; Pre-emptive issue—The term ‘‘pre-emptive announcing the final or definitive date or total assets; net assets; capital stock issue’’ and references to ‘‘pre-emptive period. (excluding long term debt and redeemable purchase rights’’ refer to offerings made to 2. Method and time limits for paying up preferred stock); number of shares as the company’s existing shareholders in order securities; where payment is partial, the adjusted to reflect changes in capital; to permit them to maintain their pro rata manner and dates on which amounts due are dividends declared per share in both the ownership in the company. to be paid. currency of the financial statements and the 3. Method and time limits for delivery of host country currency, including the formula Part I equity securities (including provisional used for any adjustments to dividends certificates, if applicable) to subscribers or Item 1. Identity of Directors, Senior declared; and diluted net income per share. purchasers. Management and Advisers Per share amounts must be determined in 4. In the case of pre-emptive purchase accordance with the body of accounting The purpose of this standard is to identify rights, the procedure for the exercise of any principles used in preparing the financial the company representatives and other right of pre-emption, the negotiability of statements. individuals involved in the company’s listing subscription rights and the treatment of 3. Where the financial statements provided or registration. subscription rights not exercised. in response to Item 8 are prepared in a A. Directors and senior management. 5. A full description of the manner in currency other than the currency of the host Provide the names, business addresses and which results of the distribution of securities country, disclosure of the exchange rate functions of the company’s directors and are to be made public, and when appropriate, between the financial reporting currency and senior management. the manner for refunding excess amounts the currency of the host country should be B. Advisers. Provide the names and paid by applicants (including whether provided, using the exchange rate designated addresses of the company’s principal bankers interest will be paid). by the host country for this purpose, if any: and legal advisers to the extent the company Instructions to Item 2: If you are filing (a) At the latest practicable date; has a continuing relationship with such Form 20–F as a registration statement or (b) The high and low exchange rates for entities, the sponsor for listing (where annual report under the Exchange Act, you each month during the previous six months; required by the host country regulations), do not have to provide the information called and and the legal advisers to the issue. for by Item 2. You must provide this (c) For the five most recent financial years C. Auditors. Provide the names and information if you are filing a registration and any subsequent interim period for which addresses of the company’s auditors for the statement under the Securities Act. financial statements are presented, the preceding three years (together with their average rates for each period, calculated by membership in a professional body). Item 3. Key Information using the average of the exchange rates on the Instructions to Item 1: If you are filing The purpose of this standard is to last day of each month during the period. Form 20–F as an annual report under the summarize key information about the B. Capitalization and indebtedness. A Exchange Act, you do not have to provide the company’s financial condition, capitalization statement of capitalization and indebtedness information called for by Item 1. You must and risk factors. If the financial statements (distinguishing between guaranteed and provide this information, to the extent included in the document are restated to unguaranteed, and secured and unsecured, applicable, if you are filing a registration reflect material changes in the company’s indebtedness) as of a date no earlier than 60 statement under either the Securities Act or group structure or accounting policies, the days prior to the date of the document shall the Exchange Act. selected financial data also must be restated. be provided showing the company’s Instructions to Item 1.B: You only have to See Item 8. capitalization on an actual basis and, if provide the information called for by Item A. Selected financial data. applicable, as adjusted to reflect the sale of 1.B if you are required to disclose the 1. The company shall provide selected new securities being issued and the intended information in a jurisdiction outside the historical financial data regarding the application of the net proceeds therefrom. United States. These persons will not be company, which shall be presented for the Indebtedness also includes indirect and considered ‘‘experts’’ or ‘‘sellers’’ under the five most recent financial years (or such contingent indebtedness.
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C. Reasons for the offer and use of financial statements. If you do this, however, 4. The important events in the proceeds. you also must include in this summary any development of the company’s business, e.g. 1. The document shall disclose the reconciliations of the data to U.S. generally information concerning the nature and estimated net amount of the proceeds broken accepted accounting principles and results of any material reclassification, down into each principal intended use Regulation S–X, pursuant to Item 17 or 18 of merger or consolidation of the company or thereof. If the anticipated proceeds will not this Form. In that case, you only have to any of its significant subsidiaries; be sufficient to fund all the proposed provide selected financial data on a basis acquisitions or dispositions of material assets purposes, the order of priority of such reconciled to U.S. generally accepted other than in the ordinary course of business; purposes should be given, as well as the accounting principles for (i) those periods for any material changes in the mode of amount and sources of other funds needed. which you were required to reconcile the conducting the business; material changes in If the company has no specific plans for the primary annual financial statements in a the types of products produced or services proceeds, it should discuss the principal filing under the Securities Act or the rendered; name changes; or the nature and reasons for the offering. Exchange Act, and (ii) any interim periods. results of any bankruptcy, receivership or 2. If the proceeds are being used directly If you are unable to provide selected similar proceedings with respect to the or indirectly to acquire assets, other than in financial data for the earliest two years of the company or significant subsidiaries. the ordinary course of business, briefly five-year period, submit the required 5. A description, including the amount describe the assets and their cost. If the assets representation to us before or at the time you invested, of the company’s principal capital will be acquired from affiliates of the file the document. Disclose in the document expenditures and divestitures (including company or their associates, disclose the that data for the earliest two years have been interests in other companies), since the persons from whom they will be acquired omitted and explain the reasons for the beginning of the company’s last three and how the cost to the company will be omission. financial years to the date of the offering or determined. Instructions to Item 3.B: listing document. 3. If the proceeds may or will be used to 1. If you are including the capitalization 6. Information concerning the principal finance acquisitions of other businesses, give table called for by Item 3.B in a prospectus capital expenditures and divestitures a brief description of such businesses and supplement for a shelf offering registered on currently in progress, including the information on the status of the acquisitions. Form F–3, the amounts shown in the table distribution of these investments 4. If any material part of the proceeds is to may be as of the date of the most recent geographically (home and abroad) and the be used to discharge, reduce or retire balance sheet filed as part of the registration method of financing (internal or external). indebtedness, describe the interest rate and statement, if the information in the table is 7. An indication of any public takeover maturity of such indebtedness and, for updated to reflect securities issued up to 60 offers by third parties in respect of the indebtedness incurred within the past year, days prior to the date of the supplement. company’s shares or by the company in the uses to which the proceeds of such 2. If you are not selling new securities in respect of other companies’ shares which indebtedness were put. a firm commitment underwritten offering or have occurred during the last and current D. Risk factors. The document shall an ‘‘all or none’’ best efforts offering, reflect financial year. The price or exchange terms prominently disclose risk factors that are the capitalization ‘‘as adjusted’’ for the net attaching to such offers and the outcome proceeds of the offering only in the following specific to the company or its industry and thereof are to be stated. ways: make an offering speculative or one of high B. Business overview. The information a. In a best efforts ‘‘minimum/maximum’’ risk, in a section headed ‘‘Risk Factors.’’ required by this item may be presented on offering, reflect both the minimum and Companies are encouraged, but not required, the same basis as that used to determine the maximum proceeds; and to list the risk factors in the order of their company’s business segments under the body b. In a rights offering or an offering of priority to the company. Among other things, of accounting principles used in preparing securities upon the exercise of outstanding such factors may include, for example: the the financial statements. The following warrants, reflect the proceeds only to the nature of the business in which it is engaged information shall be provided: extent exercise is likely in view of the current or proposes to engage; factors relating to the 1. A description of the nature of the countries in which it operates; the absence of market price. Instructions to Item 3.D: Risk factors company’s operations and its principal profitable operations in recent periods; the activities, stating the main categories of financial position of the company; the should be concise and explain clearly how the risk affects the issuer or the securities. products sold and/or services performed for possible absence of a liquid trading market each of the last three financial years. Indicate for the company’s securities; reliance on the Item 4. Information on the Company any significant new products and/or services expertise of management; potential dilution; The purpose of this standard is to provide that have been introduced and, to the extent unusual competitive conditions; pending information about the company’s business the development of new products or services expiration of material patents, trademarks or operations, the products it makes or the has been publicly disclosed, give the status contracts; or dependence on a limited services it provides, and the factors that of development. number of customers or suppliers. The Risk affect the business. The standard also is 2. A description of the principal markets in Factors section is intended to be a summary intended to provide information regarding which the company competes, including a of more detailed discussion contained the adequacy and suitability of the breakdown of total revenues by category of elsewhere in the document. company’s properties, plants and equipment, activity and geographic market for each of the Instructions to Item 3: as well as its plans for future increases or last three financial years. 1. If you are filing Form 20–F as an annual decreases in such capacity. 3. A description of the seasonality of the report under the Exchange Act, you do not A. History and development of the company’s main business. have to provide the information called for by company. The following information shall be 4. A description of the sources and Item 3.B or 3.C. If you are filing Form 20– provided: availability of raw materials, including a F as a registration statement under the 1. The legal and commercial name of the description of whether prices of principal Exchange Act, you do not have to provide the company. raw materials are volatile. information called for by Item 3.C. You must 2. The date of incorporation and the length 5. A description of the marketing channels provide the information called for by Item 3 of life of the company, except where used by the company, including an if you are filing a registration statement indefinite. explanation of any special sales methods, under the Securities Act. 3. The domicile and legal form of the such as installment sales. 2. Throughout Form 20–F, the terms company, the legislation under which the 6. Summary information regarding the ‘‘financial year’’ and ‘‘fiscal year’’ have the company operates, its country of extent to which the company is dependent, same meaning. The term ‘‘fiscal year’’ is incorporation and the address and telephone if at all, on patents or licenses, industrial, defined in Rule 405 under the Securities Act number of its registered office (or principal commercial or financial contracts (including and Rule 12b–2 under the Exchange Act. place of business if different from its contracts with customers or suppliers) or Instructions to Item 3.A: You may present registered office). Provide the name and new manufacturing processes, where such the selected financial data on the basis of the address of the company’s agent in the host factors are material to the company’s accounting principles used in your primary country, if any. business or profitability.
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7. The basis for any statements made by the Instructions to Item 4.D: unusual or infrequent events or new company regarding its competitive position 1. In the case of an extractive enterprise: developments, materially affecting the shall be disclosed. (a) Provide material information about company’s income from operations, 8. A description of the material effects of production, reserves, locations, indicating the extent to which income was so government regulations on the company’s developments and the nature of your interest. affected. Describe any other significant business, identifying the regulatory body. If individual properties are of major component of revenue or expenses necessary C. Organizational structure. If the company significance to you, provide more detailed to understand the company’s results of is part of a group, include a brief description information about those properties and use operations. of the group and the company’s position maps to disclose information about their 1. To the extent that the financial within the group. Provide a listing of the location. statements disclose material changes in net company’s significant subsidiaries, including (b) If you are giving reserve estimates in the sales or revenues, provide a narrative name, country of incorporation or residence, registration statement or report: discussion of the extent to which such proportion of ownership interest and, if (i) Consult the staff of the Office of changes are attributable to changes in prices different, proportion of voting power held. International Corporate Finance of the or to changes in the volume or amount of D. Property, plants and equipment. The Division of Corporation Finance. That office products or services being sold or to the company shall provide information regarding may request that you provide supplementally introduction of new products or services. any material tangible fixed assets, including a copy of the full report of the engineer or 2. Describe the impact of inflation, if leased properties, and any major other expert who estimated the reserves. See material. If the currency in which financial encumbrances thereon, including a Rule 418 of Regulation C (§ 230.418 of this statements are presented is of a country that description of the size and uses of the chapter) and Rule 12b–4 of Regulation 12B has experienced hyperinflation, the existence property; productive capacity and extent of (§ 240.12b–4 of this chapter) for information of such inflation, a five year history of the utilization of the company’s facilities; how about submitting supplemental information annual rate of inflation and a discussion of the assets are held; the products produced; to the Commission and requesting its return. the impact of hyperinflation on the and the location. Also describe any (ii) In documents you file publicly with the company’s business shall be disclosed. environmental issues that may affect the Commission, do not disclose estimates of oil 3. Provide information regarding the company’s utilization of the assets. With or gas reserves unless the reserves are proved impact of foreign currency fluctuations on regard to any material plans to construct, (or in the case of other extractive industries, the company, if material, and the extent to expand or improve facilities, describe the proved or probable) and do not give which foreign currency net investments are nature of and reason for the plan, an estimate estimated values of those reserves, unless hedged by currency borrowings and other of the amount of expenditures including the foreign law requires you to disclose the hedging instruments. amount of expenditures already paid, a information. If these types of estimates have 4. Provide information regarding any description of the method of financing the already been provided to any person that is governmental economic, fiscal, monetary or activity, the estimated dates of start and offering to acquire you, however, you may political policies or factors that have completion of the activity, and the increase include the estimates in documents relating materially affected, or could materially affect, of production capacity anticipated after to the acquisition. directly or indirectly, the company’s completion. (iii) If you represent that the estimates of operations or investments by host country reserves you provide, or any estimated Instruction to Item 4: Furnish the shareholders. valuation of those reserves, are based on information specified in any industry guide B. Liquidity and capital resources. The estimates prepared or reviewed by listed in Part 9 of Regulation S–K (§ 229.802 following information shall be provided: independent consultants, you must name of this chapter) that applies to you, except 1. Information regarding the company’s that if you furnish the information specified those consultants in the document. liquidity (both short and long term), in Appendix A to Item 4.D of this form you (c) If oil and gas operations are material to including: do not need to furnish any additional your or your subsidiaries’ business (a) A description of the internal and information specified in Guide 2 relating to operations or financial position, provide the external sources of liquidity and a brief oil and gas operations. information specified in Appendix A to Item Instructions to Item 4.A.4: If you are 4.D, located at the end of this Form. discussion of any material unused sources of providing the information called for by Item liquidity. Include a statement by the 4.A.4 in an annual report, you only have to Item 5. Operating and Financial Review and company that, in its opinion, the working provide the required information for the Prospects capital is sufficient for the company’s present period from the beginning of your last full The purpose of this standard is to provide requirements, or, if not, how it proposes to financial year up to the latest practicable management’s explanation of factors that provide the additional working capital date. have affected the company’s financial needed. Instructions to Item 4.B: condition and results of operations for the (b) An evaluation of the sources and 1. The reference in Item 4.B to ‘‘the body historical periods covered by the financial amounts of the company’s cash flows, of accounting principles used in preparing statements, and management’s assessment of including the nature and extent of any legal the financial statements’’ means the factors and trends which are anticipated to or economic restrictions on the ability of accounting principles used in preparing the have a material effect on the company’s subsidiaries to transfer funds to the company primary financial statements, not to financial condition and results of operations in the form of cash dividends, loans or accounting principles used only to prepare in future periods. advances and the impact such restrictions the U.S. GAAP reconciliation. Discuss the company’s financial condition, have had or are expected to have on the 2. If you: changes in financial condition and results of ability of the company to meet its cash (a) Are filing a registration statement on operations for each year and interim period obligations. Form F–1 under the Securities Act or on for which financial statements are required, (c) Information on the level of borrowings Form 20–F under the Exchange Act, including the causes of material changes at the end of the period under review, the (b) Were not required to file reports under from year to year in financial statement line seasonality of borrowing requirements and Section 13(a) or 15(d) of the Exchange Act items, to the extent necessary for an the maturity profile of borrowings and immediately prior to filing that registration understanding of the company’s business as committed borrowing facilities, with a statement, and a whole. Information provided also shall description of any restrictions on their use. (c) Have not received (or your predecessor relate to all separate segments of the 2. Information regarding the type of has not received) revenue from operations company. Provide the information specified financial instruments used, the maturity during each of the three fiscal years below as well as such other information that profile of debt, currency and interest rate immediately prior to filing the registration is necessary for an investor’s understanding structure. The discussion also should include statement: of the company’s financial condition, funding and treasury policies and objectives you must provide information about your changes in financial condition and results of in terms of the manner in which treasury plan of operations. Provide information operations. activities are controlled, the currencies in comparable to the information required by A. Operating results. Provide information which cash and cash equivalents are held, Item 101(a)(2) of Regulation S–K. regarding significant factors, including the extent to which borrowings are at fixed
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Provide either the number of period and an indication of the general experience, qualifications and levels of employees at the end of the period or the purpose of such commitments and the compensation, as well as their relationship average for the period for each of the past anticipated sources of funds needed to fulfill with the company. Information concerning three financial years (and changes in such numbers, if material) and, if possible, a such commitments. the company’s employees is also required. breakdown of persons employed by main A. Directors and senior management. The C. Research and development, patents and category of activity and geographic location. following information shall be disclosed with licenses, etc. Provide a description of the Also disclose any significant change in the respect to the company’s directors and senior company’s research and development number of employees, and information management, and any employees such as policies for the last three years, where it is regarding the relationship between scientists or designers upon whose work the significant, including the amount spent management and labor unions. If the company is dependent: during each of the last three financial years company employs a significant number of 1. Name, business experience, functions on company-sponsored research and temporary employees, include disclosure of and areas of experience in the company. development activities. the number of temporary employees on an D. Trend information. The company 2. Principal business activities performed average during the most recent financial year. should identify the most significant recent outside the issuing company (including, in E. Share ownership. the case of directors, other principal trends in production, sales and inventory, the 1. With respect to the persons listed in directorships). state of the order book and costs and selling subsection 6.B, above, provide information as 3. Date of birth or age (if required to be prices since the latest financial year. The to their share ownership in the company as reported in the home country or otherwise of the most recent practicable date (including company also should discuss, for at least the publicly disclosed by the company). current financial year, any known trends, disclosure on an individual basis of the 4. The nature of any family relationship number of shares and percent of shares uncertainties, demands, commitments or between any of the persons named above. events that are reasonably likely to have a outstanding of that class, and whether they 5. Any arrangement or understanding with have different voting rights) held by the material effect on the company’s net sales or major shareholders, customers, suppliers or revenues, income from continuing persons listed and options granted to them others, pursuant to which any person on the company’s shares. Information operations, profitability, liquidity or capital referred to above was selected as a director regarding options shall include: the title and resources, or that would cause reported or member of senior management. amount of securities called for by the financial information not necessarily to be B. Compensation. Provide the following options; the exercise price; the purchase indicative of future operating results or information for the last full financial year for price, if any; and the expiration date of the financial condition. the company’s directors and members of its options. Instructions to Item 5: administrative, supervisory or management 2. Describe any arrangements for involving 1. Refer to the Commission’s interpretive bodies: the employees in the capital of the company, release (No. 33–6835) dated May 18, 1989 for 1. The amount of compensation paid, and including any arrangement that involves the guidance in preparing this discussion and benefits in kind granted, to such persons by issue or grant of options or shares or analysis by management of the company’s the company and its subsidiaries for services securities of the company. financial condition and results of operations. in all capacities to the company and its Instruction to Item 6.C: The term ‘‘plan’’ is 2. The discussion should focus on the subsidiaries by any person. Disclosure of used very broadly and includes any type of primary financial statements presented in the compensation is required on an individual arrangement for compensation, even if the document. You should refer to the basis unless individual disclosure is not terms of the plan are not contained in a reconciliation to U.S. GAAP, if any, and required in the company’s home country and formal document. discuss any aspects of the differences is not otherwise publicly disclosed by the Instruction to Item 6.E: If (a) any of the between foreign and U.S. GAAP, not company. The standard also covers persons listed in subsection 6.B beneficially otherwise discussed in the reconciliation, contingent or deferred compensation accrued owns less than one percent of the class of that you believe are necessary for an for the year, even if the compensation is shares and (b) that person’s individual share understanding of the financial statements as payable at a later date. If any portion of the ownership previously has not been disclosed compensation was paid (a) pursuant to a a whole. to shareholders or otherwise made public, bonus or profit-sharing plan, provide a brief 3. We encourage you to supply forward- you may indicate, by an asterisk and description of the plan and the basis upon looking information, but that type of explanatory footnote or similar means, that which such persons participate in the plan; information is not required. Forward-looking the person beneficially owns less than one or (b) in the form of stock options, provide information is covered expressly by the safe percent of the class, instead of providing that the title and amount of securities covered by person’s individual share ownership. harbor provisions of Section 27A of the the options, the exercise price, the purchase Securities Act and Section 27A of the price (if any), and the expiration date of the Item 7. Major Shareholders and Related Exchange Act. Forward-looking information options. Party Transactions is different than presently known data which 2. The total amounts set aside or accrued The purpose of this standard is to provide will have an impact on future operating by the company or its subsidiaries to provide information regarding the major shareholders results, such as known future increases in pension, retirement or similar benefits. and others that control or may control the costs of labor or materials. You are required C. Board practices. The following company. The standard also provides to disclose this latter type of data if it is information for the company’s last completed information regarding transactions the material. financial year shall be given with respect to, company has entered into with persons Instruction to Item 5.A: unless otherwise specified, the company’s affiliated with the company and whether the 1. You must provide the information directors, and members of its administrative, terms of such transactions are fair to the required by Item 5.A.2 with respect to supervisory or management bodies. company. These standards may require hyperinflation if hyperinflation has occurred 1. Date of expiration of the current term of disclosure of related party transactions not in any of the periods for which you are office, if applicable, and the period during required to be disclosed under the body of required to provide audited financial which the person has served in that office. accounting principles used in preparing the statements or unaudited interim financial 2. Details of directors’ service contracts financial statements. This standard is not statements in the document. See Rule 3–20(c) with the company or any of its subsidiaries intended to address the thresholds at which of Regulation S–X for a discussion of providing for benefits upon termination of shareholders are required, on a continuing cumulative inflation rates that trigger this employment, or an appropriate negative basis, to disclose their beneficial ownership requirement. statement. of securities.
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A. Major shareholders. To the extent that common with the company. Close members statement under the Securities Act. the following information is known to the of an individual’s family are those that may Accountants who provide a report on company or can be ascertained from public be expected to influence, or be influenced by, financial statements that are presented or filings, it should be provided as of the most that person in their dealings with the incorporated by reference in a registration recent practicable date, with references to the company. An associate is an unconsolidated statement should note Article 2 of Regulation number of shares held in the company enterprise in which the company has a S–X. That Article contains the Commission’s including shares beneficially owned. significant influence or which has significant requirements for qualifications and reports of 1. The following information shall be influence over the company. Significant accountants. provided regarding the company’s major influence over an enterprise is the power to shareholders, which means shareholders that participate in the financial and operating Item 8. Financial Information are the beneficial owners of 5% or more of policy decisions of the enterprise but is less The purpose of this standard is to specify each class of the company’s voting securities than control over those policies. which financial statements must be included (unless the company is required to disclose Shareholders beneficially owning a 10% in the document, as well as the periods to be a lesser percentage in its home country, in interest in the voting power of the company covered, the age of the financial statements which case that lesser percentage applies): are presumed to have a significant influence and other information of a financial nature. (a) Provide the names of the major on the company. A. Consolidated Statements and Other shareholders, and the number of shares and 1. The nature and extent of any Financial Information. the percentage of outstanding shares of each transactions or presently proposed 1. The document must contain class owned by each of them as of the most transactions which are material to the consolidated financial statements, audited by recent practicable date, or an appropriate company or the related party, or any an independent auditor and accompanied by negative statement if there are no major transactions that are unusual in their nature an audit report, comprised of: shareholders. or conditions, involving goods, services, or (a) Balance sheet; (b) Disclose any significant change in the tangible or intangible assets, to which the (b) Income statement; percentage ownership held by any major company or any of its parent or subsidiaries (c) Statement showing either (i) changes in shareholders during the past three years. was a party. equity other than those arising from capital (c) Indicate whether the company’s major 2. The amount of outstanding loans transactions with owners and distributions to shareholders have different voting rights, or (including guarantees of any kind) made by owners; or (ii) all changes in equity an appropriate negative statement. the company or any of its parent or (including a subtotal of all non-owner items 2. Information shall be provided as to the subsidiaries to or for the benefit of any of the recognized directly in equity); portion of each class of securities held in the persons listed above. The information given (d) Cash flow statement; host country and the number of record should include the largest amount (e) Related notes and schedules required by holders in the host country. outstanding during the period covered, the the comprehensive body of accounting 3. To the extent known to the company, amount outstanding as of the latest standards pursuant to which the financial state whether the company is directly or practicable date, the nature of the loan and statements are prepared; and indirectly owned or controlled by another the transaction in which it was incurred, and (f) If not included in the primary financial corporation(s), by any foreign government or the interest rate on the loan. statements, a note analyzing the changes in by any other natural or legal person(s) C. Interests of experts and counsel. If any each caption of shareholders’ equity severally or jointly, and, if so, give the of the named experts or counselors was presented in the balance sheet. name(s) of such controlling corporation(s), employed on a contingent basis, owns an 2. The document should include government or other person(s), and briefly amount of shares in the company or its comparative financial statements that cover describe the nature of such control, including subsidiaries which is material to that person, the latest three financial years, audited in the amount and proportion of capital held or has a material, direct or indirect economic accordance with a comprehensive body of giving a right to vote. interest in the company or that depends on auditing standards. 4. Describe any arrangements, known to the success of the offering, provide a brief 3. The audit report(s) must cover each of the company, the operation of which may at description of the nature and terms of such the periods for which these international a subsequent date result in a change in contingency or interest. disclosure standards require audited control of the company. Instructions to Item 7.B: financial statements. If the auditors have B. Related party transactions. Provide the 1. If you are providing the information refused to provide a report on the annual information required below for the period called for by Item 7.B in an annual report, accounts or if the report(s) contain since the beginning of the company’s you only have to provide the required qualifications or disclaimers, such refusal or preceding three financial years up to the date information for the period from the beginning such qualifications or disclaimers shall be of the document, with respect to transactions of your last full fiscal year up to the latest reproduced in full and the reasons given, so or loans between the company and (a) practicable date. the host country securities regulator can enterprises that directly or indirectly through 2. In response to Item 7.B.2, if the lender determine whether or not to accept the one or more intermediaries, control or are is a bank, savings and loan association, or financial statements. Include an indication of controlled by, or are under common control broker dealer extending credit under Federal any other information in the document with, the company; (b) associates; (c) Reserve Regulation T, and the loans are not which has been audited by the auditors. individuals owning, directly or indirectly, an disclosed as nonaccrual, past due, 4. The last year of audited financial interest in the voting power of the company restructured or potential problems under statements may not be older than 15 months that gives them significant influence over the Industry Guide 3, your response may consist at the time of the offering or listing; provided, company, and close members of any such of a statement, if true, that the loans in however, that in the case of the company’s individual’s family; (d) key management question (A) were made in the ordinary initial public offering, the audited financial personnel, that is, those persons having course of business, (B) were made on statements also shall be as of a date not older authority and responsibility for planning, substantially the same terms, including than 12 months at the time the document is directing and controlling the activities of the interest rates and collateral, as those filed. In such cases, the audited financial company, including directors and senior prevailing at the time for comparable statements may cover a period of less than a management of companies and close transactions with other persons, and (C) did full year. members of such individuals’ families; and not involve more than the normal risk of 5. If the document is dated more than nine (e) enterprises in which a substantial interest collectibility or present other unfavorable months after the end of the last audited in the voting power is owned, directly or features. financial year, it should contain consolidated indirectly, by any person described in (c) or Instruction to Item 7.C: If you are filing interim financial statements, which may be (d) or over which such a person is able to Form 20–F as a registration statement or unaudited (in which case that fact should be exercise significant influence. This includes annual report under the Exchange Act, you stated), covering at least the first six months enterprises owned by directors or major do not have to provide the information called of the financial year. The interim financial shareholders of the company and enterprises for by Item 7.C. You must provide this statements should include a balance sheet, that have a member of key management in information if you are filing a registration income statement, cash flow statement, and
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00034 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.036 pfrm08 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53919 a statement showing either (i) changes in 2. For offerings of securities (a) upon the statements may be in condensed form using equity other than those arising from capital exercise of outstanding rights granted by the major line items from the latest audited transactions with owners and distributions to issuer of the securities to be offered, if the financial statements. To determine which owners, or (ii) all changes in equity rights are granted pro rata to all existing major line items must be included in (including a subtotal of all non-owner items securityholders of the class of securities to condensed interim information, see Rules recognized directly in equity). Each of these which the rights attach; or (b) pursuant to a 10–01(a) (1) through (7). statements may be in condensed form as long dividend or interest reinvestment plan; or (c) 3. The third sentence from the end of Item as it contains the major line items from the upon the conversion of outstanding 8.A.5 requires you to include in the latest audited financial statements and convertible securities or upon the exercise of document interim financial information that includes the major components of assets, outstanding transferable warrants issued by has been published by the company if that liabilities and equity (in the case of the the issuer of the securities to be offered, or information covers a more current period balance sheet); income and expenses (in the by an affiliate of that issuer, the 15-month than the statements otherwise required by case of the income statement) and the major period referred to in Item 8.A.4 is extended Item 8. This requirement does not apply to subtotals of cash flows (in the case of the to 18 months and the interim financial annual reports filed on Form 20–F. The cash flow statement). The interim financial statements referred to in Item 8.A.5 shall be requirement covers any publication of statements should include comparative as of a date within 12 months of the date of financial information that includes, at a statements for the same period in the prior the document. The provisions of this minimum, revenue and income information, financial year, except that the requirement paragraph are not applicable if securities are even if that information is not published as for comparative balance sheet information to be offered or sold in a standby part of a complete set of financial statements. may be satisfied by presenting the year end underwriting in the United States or similar Whenever you provide more current interim balance sheet. If not included in the primary arrangement. financial information in response to this financial statements, a note should be Instructions to Item 8.A.2: requirement: provided analyzing the changes in each 1. You do not have to provide a balance (a) Describe any ways in which the caption of shareholders’ equity presented in sheet for the earliest of the three-year periods accounting principles, practices and methods the balance sheet. The interim financial specified in Item 8.A.2 if that balance sheet used in preparing that interim financial statements should include selected note is not required by a jurisdiction outside the information vary materially from the disclosures that will provide an explanation United States. principles, practices and methods accepted of events and changes that are significant to 2. The financial statements must be in the United States, and an understanding of the changes in financial audited in accordance with U.S. generally (b) Quantify any material variations, unless position and performance of the enterprise accepted auditing standards, and the auditor since the last annual reporting date. If, at the must comply with the U.S. and Commission they already are quantified because they date of the document, the company has standards for auditor independence. Note occur in other financial statements included published interim financial information that Article 2 of Regulation S–X, which contains in the document. covers a more current period than those requirements for qualifications and reports of Instructions to Item 8.A.7: otherwise required by this standard, the more accountants. 1. This Item also requires disclosure of any current interim financial information must be Instruction to Item 8.A.3: The material proceeding in which any director, included in the document. Companies are circumstances in which we would accept an any member of senior management, or any of encouraged, but not required, to have any audit report containing a disclaimer or your affiliates is either a party adverse to you interim financial statements in the document qualification are extremely limited. If you or your subsidiaries or has a material interest reviewed by an independent auditor. If such plan to submit this type of report, we adverse to your or your subsidiaries. a review has been performed and is referred recommend that you contact the staff of the 2. If you are providing the information to in the document, a copy of the auditor’s Office of Chief Accountant in the Division of called for by Item 8.A.7 in an annual report, interim review report must be provided in Corporation Finance well in advance of filing also describe the disposition of any the document. the document, to discuss the report. previously reported litigation that occurred 6. If the amount of export sales constitutes Instructions to Item 8.A.4: during the last fiscal year. a significant portion of the company’s total 1. In calculating the 15-month requirement Item 9. The Offer and Listing sales volume, provide the total amount of for the age of financial statements, determine export sales and the percent and amount of the age based on the period of time that has The purpose of this standard is to provide export sales in the total amount of sales elapsed between the date of the balance sheet information regarding the offer or listing of volume. and ‘‘the time of the offering or listing,’’ securities, the plan for distribution of the 7. Provide information on any legal or which means the time the registration securities and related matters. arbitration proceedings, including those statement is declared effective. You may A. Offer and listing details. relating to bankruptcy, receivership or satisfy this requirement by providing audited 1. Indicate the expected price at which the similar proceedings and those involving any financial statements covering a period of less securities will be offered or the method of third party, which may have, or have had in than a full year. determining the price, and the amount of any the recent past, significant effects on the 2. The additional requirement that expenses specifically charged to the company’s financial position or profitability. financial statements be no older than 12 subscriber or purchaser. This includes governmental proceedings months at the date of filing applies only in 2. If there is not an established market for pending or known to be contemplated. those limited cases where a nonpublic the securities, the document shall contain 8. Describe the company’s policy on company is registering its initial public information regarding the manner of dividend distributions. offering of securities. We will waive this determination of the offering price as well as B. Significant Changes. Disclose whether requirement in cases where the company is of the exercise price of warrants and the or not any significant change has occurred able to represent adequately to us that it is conversion price of convertible securities, since the date of the annual financial not required to comply with this requirement including who established the price or who statements, and/or since the date of the most in any other jurisdiction outside the United is formally responsible for the determination recent interim financial statements, if any, States and that complying with the of the price, the various factors considered in included in the document. requirement is impracticable or involves such determination and the parameters or Instructions to Item 8: undue hardship. File this representation as elements used as a basis for establishing the 1. This item refers to the company, but an exhibit to the registration statement. If we price. note that under Rules 3–05, 3–09, 3–10 and waive the 12-month requirement, you must 3. If the company’s shareholders have pre- 3–14 of Regulation S–X, you also may have comply with the 15-month requirement in emptive purchase rights and where the to provide financial statements or financial this item. exercise of the right of pre-emption of information for entities other than the issuer. Instructions to Item 8.A.5: shareholders is restricted or withdrawn, the In some cases, you may have to provide 1. Item 8.A.5 does not apply to annual company shall indicate the basis for the issue financial statements for a predecessor. See reports on Form 20–F. price if the issue is for cash, together with the the definition of ‘‘predecessor’’ in Exchange 2. The third sentence of Item 8.A.5 reasons for such restriction or withdrawal Act Rule 12b–2 and Securities Act Rule 405. explains that the required interim financial and the beneficiaries of such restriction or
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Plan of distribution. admission to any exchange and/or regulated (b) For the two most recent full financial 1. The names and addresses of the entities market is being or will be sought, this must years and any subsequent period: the high underwriting or guaranteeing the offering be mentioned, without creating the and low market prices for each full financial shall be listed. impression that the listing necessarily will be quarter; 2. To the extent known to the company, approved. If known, the dates on which the (c) For the most recent six months: the high indicate whether major shareholders, shares will be listed and dealt in should be and low market prices for each month; directors or members of the company’s given. (d) For pre-emptive issues, the market management, supervisory or administrative D. Selling shareholders. The following prices for the first trading day in the most bodies intend to subscribe in the offering, or information shall be provided: recent six months, for the last trading day whether any person intends to subscribe for 1. The name and address of the person or before the announcement of the offering and more than 5% of the offering. entity offering to sell the shares, the nature (if different) for the latest practicable date 3. Identify any group of targeted potential of any position, office or other material prior to publication of the document. investors to whom the securities are offered. relationship that the selling shareholder has Information shall be given with respect to If the offering is being made simultaneously had within the past three years with the the market price in the host market and the in the markets of two or more countries and company or any of its predecessors or principal trading market outside the host if a tranche has been or is being reserved for affiliates. market. If significant trading suspensions certain of these, indicate any such tranche. 2. The number and class of securities being occurred in the prior three years, they shall 4. If securities are reserved for allocation to offered by each of the selling shareholders, be disclosed. If the securities are not any group of targeted investors, including, for and the percentage of the existing equity regularly traded in an organized market, example, offerings to existing shareholders, capital. The amount and percentage of the information shall be given about any lack of directors, or employees and past employees securities for each particular type of liquidity. of the company or its subsidiaries, provide securities beneficially held by the selling 5. State the type and class of the securities details of these and any other preferential shareholder before and immediately after the being offered or listed and furnish the allocation arrangements. offering shall be specified. following information: 5. Indicate whether the amount of the E. Dilution. The following information offering could be increased, such as by the shall be provided: (a) Indicate whether the shares are exercise of an underwriter’s over-allotment 1. Where there is a substantial disparity registered shares or bearer shares and provide option or ‘‘greenshoe,’’ and by how much. between the public offering price and the the number of shares to be issued and to be 6. Indicate the amount, and outline briefly effective cash cost to directors or senior made available to the market for each kind the plan of distribution, of any securities that management, or affiliated persons, of equity of share. The nominal par or equivalent value are to be offered otherwise than through securities acquired by them in transactions should be given on a per share basis and, underwriters. If the securities are to be during the past five years, or which they have where applicable, a statement of the offered through the selling efforts of brokers the right to acquire, include a comparison of minimum offer price. Describe the coupons or dealers, describe the plan of distribution the public contribution in the proposed attached, if applicable. and the terms of any agreement or public offering and the effective cash (b) Describe arrangements for transfer and understanding with such entities. If known, contributions of such persons. any restrictions on the free transferability of identify the broker(s) or dealer(s) that will 2. Disclose the amount and percentage of the shares. participate in the offering and state the immediate dilution resulting from the 6. If the rights evidenced by the securities amount to be offered through each. offering, computed as the difference between being offered or listed are or may be 7. If the securities are to be offered in the offering price per share and the net book materially limited or qualified by the rights connection with the writing of exchange- value per share for the equivalent class of evidenced by any other class of securities or traded call options, describe briefly such security, as of the latest balance sheet date. by the provisions of any contract or other transactions. 3. In the case of a subscription offering to documents, include information regarding 8. If simultaneously or almost existing shareholders, disclose the amount such limitation or qualification and its effect simultaneously with the creation of shares and percentage of immediate dilution if they on the rights evidenced by the securities to for which admission to official listing is do not subscribe to the new offering. be listed or offered. being sought, shares of the same class are F. Expenses of the issue. The following 7. With respect to securities other than subscribed for or placed privately or if shares information shall be provided: common or ordinary shares to be listed or of other classes are created for public or 1. The total amount of the discounts or offered, outline briefly the rights evidenced private placing, details are to be given of the commissions agreed upon by the thereby. nature of such operations and of the number underwriters or other placement or selling (a) If subscription warrants or rights are to and characteristics of the shares to which agents and the company or offeror shall be be listed or offered, state: the title and they relate. disclosed, as well as the percentage such amount of securities called for; the amount 9. Unless otherwise described under the commissions represent of the total amount of of warrants or rights outstanding; provisions response to Item 10.C (Material Contracts), the offering and the amount of discounts or for changes to or adjustments in the exercise describe the features of the underwriting commissions per share. price; the period during which and the price relationship together with the amount of 2. A reasonably itemized statement of the at which the warrants or rights are securities being underwritten by each major categories of expenses incurred in exercisable; and any other material terms of underwriter in privity of contract with the connection with the issuance and such warrants or rights. company or selling shareholders. The distribution of the securities to be listed or (b) Where convertible securities or stock foregoing information should include a offered and by whom the expenses are purchase warrants to be listed or offered are statement as to whether the underwriters are payable, if other than the company. If any of subject to redemption or call, the description or will be committed to take and to pay for the securities are to be offered for the account of the conversion terms of the securities or all of the securities if any are taken, or of a selling shareholder, indicate the portion material terms of the warrants shall include whether it is an agency or the type of ‘‘best of such expenses to be borne by such whether the right to convert or purchase the efforts’’ arrangement under which the shareholder. The information may be given securities will be forfeited unless it is underwriters are required to take and to pay subject to future contingencies. If the exercised before the date specified in the for only such securities as they may sell to amounts of any items are not known, notice of redemption or call; the expiration the public. estimates (identified as such) shall be given. or termination date of the warrants; the kind, 10. If any underwriter or other financial Instruction to Item 9: If you are using this frequency and timing of notice of the adviser has a material relationship with the Form as a registration statement under the
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Exchange Act, provide only the information capital, for example, in connection with shares, including: (a) dividend rights, called for by Items 9.A.4–7 and 9.C. If you warrants, convertible obligations or other including the time limit after which dividend are using this Form as an annual report, outstanding equity-linked securities, or entitlement lapses and an indication of the provide only the information called for by subscription rights granted, indicate: (i) the party in whose favor this entitlement Items 9.A.4 and 9.C. If you are providing this amount of outstanding equity-linked operates; (b) voting rights, including whether information in a Securities Act registration securities and of such authorized capital or directors stand for reelection at staggered statement, provide the information called for capital increase and, where appropriate, the intervals and the impact of that arrangement by the entire Item. duration of the authorization; (ii) the where cumulative voting is permitted or Instruction to Item 9.A: When you are categories of persons having preferential required; (c) rights to share in the company’s required to state the title of the securities, the subscription rights for such additional profits; (d) rights to share in any surplus in title must indicate the type and general portions of capital; and (iii) the terms, the event of liquidation; (e) redemption character of the securities, such as whether arrangements and procedures for the share provisions; (f) sinking fund provisions; (g) they are callable, convertible or redeemable issue corresponding to such portions. liability to further capital calls by the and whether there is any preference or fixed 5. The persons to whom any capital of any company; and (h) any provision rate of dividends. member of the group is under option or discriminating against any existing or Instructions to Item 9.B: agreed conditionally or unconditionally to be prospective holder of such securities as a 1. You may satisfy the requirement in Item put under option, including the title and 9.B.1 to provide the underwriters’ addresses amount of securities covered by the options; result of such shareholder owning a by giving the addresses of the lead the exercise price; the purchase price, if any; substantial number of shares. underwriters for the offering. and the expiration date of the options, or an 4. Describe what action is necessary to 2. If previously you have not been required appropriate negative statement. Where change the rights of holders of the stock, to file reports under section 13(a) or 15(d) of options have been granted or agreed to be indicating where the conditions are more the Exchange Act and any of the managing granted to all the holders of shares or debt significant than is required by law. underwriters (or a majority of the principal securities, or of any class thereof, or to 5. Describe the conditions governing the underwriters) has been organized, reactivated employees under an employees’ share manner in which annual general meetings or first registered as a broker-dealer within scheme, it will be sufficient so far as the and extraordinary general meetings of the past three years, disclose that fact. Also names are concerned, to record that fact shareholders are convoked, including the disclose, if true, that the principal business without giving names. conditions of admission. function of this underwriter will be to sell 6. A history of share capital for the last 6. Describe any limitations on the rights to the securities being registered or that your three years identifying the events during own securities, including the rights of non- promoters or founders have a material such period which have changed the amount resident or foreign shareholders to hold or relationship with this underwriter. Give of the issued capital and/or the number and exercise voting rights on the securities enough details to provide a clear picture of classes of shares of which it composed, imposed by foreign law or by the charter or the underwriter’s experience and its together with a description of changes in other constituent document of the company relationship with you, your promoters or voting rights attached to the various classes or state that there are no such limitations if founders, and their controlling persons. of shares during that time. Details should be that is the case. Instruction to Item 9.F: Major categories of given of the price and terms of any issue 7. Describe briefly any provision of the expenses include at least the following: including particulars of consideration where company’s articles of association, charter or registration fees, federal taxes, state taxes and this was other than cash (including bylaws that would have an effect of delaying, fees, trustees’ and transfer agents’ fees, information regarding discounts, special deferring or preventing a change in control of printing and engraving costs, legal fees, terms or installment payments). If there are the company and that would operate only accounting fees, engineering fees, and any no such issues, an appropriate negative with respect to a merger, acquisition or premiums paid to insure directors or officers statement must be made. The reason for any corporate restructuring involving the for liabilities in connection with the reduction of the amount of capital and the company (or any of its subsidiaries). registration, offer or sale of the securities you ratio of capital reductions also shall be given. 8. Indicate the bylaw provisions, if any, are registering. 7. An indication of the resolutions, governing the ownership threshold above authorizations and approvals by virtue of Item 10. Additional Information which shareholder ownership must be which the shares have been or will be created disclosed. The purpose of this standard is to provide and/or issued, the nature of the issue and 9. With respect to items 2 through 8 above, information, most of which is of a statutory amount thereof and the number of shares if the law applicable to the company in these nature, that is not covered elsewhere in the which have been or will be created and/or areas is significantly different from that in document. issued, if predetermined. the host country, the effect of the law in these A. Share capital. The following B. Memorandum and articles of areas should be explained. information shall be given as of the date of association. The following information shall the most recent balance sheet included in the be provided: 10. Describe the conditions imposed by the financial statements and as of the latest 1. Indicate the registor and the entry memorandum and articles of association practicable date: number therein, if applicable, and describe governing changes in the capital, where such 1. The amount of issued capital and, for the company’s objects and purposes and conditions are more stringent than is each class of share capital: (a) the number of where they can be found in the memorandum required by law. shares authorized; (b) the number of shares and articles. C. Material contracts. Provide a summary issued and fully paid and issued but not fully 2. With respect to directors, provide a of each material contract, other than paid; (c) the par value per share, or that the summary of any provisions of the company’s contracts entered into in the ordinary course shares have no par value; and (d) a articles of association or charter and bylaws of business, to which the company or any reconciliation of the number of shares with respect to: (a) a director’s power to vote member of the group is a party, for the two outstanding at the beginning and end of the on a proposal, arrangement or contract in years immediately preceding publication of year. If more than 10% of capital has been which the director is materially interested; the document, including dates, parties, paid for with assets other than cash within (b) the directors’ power, in the absence of an general nature of the contracts, terms and the past five years, that fact should be stated. independent quorum, to vote compensation conditions, and amount of any consideration 2. If there are shares not representing to themselves or any members of their body; passing to or from the company or any other capital, the number and main characteristics (c) borrowing powers exercisable by the member of the group. of such shares shall be stated. directors and how such borrowing powers D. Exchange controls. Describe any 3. Indicate the number, book value and can be varied; (d) retirement or non- governmental laws, decrees, regulations or face value of shares in the company held by retirement of directors under an age limit other legislation of the home country of the or on behalf of the company itself or by requirement; and (e) number of shares, if any, company which may affect: subsidiaries of the company. required for director’s qualification. 1. The import or export of capital, 4. Where there is authorized but unissued 3. Describe the rights, preferences and including the availability of cash and cash capital or an undertaking to increase the restrictions attaching to each class of the equivalents for use by the company’s group.
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2. The remittance of dividends, interest or information if it is relevant to the securities 11. The names and addresses of the paying other payments to nonresident holders of the you are registering. agents. company’s securities. 1. Information about interest, conversions, 12. The currency or currencies in which E. Taxation. The company shall provide maturity, redemption, amortization, sinking the debt is payable. If the debt may be paid information regarding taxes (including funds or retirement. in two or more currencies, state who has the withholding provisions) to which 2. The kind and priority of any lien option to determine the currency conversion shareholders in the host country may be securing the issue, as well as a brief and what the basis will be for that subject. Information should be included as to identification of the principal properties determination. whether the company assumes responsibility subject to each lien. 13. Any law or decree determining the for the withholding of tax at the source and 3. Subordination of the rights of holders of extent to which the securities may be regarding applicable provisions of any the securities to other security holders or serviced. reciprocal tax treaties between the home and creditors. If the securities are designated in 14. The consequences of any failure to pay host countries, or a statement, if applicable, their title as subordinated, give the aggregate principal, interest, or any sinking or that there are no such treaties. amount of outstanding indebtedness as of the amortization installment. F. Dividends and paying agents. Disclose most recent practicable date that is senior to 15. If the securities are guaranteed, the any dividend restrictions, the date on which the subordinated debt and briefly describe name of the guarantor and a brief outline of the entitlement to dividends arises, if known, any limitations on the issuance of additional the contract of guarantee. and any procedures for nonresident holders senior indebtedness, or state that there is no B. Warrants and Rights. If the securities to claim dividends. Identify the financial limitation. you are registering are being offered pursuant organizations which, at the time of admission 4. Information about provisions restricting to warrants or rights, provide the following of shares to official listing, are the paying the declaration of dividends or requiring the information, in addition to the description of agents of the company in the countries where creation or maintenance of any reserves or of the securities the warrants or rights admission has taken place or is expected to any ratio of assets or requiring the represent. take place. maintenance of properties. 1. The amount of securities called for by G. Statement by experts. Where a statement 5. Information about provisions permitting the warrants or rights. or report attributed to a person as an expert or restricting the issuance of additional 2. The period during and the price at is included in the document, provide such securities, the withdrawal of cash deposited which the warrants or rights are exercisable. person’s name, address and qualifications against the issuance of additional securities, 3. The amount of warrants or rights and a statement to the effect that such the incurring of additional debt, the release outstanding. statement or report is included, in the form or substitution of assets securing the issue, 4. Provisions for changes or adjustments in the modification of the terms of the security and context in which it is included, with the the exercise price. and similar provisions. You do not need to consent of that person, who has authorized 5. Any other material terms of the warrants describe provisions permitting the release of the contents of that part of the document. or rights. assets upon the deposit of equivalent funds H. Documents on display. The company C. Other Securities. If you are registering or the pledge of equivalent property, the shall provide an indication of where the securities other than equity, debt, warrants or release of property no longer required in the documents concerning the company which rights, briefly describe the rights evidenced are referred to in the document may be business, obsolete property or property taken by eminent domain, the application of by the securities you are registering. The inspected. Exhibits and documents on description should be comparable in detail to display generally should be translated into insurance monies, and similar provisions. 6. The general type of event that the description you would be required to the language of the host country, or a provide for equity, debt, warrants or rights. summary in the host country language constitutes a default and whether or not you are required to provide periodic evidence of D. American Depositary Shares. If you are should be provided. registering American depositary shares I. Subsidiary Information. Certain the absence of a default or of compliance with the terms of the indenture. represented by American depositary receipts, information relating to the company’s provide the following information. subsidiaries must be provided in some 7. Modification of the terms of the security or the rights of security holders. 1. Give the name of the depositary and the countries, if the information is not otherwise address of its principal executive office. called for by the body of generally accepted 8. If the rights evidenced by the securities you are registering are or may be materially 2. Give the title of the American depositary accounting principles used in preparing the receipts and identify the deposited security. financial statements. limited or qualified by the rights of any other authorized class of securities, provide Briefly describe the American depositary Instructions to Item 10: enough information about the other class of shares, including provisions, if any, 1. In annual reports filed on Form 20–F: securities so investors will understand the regarding: (a) You do not have to provide the rights evidenced by the securities you are (a) The amount of deposited securities information called for by Items 10.A, 10.F registering. You do not need to provide represented by one unit of American and 10.G; and information about the other class of securities depositary receipts; (b) If the information called for by Item if all of it will be retired, as long as you have (b) Any procedure for voting the deposited 10.B has been reported previously in a taken appropriate steps to ensure that securities; registration statement on Form 20–F or a retirement will be completed on or before the (c) The procedure for collecting and registration statement filed under the time you deliver the securities you are distributing dividends; Securities Act and has not changed, you may registering. (d) The procedures for transmitting notices, incorporate that information by a specific 9. The tax effects of any ‘‘original issue reports and proxy soliciting material; reference in the annual report to the previous discount’’ as that term is defined in Section (e) The sale or exercise of rights; registration statement. 1232 of the Internal Revenue Code (26 U.S.C. (f) The deposit or sale of securities 2. In registration statements filed under the 1232), including cases where the debt resulting from dividends, splits or plans of Securities Act or the Exchange Act that relate security is being sold in a package with reorganization; to securities other than common equity, you another security and the allocation of the (g) Amendment, extension or termination do not have to provide the information called offering price between the two securities may of the deposit arrangements; for by Items 10.A or 10.F. have the effect of offering the debt security (h) The rights that holders of American 3. The information referred to in Item 10.I at an original issue discount. depositary receipts have to inspect the books is not required for registration statements and 10. The name and address of the trustee of the depositary and the list of receipt reports filed in the United States. and the nature of any material relationship holders; * * * * * between the trustee and you or any of your (i) Any restrictions on the right to transfer affiliates, the percentage of the class of or withdraw the underlying securities; and Item 12. Description of Securities Other securities that is needed to require the trustee (j) Any limitation on the depositary’s Than Equity Securities to take action, and what indemnification the liability. A. Debt Securities. If you are registering trustee may require before proceeding to 3. Describe all fees and charges that a debt securities, provide the following enforce the lien. holder of American depositary receipts may
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00038 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.041 pfrm08 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53923 have to pay, either directly or indirectly. 2. Any class of preferred stock of your Provide the information required by Indicate the type of service, the amount of significant subsidiaries, state the title of the paragraphs E.1 through E.4 below in the first the fees or charges and to whom the fees or class and the nature of the arrearage or Form 20–F annual report you file pursuant to charges are paid. In particular, provide delinquency. If the payment of dividends is sections 13(a) and 15(d) of the Exchange Act. information about any fees or charges in in arrears, state the amount of this arrearage In subsequent Form 20–F annual reports, you connection with (a) depositing or substituting and the total arrearage on the date you file only need to provide the information the underlying shares; (b) receiving or this report. required by paragraphs E.2 through E.4 if that distributing dividends; (c) selling or Instructions to Item 13: information has changed since the last Form exercising rights; (d) withdrawing an 1. If you previously have reported 20–F annual report you filed. underlying security; and (e) transferring, information called for by this item in a report 1. The effective date of the Securities Act splitting or grouping receipts. Provide on Form 6–K, you may incorporate the registration statement for which the use of information about the depositary’s right, if information by specifically referring in this proceeds information is being disclosed and any, to collect fees and charges by offsetting report to the previous report. the Commission file number assigned to that them against dividends received and 2. You do not have to provide the registration statement; deposited securities. information called for by this Item if the 2. The offering date, if the offering has Instructions to Item 12: default or arrearage relates to a class of commenced, or an explanation of why it has 1. You do not need to provide the securities held entirely by or for the account not commenced; information called for by this item if you are of you or any of your wholly owned 3. If the offering terminated before any using this form as an annual report. subsidiaries. securities were sold, an explanation for the 2. You do not need to include any Instructions to Item 13.A: This requirement termination; and only applies to events that have become information in a registration statement or 4. If the offering did not terminate before defaults under the governing instruments, any securities were sold, disclose: prospectus in response to Item 305(a)(2) of i.e., after any grace period has expired and (a) Whether the offering has terminated the Trust Indenture Act of 1939, 15 U.S.C. any notice requirements have been satisfied. and, if so, whether it terminated before all of 77aaa et seq., as amended, if the information the registered securities were sold; is not otherwise required by this Item. Item 14. Material Modifications to the Rights (b) The name(s) of the managing 3. If you are registering convertible of Security Holders and Use of Proceeds underwriter(s), if any; securities or stock purchase warrants that are A. If you or anyone else has modified (c) The title of each class of securities subject to redemption or call, include the materially the instruments defining the rights registered and, if a class of convertible following information in your description of of holders of any class of registered securities is being registered, the title of any the securities. securities, identify that class of securities and class of securities into which the convertible a. Whether holders will forfeit the right to briefly describe the general effect of the securities may be converted; convert or purchase the securities unless they modification on the rights of those security (d) For each class of securities (other than exercise that right before the date specified holders. a class into which a class of registered in the notice of redemption or call; B. If you or anyone else has modified convertible securities may be converted b. The expiration or termination date of the materially or qualified the rights evidenced without additional payment to the issuer) the warrants; by any class of registered securities by following information, provided for both the c. The kinds, frequency and timing of the issuing or modifying any other class of account of the issuer and the account(s) of redemption or call notice, including the securities, briefly describe the general effect any selling shareholder(s): the amount cities or newspapers in which you will of the issuance or modification on the rights registered, the aggregate price of the offering publish the notice; and of holders of the registered securities. amount registered, the amount sold and the d. In the case of bearer securities, that C. If you or anyone else has withdrawn or aggregate offering price of the amount sold to investors are responsible for making substituted a material amount of the assets date; arrangements to avoid losing the right to securing any class of your registered (e) From the effective date of the Securities convert or purchase if there is a redemption securities, provide the following information. Act registration statement to the ending date or call, such as by reading the newspapers in 1. Give the title of the securities. of the reporting period, the amount of which you will publish the redemption or 2. Identify and describe briefly the assets expenses incurred for the issuer’s account in call notice. withdrawn or substituted. connection with the issuance and 4. When you are required to state the title 3. Indicate the provisions in the underlying distribution of the registered securities for of the securities, the title must indicate the indenture, if any, that authorize the underwriting discounts and commissions, type and general character of the securities. withdrawal or substitution. D. If the trustees or paying agents for any finders’ fees, expenses paid to or for Part II registered securities have changed during the underwriters, other expenses and total last financial year, give the names and expenses. Indicate if a reasonable estimate for Item 13. Defaults, Dividend Arrearages and the amount of expenses is provided instead Delinquencies addresses of the new trustees or paying agents. of the actual amount of the expense. Indicate A. If there has been: E. Use of proceeds. If required pursuant to whether the payments were: 1. A material default in the payment of Rule 463 under the Securities Act, report the (i) Direct or indirect payments to directors, principal, interest, a sinking or purchase use of proceeds after the effective date of the officers, general partners of the issuer or their fund installment, or first Securities Act registration statement associates; to persons owning 10% or more 2. Any other material default not cured filed by you or your predecessor. You must of any class of the issuer’s equity securities; within 30 days, relating to indebtedness of report the use of proceeds: and to affiliates of the issuer; or you or any of your significant subsidiaries, (i) On the first Form 20–F annual report (ii) Direct or indirect payments to others; and if the amount of the indebtedness you file pursuant to sections 13(a) and 15(d) (f) The net offering proceeds to the issuer exceeds 5% of your total assets on a of the Exchange Act after the Securities Act after deducting the total expenses described consolidated basis, identify the indebtedness registration statement is effective, and in paragraph E.4(e) of this Item; and state the nature of the default. If the (ii) On each of your subsequent Form 20– (g) From the effective date of the Securities default falls under paragraph A.1 above, state F annual reports filed pursuant to sections Act registration statement to the ending date the amount of the default and the total 13(a) and 15(d) of the Exchange Act. of the reporting period, the amount of net arrearage on the date you file this report. You may cease reporting the use of offering proceeds to the issuer used for B. If the payment of dividends is in arrears proceeds on the later of the date you disclose construction of plant, building and facilities; or there has been any other material application of all the offering proceeds, or the purchase and installation of machinery and delinquency not cured within 30 days, date you disclose termination of the offering. equipment; purchases of real estate; relating to: If a required report on the use of proceeds acquisition of other business(es); repayment 1. Any class of your preferred stock which relates to the first effective registration of indebtedness; working capital; temporary is registered or ranks prior to any class of statement of your predecessor, you must investments (which should be specified); and registered securities, or provide the report. any other purposes for which at least 5% of
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00039 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 53924 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations the issuer’s total offering proceeds or Signatures (c) A copy of the indenture, if the securities $100,000 (whichever is less) has been used The registrant hereby certifies that it meets being registered are or will be issued under (which should be specified). Indicate if a all of the requirements for filing on Form 20– an indenture qualified under the Trust reasonable estimate for the amount of net F and that it has duly caused and authorized Indenture Act of 1939. Include a reasonably offering proceeds applied instead of the the undersigned to sign this registration itemized and informative table of contents actual amount of net offering proceeds used. statement [annual report] on its behalf. and a cross-reference sheet showing the Indicate whether such payments were: lllllllllllllllllllll location in the indenture of the provisions (i) Direct or indirect payments to directors, (Registrant) inserted pursuant to sections 310 through officers, general partners of the issuer or their lllllllllllllllllllll 318(a) inclusive of the Trust Indenture Act. 3. Any voting trust agreements and any associates; to persons owning 10% or more (Signature)* of any class of the issuer’s equity securities; amendments to those agreements. Date: llllllllllllllllll and to affiliates of the issuer; or 4. (a) Every contract that is material to you lllllllllllllllllllll (ii) Direct or indirect payments to others; and (i) is to be performed in whole or in part and *Print the name and title of the signing on or after the date you file the registration (h) If the use of proceeds in paragraph officer under this signature. statement or (ii) was entered into not more than two years before the filing date. Only E.4(g) of this Item represents a material Instructions as to Exhibits change in the use of proceeds described in file a contract if you or your subsidiary is a the prospectus, the issuer should describe File the exhibits listed below as part of an party or has succeeded to a party by briefly the material change. Exchange Act registration statement or assumption or assignment or if you or your report. Rule 12b–32 explains the subsidiary has a beneficial interest. Instruction to Item 14: If you previously circumstances in which you may incorporate (b) If a contract is the type that ordinarily have reported information called for by this exhibits by reference. Rule 24b–2 explains accompanies the kind of business you and item in a report on Form 6–K, you may the procedure to be followed in requesting your subsidiaries conduct, we will consider incorporate the information by specifically confidential treatment of information it have been made in the ordinary course of referring in this report to the previous report. required to be filed. business and will not require you to file it, Instruction to Item 14.B: You should report Previously filed exhibits may be unless it falls within one or more of the any working capital restrictions or other incorporated by reference. If any previously following categories. Even if it falls into one limitations on the payment of dividends. filed exhibits have been amended or of these categories, you do not have to file Instruction to Item 14.C: You do not have modified, file copies of the amendment or the contract if it is immaterial in amount or to provide the information called for by Item modification or copies of the entire exhibit as significance. 14.C. if the withdrawal or substitution is amended or modified. (i) Any contract to which (A) directors, (B) made pursuant to the terms of an indenture Include an exhibit index in each officers, (C) promoters, (D) voting trustees or qualified under the Trust Indenture Act of registration statement or report you file, (E) security holders named in the registration 1939. immediately preceding the exhibits you are statement are parties, unless the contract Item 15. [Reserved] filing. The exhibit index must list each involves only the purchase or sale of current exhibit according to the number assigned to assets that have a determinable market price Item 16. [Reserved] it below. If an exhibit is incorporated by and the assets are purchased or sold at that Part III reference, note that fact in the exhibit index. price; The pages of the manually signed original (ii) Any contract upon which your business [See General Instruction E(c)] registration statement should be numbered in is substantially dependent. Examples of these * * * * * sequence, and the exhibit index should give types of contracts might be (a) continuing the page number in the sequential numbering contracts to sell the major part of your Item 18. Financial Statements system where each exhibit can be found. products or services or to purchase the major Provide the following information: 1. The articles of incorporation or part of your requirement of goods, services or (a) All of the information required by Item association and bylaws, or comparable raw materials, or (b) any franchise or license 17 of this Form, and instruments, as currently in effect and any or other agreement to use a patent, formula, (b) All other information required by U.S. amendments to those documents. If you are trade secret, process or trade name if your generally accepted accounting principles and filing an amendment, file a complete copy of business depends to a material extent on that Regulation S–X unless such requirements the document as amended. patent, formula, trade secret processor trade specifically do not apply to the registrant as 2. (a) All instruments defining the rights of name; a foreign issuer. However, information may holders of the securities being registered. You (iii) Any contract for the acquisition or sale be omitted (i) for any period in which net do not have to file instruments that define of any property, plant or equipment if the income has not been presented on a basis the rights of participants, rather than security consideration exceeds 15% of your fixed reconciled to United States generally holders, in an employee benefit plan. assets on a consolidated basis; or accepted accounting principles, or (ii) if the (b) All instruments defining the rights of (iv) Any material lease under which you financial statements are furnished for a holders of long-term debt issued by you or hold part of the property described in the business acquired or to be acquired pursuant any subsidiary for which you are required to registration statement. to § 210.3–05 or less-than-majority-owned file consolidated or unconsolidated financial (c) We will consider any management investee pursuant to § 210.3–09 of this statements, except that you do not have to contract or compensatory plan, contract or chapter. file: arrangement in which your directors or Instruction to Item 18: All of the (i) Any instrument relating to long-term members of your administrative, supervisory instructions to Item 17 also apply to this debt that is not being registered on this or management bodies participate to be Item, except Instruction 3 to Item 17, which registration statement, if the total amount of material. File these management contracts or does not apply. securities authorized under that instrument compensatory plans, contracts or does not exceed 10% of the total assets of arrangements unless they fall into one of the Item 19. Exhibits you and your subsidiaries on a consolidated following categories: List all exhibits filed as part of the basis and you have filed an agreement to (i) Ordinary purchase and sale agency registration statement or annual report, furnish us a copy of the instrument if we agreements; including exhibits incorporated by reference. request it; (ii) Agreements with managers of stores in Instruction to Item 19: If you incorporate (ii) Any instrument relating to a class of a chain or similar organization; any financial statement or exhibit by securities if, on or before the date you deliver (iii) Contracts providing for labor or reference, include the incorporation by the securities being registered, you take salesmen’s bonuses or for payments to a class reference in the list required by this Item. appropriate steps to assure that class of of security holders in their capacity as Note Rule 1b2–23 regarding incorporation by securities will be redeemed or retired; or security holders; reference. Note also the Instructions to (iii) Copies of instruments evidencing (iv) Any compensatory plan, contract or Exhibits at the end of this Form. script certificates for fractions of shares. arrangement that is available by its terms to
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00040 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.045 pfrm08 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53925 employees, officers or directors generally, if of financial condition and results of polymers (21 CFR 178.2010) to provide the operation of the plan, contract or operations,’’ and adding, in their place, for the expanded safe use of 2,4-di-tert- arrangement uses the same method to the words ‘‘ Item 5 of Form 20–F pentyl-6-[1-(3,5-di-tert-pentyl-2- allocate benefits to management and nonmanagment participants; and (§ 249.220f of this chapter), ‘‘Operating hydroxyphenyl)ethyl]phenyl acrylate as (v) Any compensatory plan, contract or and Financial Review and Prospects,’’’’; an antioxidant and/or stabilizer for arrangement if you are furnishing and by removing in paragraph (c)(3) the polypropylene, polystyrene, rubber- compensation information on an aggregate words ‘‘Item 9 of Form 20–F’’ and modified polystyrene, and styrene block basis as permitted by Item 6.B. adding, in their place, the words ‘‘ Item copolymers intended for use in contact If you are filing compensatory plans, 5 of Form 20–F’’. with food. contracts or arrangements, only file copies of By the Commission. the plans and not copies of each individual’s FDA has evaluated the data in the Margaret H. McFarland, personal agreement under the plans, unless petition and other relevant material. there are particular provisions in a personal Depuptpy Secretary. Based on this information, the agency agreement that should be filed as an exhibit [FR Doc. 99–25699 Filed 10–4–99; 8:45 am] concludes that: (1) The proposed use of so investors will understand that individual’s BILLING CODE 8010±01±P the additive is safe, (2) the additive will compensation under the plan. achieve its intended technical effect, 5. A list showing the number and a brief and therefore, (3) the regulations in identification of each material foreign patent for an invention not covered by a United DEPARTMENT OF HEALTH AND § 178.2010 should be amended as set States patent, but only if we request you to HUMAN SERVICES forth below. file the list. In accordance with § 171.1(h) (21 CFR 6. A statement explaining in reasonable Food and Drug Administration 171.1(h)), the petition and the detail how earnings per share information documents that FDA considered and 21 CFR Part 178 was calculated, unless the computation is relied upon in reaching its decision to clear from material contained in the [Docket No. 99F±1422] registration statement or report. approve the petition are available for inspection at the Center for Food Safety 7. A statement explaining in reasonable Indirect Food Additives: Adjuvants, detail how any ratio of earning to fixed and Applied Nutrition by appointment charges, any ratio of earnings to combined Production Aids, and Sanitizers with the information contact person fixed charges and preferred stock dividends AGENCY: Food and Drug Administration, listed above. As provided in § 171.1(h), or any other ratios in the registration HHS. the agency will delete from the statement or report were calculated. documents any materials that are not 8. A list of all your subsidiaries, their ACTION: Final rule. jurisdiction of incorporation and the names available for public disclosure before under which they do business. You may omit SUMMARY: The Food and Drug making the documents available for the names of subsidiaries that, in the Administration (FDA) is amending the inspection. aggregate, would not be a ‘‘significant food additive regulations to provide for The agency has previously considered subsidiary’’ as defined in rule 1–02(w) of the expanded safe use of 2,4-di-tert- the environmental effects of this rule as Regulation S–X as of the end of the year pentyl-6-[1-(3,5-di-tert-pentyl-2- announced in the notice of filing for covered by the report. You may omit the hydroxyphenyl)ethyl]phenyl acrylate as FAP 9B4661 (64 FR 28501). No new names of multiple wholly owned subsidiaries an antioxidant and/or stabilizer for carrying on the same line of business, such information or comments have been as chain stores or service stations, if you give polypropylene, polystyrene, rubber- received that would affect the agency’s the name of the immediate parent company, modified polystyrene, and styrene block previous determination that there is no the line of business and the number of copolymers intended for use in contact significant impact on the human omitted subsidiaries broken down by U.S. with food. This action responds to a environment and that an environmental and foreign operations. petition filed by Sumitomo Chemical impact statement is not required. 9. Statement pursuant to the instructions to Co., Ltd. Item 8.A.4, regarding the financial statements This final rule contains no collection filed in registration statements for initial DATES: This regulation is effective of information. Therefore, clearance by public offerings of securities. October 5, 1999. Submit written the Office of Management and Budget 10. (a) Any additional exhibits you wish to objections and requests for a hearing by under the Paperwork Reduction Act of file as part of the registration statement or November 4, 1999. 1995 is not required. report, clearly marked to indicate their ADDRESSES: Submit written objections to Any person who will be adversely subject matter, and (b) any document or part the Dockets Management Branch (HFA– of a document incorporated by reference in affected by this regulation may at any this filing if it is not otherwise required to 305), Food and Drug Administration, time on or before November 4, 1999, file be filed or is not a Commission filed 5630 Fishers Lane, rm. 1061, Rockville, with the Dockets Management Branch document incorporated in a Securities Act MD 20852. (address above) written objections registration statement. FOR FURTHER INFORMATION CONTACT: Vir thereto. Each objection shall be * * * * * D. Anand, Center for Food Safety and separately numbered, and each Applied Nutrition (HFS–215), Food and numbered objection shall specify with PART 260ÐGENERAL RULES AND Drug Administration, 200 C St. SW., particularity the provisions of the REGULATIONS, TRUST INDENTURE Washington, DC 20204, 202–418–3081. regulation to which objection is made ACT OF 1939 SUPPLEMENTARY INFORMATION: In a notice and the grounds for the objection. Each 51. The authority citation for part 260 published in the Federal Register of numbered objection on which a hearing continues to read as follows: May 26, 1999 (64 FR 28501), FDA is requested shall specifically so state. announced that a food additive petition Failure to request a hearing for any Authority: 15 U.S.C. 77eee, 77ggg, 77nnn, 78sss, 78ll(d), 80b–3, 80b–4, and 80b–11. (FAP 9B4661) had been filed by particular objection shall constitute a Sumitomo Chemical Co., Ltd., c/o Keller waiver of the right to a hearing on that § 260.0±11 [Amended] and Heckman LLP, 1001 G St. NW., objection. Each numbered objection for 51. Amend § 260.0–11 by removing in suite 500 West, Washington, DC 20001. which a hearing is requested shall paragraph (b)(2) the words ‘‘ Item 9 of The petition proposed to amend the include a detailed description and Form 20–F (§ 249.220f of this chapter), food additive regulations in § 178.2010 analysis of the specific factual management’s discussion and analysis Antioxidants and/or stabilizers for information intended to be presented in
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00041 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 53926 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations support of the objection in the event List of Subjects in 21 CFR Part 178 Authority: 21 U.S.C. 321, 342, 348, 379e. that a hearing is held. Failure to include Food additives, Food packaging. 2. Section 178.2010 is amended in the such a description and analysis for any Therefore, under the Federal Food, table in paragraph (b) by revising the particular objection shall constitute a Drug, and Cosmetic Act and under entry for ‘‘2,4-Di-tert-pentyl-6-[1-(3,5-di- waiver of the right to a hearing on the authority delegated to the Commissioner tert-pentyl-2- objection. Three copies of all documents of Food and Drugs and redelegated to hydroxyphenyl)ethyl]phenyl acrylate’’ shall be submitted and shall be the Director, Center for Food Safety and to read as follows: identified with the docket number Applied Nutrition, 21 CFR part 178 is found in brackets in the heading of this amended as follows: § 178.2010 Antioxidants and/or stabilizers document. Any objections received in for polymers. PART 178ÐINDIRECT FOOD response to the regulation may be seen ADDITIVES: ADJUVANTS, * * * * * in the Dockets Management Branch PRODUCTION AIDS, AND SANITIZERS between 9 a.m. and 4 p.m., Monday (b) * * * through Friday. 1. The authority citation for 21 CFR part 178 continues to read as follows:
Substances Limitations
*******
2,4-Di-tert-pentyl-6-[1-(3,5-di-tert-pentyl-2-hydroxyphenyl)ethyl]phenyl For use only: acrylate (CAS Reg. No. 123968±25±2). 1. At levels not to exceed 0.2 percent by weight of polypropylene com- plying with § 177.1520 of this chapter in contact with food under conditions of use D through G as described in Table 2 of § 176.170(c) of this chapter, except that polypropylene containing the additive at levels not to exceed 0.075 percent by weight may contact food under conditions of use A through H described in Table 2 of § 176.170(c) of this chapter. 2. At levels not to exceed 1.0 percent by weight of of styrene block polymers complying with § 177.1810 of this chapter. The additive is used under conditions of use D through G as described in Table 2 of § 176.170(c) of this chapter. 3. At levels not to exceed 1.0 percent by weight of polystyrene and rubber modified polystyrene complying with § 177.1640 of this chap- ter in contact with food under conditions of use D through G as de- scribed in Table 2 of § 176.170(c) of this chapter. *******
Dated: September 21, 1999. for revised feeding instructions for use containing up to 20,000 g of pyrantel L. Robert Lake, of pyrantel tartrate Type A medicated tartrate per ton to be fed at the currently Director, Office of Policy, Planning and articles to make Type C medicated horse approved rate of 1.2 milligrams per Strategic Initiatives, Center for Food Safety feeds. pound of body weight daily. The and Applied Nutrition. EFFECTIVE DATE: October 5, 1999. supplemental NADA is approved as of [FR Doc. 99–25790 Filed 10–4–99; 8:45 am] August 24, 1999, and § 558.485 (21 CFR FOR FURTHER INFORMATION CONTACT: BILLING CODE 4160±01±F 558.485) is amended to reflect the Melanie R. Berson, Center for Veterinary approval. Medicine (HFV–110), Food and Drug Also, § 558.485(e)(2)(i)(A) is amended DEPARTMENT OF HEALTH AND Administration, 7500 Standish Pl., to reflect that the organism HUMAN SERVICES Rockville, MD 20855, 301–827–7543. Triodontophorus is now classified as a SUPPLEMENTARY INFORMATION: Pfizer, small strongyle. Food and Drug Administration Inc., 235 East 42d St., New York, NY In accordance with the freedom of 10017–5755, filed supplemental NADA information provisions of 21 CFR part 21 CFR Part 558 140–819 that provides for revised 20 and 514.11(e)(2)(ii), a summary of New Animal Drugs for Use in Animal feeding instructions for use of Pfizer’s safety and effectiveness data and Feeds; Pyrantel Tartrate pyrantel tartrate Type A medicated information submitted to support articles (Strongid 48 (48 grams of approval of this application may be seen AGENCY: Food and Drug Administration, pyrantel tartrate per pound (g/lb))) to in the Dockets Management Branch HHS. make Type C medicated horse feeds (HFA–305), Food and Drug ACTION: Final rule. (Strongid C (4.8 g/lb) and Strongid Administration, 5630 Fishers Lane, rm. C2x (9.6 g/lb)) used for the prevention 1061, Rockville, MD 20852, between 9 SUMMARY: The Food and Drug of Strongylus vulgaris larval infections, a.m. and 4 p.m., Monday through Administration (FDA) is amending the and control of several types of adult and Friday. animal drug regulations to reflect 4th stage larval large and small The agency has determined under 21 approval of a supplemental new animal strongyle, pinworm, and ascarid CFR 25.33(a)(3) that this action is of a drug application (NADA) filed by Pfizer, infections. The supplement provides for type that does not individually or Inc. The supplemental NADA provides use of a top-dressed Type C feed cumulatively have a significant effect on
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00042 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53927 the human environment. Therefore, DEPARTMENT OF HEALTH AND In the September 19, 1989 proposal, neither an environmental assessment HUMAN SERVICES FDA proposed that: (1) The four general nor an environmental impact statement hospital and personal use devices, is required. Food and Drug Administration identified above, be recodified in the Code of Federal Regulations (CFR) with This rule does not meet the definition 21 CFR Part 878 of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because the general and plastic surgery devices; it is a rule of ‘‘particular applicability.’’ [Docket No. 78N±2646] (2) the medical adhesive tape and Therefore, it is not subject to the bandage be divided into four generic congressional review requirements in 5 General and Plastic Surgery Devices; devices; (3) the liquid bandage be U.S.C. 801–808. Classification of the Nonresorbable divided into two generic devices; and Gauze/Sponge for External Use, the (4) the porcine burn dressing for short- List of Subjects in 21 CFR Part 558 Hydrophilic Wound Dressing, the term use be classified into class I and Occlusive Wound Dressing, and the Animal drugs, Animal feeds. the porcine burn dressing for long-term Hydrogel Wound Dressing Therefore, under the Federal Food, use be classified into class III as the interactive wound and burn dressing. Drug, and Cosmetic Act and under AGENCY: Food and Drug Administration, The proposals were not finalized. Based authority delegated to the Commissioner HHS. on the comments of the September 19, of Food and Drugs and redelegated to ACTION: Final rule. the Center for Veterinary Medicine, 21 1989 proposed rule, the General and CFR part 558 is amended as follows: SUMMARY: The Food and Drug Plastic Surgery Devices Panel’s (the Administration (FDA) is classifying the panel) recommendations, and current PART 558ÐNEW ANIMAL DRUGS FOR nonresorbable gauze/sponge for external wound care and product use, FDA is USE IN ANIMAL FEEDS use, the hydrophilic wound dressing, finalizing the classification of the the occlusive wound dressing, and the following four wound care devices: The 1. The authority citation for 21 CFR hydrogel wound dressing into class I nonresorbable gauze/sponge for external part 558 continues to read as follows: (general controls). FDA is also use, the hydrophilic wound dressing, Authority: 21 U.S.C. 360b, 371. exempting these devices from premarket the occlusive wound dressing, and the notification procedures. This action is hydrogel wound dressing. 2. Section 558.485 is amended by being taken under the Federal Food, These final rules do not address revising paragraphs (e)(2)(i) Drug, and Cosmetic Act (the act), as wound dressings that contain added introductory text, (e)(2)(i)(A), and the amended by the Medical Device drugs such as antimicrobial agents, first sentence of paragraph (e)(2)(i)(B), Amendments of 1976 (the 1976 added biologics such as growth factors, and by adding and reserving paragraph amendments), the Safe Medical Devices or are composed of materials derived (e)(2)(ii) to read as follows: Act of 1990 (SMDA), and the Food and from animal sources. These are § 558.485 Pyrantel tartrate. Drug Administration Modernization Act preamendments devices that FDA of 1997 (FDAMA). intends to classify in the future. * * * * * EFFECTIVE DATE: November 4, 1999. II. Comments and FDA’s Responses (e) * * * FOR FURTHER INFORMATION CONTACT: Gail (2) Horses—(i) Amount. Feed G. Gantt, Center for Devices and Interested persons were given until continuously at the rate of 1.2 Radiological Health (HFZ–480), Food November 20, 1989, to comment on the milligrams per pound (2.64 milligrams and Drug Administration, 9200 September 19, 1989 proposed rule. per kilogram) of body weight. Corporate Blvd., Rockville, MD 20850, During the comment period, FDA (A) Indications for use. Prevention of 301–594–3090. received following comments. Strongylus vulgaris larval infections; SUPPLEMENTARY INFORMATION: 1. Two comments requested that an control of adult large strongyles (S. additional classification category be vulgaris, and S. edentatus), adult and I. Background added for the nonsterile hydrogel 4th stage larvae small strongyles In the Federal Register of September wound and burn dressing. The (Cyathostomum spp., Cylicocyclus spp., 19, 1989 (54 FR 38600) (hereinafter nonsterile device would be for Cylicostephanus spp., referred to as the September 19, 1989 conditions such as minor cuts, scrapes, Cylicodontophorus spp., Poteriostomum proposal), FDA issued a proposed rule burns, and sunburn. The comment spp., and Triodontophorus spp.), adult to classify the following 11 devices: The stated that components of this type of and 4th stage larvae pinworms (Oxyuris nonabsorbable gauze surgical sponge for hydrogel wound and burn dressing equi), and adult and 4th stage larvae external use, the hydrophilic wound cannot withstand sterilization. ascarids (Parascaris equorum). and burn dressing, the interactive FDA agrees that the hydrogel wound (B) Limitations. Administer either as a wound and burn dressing, the porcine and burn dressing may be either sterile top-dress (not to exceed 20,000 grams burn dressing, the intravascular catheter or nonsterile and has revised the final per ton) or mixed in the horse’s daily securement device, the medical rule accordingly. grain ration (not to exceed 1,200 grams adhesive tape, the medical adhesive 2. One comment requested that the per ton) during the time that the animal bandage, the adhesive wound closure, health risk information be printed on is at risk of exposure to internal the occlusive wound and burn dressing, the wrappings of the devices. parasites. * * * the burn sheet, and the hydrogel wound FDA believes that it is adequate that the health risk information be provided (ii) [Reserved] and burn dressing. Four of the eleven devices (the liquid bandage, the in the outer labeling of the device. Dated: September 9, 1999. intravascular catheter securement 3. One comment stressed the need for Melanie R. Berson, device, the medical adhesive tape and price control because low-income Acting Director, Office of New Animal Drug bandage, and the burn sheet) were persons generally have little or no Evaluation, Center for Veterinary Medicine. already classified as general hospital health insurance coverage. [FR Doc. 99–25773 Filed 10–4–99; 8:45 am] and personal use devices (45 FR 1739, FDA notes that the agency has no BILLING CODE 4160±01±F October 21, 1980). control over the price of medical
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Reference effect of the September 19, 1989 risks for two of the wound dressing proposed rule is that many products devices: (1) The nonresorbable gauze/ The following reference has been will have no classification and other sponge for external use may become placed on display in the Dockets classified devices would become incorporated into a wound if its use is Management Branch, Food and Drug unclassified. The other comment not monitored; and (2) the occlusive Administration, 5630 Fishers Lane, rm. requested that the device descriptions dressing may cause formation of an 1061, Rockville, MD 20852, and may be be more generalized to include other abscess if it is placed on an infected seen by interested persons between 9 wound dressings that do not specifically wound. The panel identified no specific a.m. and 4 p.m., Monday through Friday meet the proposed descriptions. risks to health for the hydrogel wound 1. General and Plastic Surgery Devices FDA is only classifying the four dressing and the hydrophilic wound Panel Meeting Transcript, November 17, 1998, pp. 1–119. devices identified above at this time. dressing. While it is true that some wound V. Summary of the Data Upon Which VIII. Environmental Impact dressings remain unclassified, no the Recommendation Is Based The agency has determined under 21 devices that have already been classified The panel based its recommendations CFR 25.34(b) that this action is of a type will ‘‘become unclassified’’ as a result of on expert testimony presented to the that does not individually or this action. The agency will consider panel and on the panel members’ cumulatively have a significant effect on additional wound dressing classification personal knowledge of and clinical the human environment. Therefore, categories in the future. experience with the nonresorbable neither an environmental assessment 5. Three comments suggested that gauze/sponge for external use, the nor an environmental impact statement nonwoven materials be included in the hydrophilic wound dressing, the is required. description of nonabsorbable gauze occlusive wound dressing, and the IX. Analysis of Impacts surgical sponge for external use. hydrogel wound dressing. FDA agrees with the comment and FDA has examined the impacts of the has included nonwoven materials in the VI. FDA’s Conclusion final rule under Executive Order 12866 nonresorbable gauze/sponge for external FDA has concluded that the and the Regulatory Flexibility Act (5 use identification. nonresorbable gauze/sponge for external U.S.C. 601–612) (as amended by subtitle 6. One comment recommended that use, the hydrophilic wound dressing, D of the Small Business Regulatory synthetic materials also be included in the occlusive wound dressing, and the Fairness Act of 1996 (Public Law 104– the description of nonabsorbable gauze hydrogel wound dressing do not present 121)), and the Unfunded Mandates surgical sponge for external use. unreasonable risks to the public health Reform Act of 1995 (Public Law 104–4). FDA disagrees with the comment. The and that general controls would provide Executive Order 12866 directs agencies agency has included synthetic materials reasonable assurance of the safety and to assess all costs and benefits of in the identification of the hydrophilic effectiveness of the devices. available regulatory alternatives and, wound dressing identification. On November 21, 1997, the President when regulation is necessary, to select signed the FDAMA into law. Section regulatory approaches that maximize III. Recommendations of the Panel 206 of the FDAMA added a new section net benefits (including potential Although the panel discussed wound 510(l) to the act (21 U.S.C. 360(l)), economic, environmental, public health dressings at the July 17, 1995 meeting, which became effective on February 19, and safety, and other advantages; the panel did not make classification 1998. It states that a class I device is distributive impacts; and equity). The recommendations for any of the wound exempt from the premarket notification agency believes that this final rule is dressing devices. At the November 17, requirements under section 510(k) of the consistent with the regulatory 1998 meeting, the panel discussed the act, unless the device is intended for a philosophy and principles identified in classification of four of the wound use which is of substantial importance the Executive Order. In addition, the dressings proposed for classification in in preventing impairment of human final rule is not a significant regulatory 1989, the nonresorbable gauze/sponge health or it presents a potential action as defined by the Executive Order for external use, the hydrophilic wound unreasonable risk of illness or injury and so is not subject to review under the dressing, the occlusive wound dressing, (hereinafter referred to as ‘‘reserved Executive Order. and the hydrogel wound dressing. The criteria’’). FDA has determined that the The Regulatory Flexibility Act panel unanimously recommended that nonresorbable gauze/sponge for external requires agencies to analyze regulatory these four wound dressing devices be use, the hydrophilic wound dressing, options that would minimize any classified into class I (general controls) the occlusive wound dressing, and the significant impact of a rule on small and that they be exempted from hydrogel wound dressing do not meet entities. As noted previously, FDA may premarket notification procedures the reserved criteria and, therefore, they classify devices into one of three (section 510(k) of the act) (21 U.S.C. should be exempt from the premarket regulatory classes according to the 360(k)) (Ref. 1). The panel concluded notification requirements. degree of control needed to provide that the safety and effectiveness of the FDA has determined that the four reasonable assurance of safety and four wound dressing devices can be general hospital and personal use effectiveness. FDA is classifying these reasonably ensured by the following devices (the liquid bandage, the four devices into class I, the lowest level general controls: (1) Registration and intravascular catheter securement of control allowed. Under the final rule, Listing (21 CFR part 807), (2) General device, the medical adhesive tape and they will be exempt from premarket Provisions of the Quality System bandage, and the burn sheet) should notification. As unclassified Regulation (21 CFR part 820), (3) remain codified as general hospital and preamendments devices, these devices General Requirements for Reports (21 personal use devices (21 CFR part 880). are already effectively regulated as class
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I devices. Therefore, the agency certifies rayon). This classification does not Dated: September 21, 1999. that this final rule will not have a include a hydrophilic wound dressing Linda S. Kahan, significant economic impact on a that contains added drugs such as Deputy Director for Regulations Policy, Center substantial number of small entities. antimicrobial agents, added biologics for Devices and Radiological Health. Therefore, under the Regulatory such as growth factors, or is composed [FR Doc. 99–25791 Filed 10–4–99; 8:45 am] Flexibility Act, no further analysis is of materials derived from animal BILLING CODE 4160±01±F required. sources. X. Paperwork Reduction Act of 1995 (b) Classification. Class I (general controls). The device is exempt from the UNITED STATES INFORMATION FDA concludes that this final rule premarket notification procedures in AGENCY contains no collections of information. part 807, subpart E of this chapter Therefore, clearance by the Office of 22 CFR Part 514 subject to the limitations in § 878.9. Management and Budget under the Paperwork Reduction Act of 1995 is not 4. Section 878.4020 is added to Exchange Visitor Program subpart E to read as follows: required. AGENCY: United States Information List of Subjects in 21 CFR Part 878 § 878.4020 Occlusive wound dressing. Agency. ACTION: Final rule. Medical devices. (a) Identification. An occlusive Therefore, under the Federal Food, wound dressing is a nonresorbable, SUMMARY: By notice published April 13, Drug, and Cosmetic Act and under sterile or non-sterile device intended to 1999 (64 FR 17988) the Agency authority delegated to the Commissioner cover a wound, to provide or support a proposed amendment of existing au pair of Food and Drugs, 21 CFR part 878 is moist wound environment, and to allow regulations in order to strengthen the amended as follows: the exchange of gases such as oxygen oversight and general accountability of and water vapor through the device. It the au pair program and to identify and PART 878ÐGENERAL AND PLASTIC consists of a piece of synthetic reduce the potential risk of injury to SURGERY DEVICES polymeric material, such as program participants. The proposed 1. The authority citation for 21 CFR polyurethane, with or without an amendments will provide greater part 878 continues to read as follows: adhesive backing. This classification specificity regarding the selection and orientation of both host family and au Authority: 21 U.S.C. 351, 360, 360c, 360e, does not include an occlusive wound 360j, 360l, 371. dressing that contains added drugs such pair participants, thereby enhancing the as antimicrobial agents, added biologics prospect for more informed 2. Section 878. 4014 is added to such as growth factors, or is composed participation by both parties. Further subpart E to read as follows: of materials derived from animal proposed program enhancements would § 878.4014 Nonresorbable gauze/sponge sources. require disclosure of prior experience for au pair participants providing child for external use. (b) Classification. Class I (general care for special needs children. An (a) Identification. A nonresorbable controls). The device is exempt from the amendment to provide for uniform gauze/sponge for external use is a sterile premarket notification procedures in program audits was also proposed. A or nonsterile device intended for part 807, subpart E of this chapter thirty day public comment period was medical purposes, such as to be placed subject to the limitations in § 878.9. provided and twenty comments were directly on a patient’s wound to absorb 5. Section 878.4022 is added to received by the Agency. These twenty exudate. It consists of a strip, piece, or subpart E to read as follows: comments all supported the proposed pad made from open woven or rule as written. Accordingly, the nonwoven mesh cotton cellulose or a § 878.4022 Hydrogel wound dressing and proposed rule is hereby adopted as final simple chemical derivative of cellulose. burn dressing. without change. This classification does not include a (a) Identification. A hydrogel wound nonresorbable gauze/sponge for external DATES: This rule is effective October 5, dressing is a sterile or non-sterile device use that contains added drugs such as 1999. intended to cover a wound, to absorb antimicrobial agents, added biologics FOR FURTHER INFORMATION CONTACT: wound exudate, to control bleeding or such as growth factors, or is composed Sally Lawrence, Branch Chief, Program fluid loss, and to protect against of materials derived from animal Designation Branch, Exchange Visitor abrasion, friction, desiccation, and sources. Services, 301 4th Street, S.W., contamination. It consists of a (b) Classification. Class I (general Washington, D.C. 20547; telephone, nonresorbable matrix made of controls). The device is exempt from the (202) 401–9800. hydrophilic polymers or other material premarket notification procedures in in combination with water (at least 50 List of Subjects in 22 CFR Part 514 part 807, subpart E of this chapter percent) and capable of absorbing subject to the limitations in § 878.9. Cultural exchange program, Reporting exudate. This classification does not 3. Section 878.4018 is added to and recordkeeping requirements. include a hydrogel wound dressing that subpart E to read as follows: Dated: September 28, 1999. contains added drugs such as Les Jin, § 878.4018 Hydrophilic wound dressing. antimicrobial agents, added biologics General Counsel. (a) Identification. A hydrophilic such as growth factors, or is composed wound dressing is a sterile or non- of materials derived from animal Accordingly, 22 CFR part 514 is sterile device intended to cover a sources. amended as follows: wound and to absorb exudate. It (b) Classification. Class I (general PART 514ÐEXCHANGE VISITOR consists of nonresorbable materials with controls). The device is exempt from the PROGRAM hydrophilic properties that are capable premarket notification procedures in of absorbing exudate (e.g., cotton, cotton part 807, subpart E of this chapter 1. The authority citation for part 514 derivatives, alginates, dextran, and subject to the limitations in § 878.9. continues to read as follows:
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Authority: 8 U.S.C. 1101(a)(15)(j), 1182, pair’s participation in the exchange and failure to attend will be grounds for 1258; 22 U.S.C. 1421–1442, 2451–2460; program; possible termination of their continued Reorganization Plan No. 2 of 1977, 42 FR (2) A detailed profile of the family or future program participation; and 62461, 3 CFR, 1977 Comp. p. 200; E.O. and community in which the au pair (4) Require that the organization’s 12048, 43 FR 13361, 3 CFR, 1978 Comp. p. will be placed; 168; USIA Delegation Order No. 85–5 (50 FR local counselor responsible for the au 27393). (3) A detailed profile of the pair placement contacts the host family educational institutions in the and au pair within forth-eight hours of 2. Section 514.31 paragraph (e), (f), community where the au pair will be the au pair’s arrival and meets, in (h), (i), and (m) are revised to read as placed, including the financial cost of person, with the host family and au pair follows: attendance at these institutions; within two weeks of the au pair’s arrival § 514.31 Au pairs. (4) A detailed summary of travel at the host family home. arrangements; and * * * * * * * * * * (5) A copy of the Agency’s written (e) Au pair placement. Sponsors shall (m) Reporting requirements. Along statement and brochure regarding the au with the annual report required by secure, prior to the au pair’s departure pair program. from the home country, a host family regulations set forth at § 514.17, * * * * * placement for each participant. sponsors shall file with the Agency the (h) Host family selection. Sponsors Sponsors shall not: following information: shall adequately screen all potential (1) Place an au pair with a family (1) A summation of the results of an host families and at a minimum shall: unless the family has specifically agreed annual survey of all host family and au (1) Require that the host parents are that a parent or other responsible adult pair participants regarding satisfaction U.S. citizens or legal permanent will remain in the home for the first with the program, its strengths and residents; three days following the au pair’s weaknesses; (2) Require that host parents are fluent arrival; (2) A summation of all complaints in spoken English; (2) Place an au pair with a family regarding host family or au pair (3) Require that all adult family participation in the program, specifying having a child aged less than three members resident in the home have months unless a parent or other the nature of the complaint, its been personally interviewed by an resolution, and whether any unresolved responsible adult is present in the organizational representative; home; complaints are outstanding; (4) Require that host parents and other (3) A summation of all situations (3) Place an au pair with a host family adults living full-time in the household having children under the age of two, which resulted in the placement of au have successfully passed a background pair participant with more than one host unless the au pair has at least 200 hours investigation including employment of documented infant child care family; and personal character references; (4) A report by a certified public experience; (5) Require that the host family have (4) Place an au pair with a host family accountant, conducted pursuant to a adequate financial resources to format designated by the Agency, having a special needs child, as so undertake all hosting obligations; identified by the host family, unless the attesting to the sponsor’s compliance (6) Provide a written detailed with the procedures and reporting au pair has specifically identified his or summary of the exchange program and her prior experience, skills, or training requirements set forth in this subpart; the parameters of their and the au pair’s (5) A report detailing the name of the in the care of special needs children and duties, participation, and obligations; the host family has reviewed and au pair, his or her host family and placement, location, and the names of acknowledged in writing the au pair’s (7) Provide the host family with the prior experience, skills, or training so the local and regional organizational prospective au pair participant’s representatives; and identified; complete application, including all (5) Place the au pair with a family (6) A complete set of all promotional references. materials, brochures, or pamphlets unless a written agreement between the (i) Host family orientation. In addition au pair and host family outlining the au distributed to either host family or au to the requirements set forth at § 514.10 pair participants. pair’s obligation to provide not more sponsors shall: than 45 hours of child care services per (1) Inform all host families of the [FR Doc. 99–25690 Filed 10–4–99; 8:45 am] week has been signed by both; philosophy, rules, and regulations BILLING CODE 8230±01±M (6) Place the au pair with a family governing the sponsor’s exchange who cannot provide the au pair with a program and provide all families with a suitable private bedroom; and copy of the Agency’s written statement (7) Place an au pair with a host family and brochure regarding the au pair DEPARTMENT OF HOUSING AND unless the host family has interviewed program; URBAN DEVELOPMENT the au pair by telephone prior to the au (2) Provide all selected host families pair’s departure from his or her home with a complete copy of Agency- 24 CFR Part 200 country. promulgated Exchange Visitor Program Introduction to FHA Programs (f) Au pair orientation. In addition to regulations, including the supplemental the orientation requirements set forth at information thereto; CFR Correction § 514.10, all sponsors shall provide au (3) Advise all selected host families of In Title 24 of the Code of Federal pairs, prior to their departure from the their obligation to attend at least one Regulations, parts 200 to 499, revised as home country, with the following family day conference to be sponsored of Apr. 1, 1999, on page 73, the editorial information: by the au pair organization during the note following § 200.1302 is removed. (1) A copy of all operating procedures, course of the placement year. Host rules, and regulations, including a family attendance at such a gathering is [FR Doc. 99–55532 Filed 10–4–99; 8:45 am] grievance process, which govern the au a condition of program participation BILLING CODE 1505±01±D
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ENVIRONMENTAL PROTECTION SUMMARY: Modified base (1% annual the community must change any AGENCY chance) flood elevations are finalized existing ordinances that are more for the communities listed below. These stringent in their floodplain 40 CFR Part 52 modified elevations will be used to management requirements. The [AK21±1709; FRL±6450±8] calculate flood insurance premium rates community may at any time enact for new buildings and their contents. stricter requirements of its own, or Approval and Promulgation of State EFFECTIVE DATES: The effective dates for pursuant to policies established by other Implementation Plan: Alaska these modified base flood elevations are Federal, State, or regional entities. indicated on the following table and These modified elevations are used to AGENCY: Environmental Protection revise the Flood Insurance Rate Map(s) meet the floodplain management Agency (EPA). in effect for each listed community prior requirements of the NFIP and are also ACTION: Direct final rule; withdrawal. to this date. used to calculate the appropriate flood ADDRESSES: The modified base flood insurance premium rates for new SUMMARY: Due to a correction and buildings built after these elevations are clarification, EPA is withdrawing the elevations for each community are available for inspection at the office of made final, and for the contents in these direct final rule for the approval of buildings. various amendments to the carbon the Chief Executive Officer of each community. The respective addresses The changes in base flood elevations monoxide (CO) State Implementation are in accordance with 44 CFR 65.4. Plan for Alaska. The original action was are listed in the following table. published in the Federal Register on FOR FURTHER INFORMATION CONTACT: National Environmental Policy Act September 1, 1999 (64 FR 47674), as a Matthew B. Miller, P.E., Chief, Hazards This rule is categorically excluded direct final rule. EPA will correct and Study Branch, Mitigation Directorate, from the requirements of 44 CFR Part clarify its approval of Alaska’s 500 C Street SW., Washington, DC 10, Environmental Consideration. No transportation conformity program. As 20472, (202) 646–3461, or (e-mail) environmental impact assessment has stated in the Federal Register [email protected]. been prepared. document, if the direct final rule is SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act withdrawn, timely notice of withdrawal Federal Emergency Management Agency would be published in the Federal makes the final determinations listed The Associate Director for Mitigation Register. EPA is withdrawing the direct below of the final determinations of certifies that this rule is exempt from final rule and will address the modified base flood elevations for each the requirements of the Regulatory correction and clarification when it community listed. These modified Flexibility Act because modified base republishes the direct final action in the elevations have been published in flood elevations are required by the near future. Another public comment newspapers of local circulation and Flood Disaster Protection Act of 1973, period will be offered when it is ninety (90) days have elapsed since that 42 U.S.C. 4105, and are required to republished. publication. The Associate Director has maintain community eligibility in the DATES: This direct final rule is resolved any appeals resulting from this NFIP. No regulatory flexibility analysis withdrawn as of October 5, 1999. notification. has been prepared. The modified base flood elevations FOR FURTHER INFORMATION CONTACT: Regulatory Classification are not listed for each community in Montel Livingston, Office of Air Quality this notice. However, this rule includes This final rule is not a significant (OAQ–107), EPA, Region 10, 1200 6th the address of the Chief Executive regulatory action under the criteria of Avenue, Seattle, WA 98101, (206–553– Officer of the community where the Section 3(f) of Executive Order 12866 of 0180). modified base flood elevation September 30, 1993, Regulatory List of Subjects in 40 CFR Part 52 determinations are available for Planning and Review, 58 FR 51735. Environmental protection, Air inspection. Executive Order 12612, Federalism pollution control, Carbon monoxide, The modifications are made pursuant to Section 206 of the Flood Disaster This rule involves no policies that Hydrocarbons, Incorporation by have federalism implications under reference, Intergovernmental relations, Protection Act of 1973, 42 U.S.C. 4105, and are in accordance with the National Executive Order 12612, Federalism, Reporting and recordkeeping dated October 26, 1987. requirements. Flood Insurance Act of 1968, 42 U.S.C. 4001 et seq., and with 44 CFR part 65. Executive Order 12778, Civil Justice Dated: September 23, 1999. For rating purposes, the currently Reform Chuck Clarke, effective community number is shown This rule meets the applicable Regional Administrator, Region 10. and must be used for all new policies standards of Section 2(b)(2) of Executive and renewals. [FR Doc. 99–25710 Filed 10–4–99; 8:45 am] Order 12778. BILLING CODE 6560±50±P The modified base flood elevations are the basis for the floodplain List of Subjects in 44 CFR Part 65 management measures that the Flood insurance, Floodplains, FEDERAL EMERGENCY community is required to either adopt Reporting and recordkeeping MANAGEMENT AGENCY or to show evidence of being already in requirements. effect in order to qualify or to remain Accordingly, 44 CFR Part 65 is 44 CFR Part 65 qualified for participation in the amended to read as follows: National Flood Insurance Program Changes in Flood Elevation (NFIP). PART 65Ð[AMENDED] Determinations These modified elevations, together 1. The authority citation for Part 65 AGENCY: Federal Emergency with the floodplain management criteria continues to read as follows: Management Agency (FEMA). required by 44 CFR 60.3, are the minimum that are required. They ACTION: Final rule. Authority: 42 U.S.C. 4001 et seq.; should not be construed to mean that Reorganization Plan No. 3 of 1978, 3 CFR,
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1978 Comp., p. 329; E.O. 12127, 44 FR 19367, § 65.4 [Amended] 3 CFR, 1979 Comp., p. 376. 2. The tables published under the authority of § 65.4 are amended as follows:
Dates and name of news- State and county Location paper where notice was Chief executive officer of community Effective date of Community published modification No.
Alaska: Unorga- Municipality of An- Mar. 24, 1999, Mar. 31, The Honorable Rick Mystrom, mayor, Feb. 19, 1999 ...... 020005 nized Borough chorage. 1999, Anchorage Daily municipality of Anchorage P.O. (FEMA Docket News. Box 196650, Anchorage, Alaska No. 7284). 99519±06650. California: Placer City of Rocklin ..... Mar. 24, 1999, Mar. 31, The Honorable Connie Cullivan, Feb. 22, 1999 ...... 060242 (FEMA Docket 1999, The Placer Her- mayor, City of Rocklin, 3980 No. 7284). ald. Rocklin Road, Rocklin, California 95677. California: River- City of San Diego Apr. 7, 1999, Apr. 14, The Honorable Susan Golding, Mar. 16, 1999 ...... 060295 side (FEMA 1999, San Diego mayor, city of San Diego, 202 C Docket No. 7284). Union-Tribune. Street, 11th Floor (MS 11A), San Diego, California 92101. Colorado: Denver City and County ... Mar. 17, 1999, Mar. 24, The Honorable Wellington Webb, Feb. 12, 1999 ...... 080046 (FEMA Docket 1999, The Denver Post. mayor, city and county of Denver, No. 7284). 1437 Bannock Street, Denver, Col- orado 80202. Colorado: Lincoln Town of Limon ..... Mar. 11, 1999, Mar. 18, The Honorable Ted Bandy, mayor, Feb. 23, 1999 ...... 080109 (FEMA Docket 1999, Limon Leader. town of Limon, P.O. Box 9, Limon, No. 7284). Colorado 80282±0009. Hawaii: Hawaii Unincorporated Mar. 11, 1999, Mar. 18, The Honorable Stephen K. Feb. 5, 1999 ...... 155166 (FEMA Docket areas. 1999, Hawaii-Tribune Yamashiro, mayor, Hawaii County, No. 7284). Herald. 25 Aupuni Street, Hilo, Hawaii 96720. Nevada: Clark City of Las Vegas Mar. 18, 1999, Mar. 25, The Honorable Jan Laverty Jones, June 23, 1999 ..... 325276 (FEMA Docket 1999, Las Vegas Re- mayor, city of Las Vegas, 400 East No. 7284). view-Journal. Stewart Avenue, North Las Vegas, Nevada 89101±2986. Nevada: Clark Unincorporated Mar. 18, 1999, Mar. 25, The Honorable Yvonne Atkinson June 23, 1999 ..... 32003 (FEMA Docket areas. 1999, Las Vegas Re- Gates, chairperson, Clark County No. 7284). view-Journal. Board of Supervisors, 500 Grand Central Parkway, Las Vegas, Ne- vada 89155. Nevada: Clark City of North Las Mar. 18, 1999, Mar. 25, The Honorable Michael Montandor, June 23, 1999 ..... 320007 (FEMA Docket Vegas. 1999, Las Vegas Re- mayor, city of North Las Vegas, No. 7284). view-Journal. P.O. Box 4086, North Las Vegas, Nevada 89036. Nevada: Washoe City of Reno ...... Mar. 24, 1999, Mar. 31, The Honorable Jeff Griffin, mayor, Mar. 1, 1999 ...... 320020 (FEMA Docket 1999, Reno Gazette- city of Reno, P.O. Box 1900, No. 7284). Journal. Reno, Nevada 89505. Nevada: Washoe Unincorporated Mar. 24, 1999, Mar. 31, The Honorable Joanne Bond, chair- Mar. 1, 1999 ...... 320019 (FEMA Docket areas. 1999, Reno Gazette- person, Washoe County Board of No. 7284). Journal. Supervisors, P.O. Box 11130, Reno, Nevada 89520. New Mexico: Santa City of Santa Fe .. Mar. 9, 1999, Mar. 16, The Honorable Larry Delgado, June 14, 1999 ..... 350070. Fe (FEMA Dock- 1999, The Santa Fe mayor, city of Santa Fe, P.O. Box et No. 7284). New Mexican. 909, 200 Lincoln Avenue, Santa Fe, New Mexico 87504. Oklahoma: Garfield City of Enid ...... Apr. 23, 1999, Apr. 30, The Honorable Mike Cooper, mayor, Mar. 26, 1999 ...... 400062 (FEMA Docket 1999, Enid News and city of Enid, P.O. Box 1768, Enid, No. 7288). Eagle. Oklahoma 73702. Oklahoma: Okla- City of Oklahoma Mar. 18, 1999, Mar. 25, The Honorable Kirk Humphreys, Feb. 12, 1999 ...... 405378 homa (FEMA City. 1999, Daily Oklahoman. mayor, city of Oklahoma City, 200 Docket No. 7284). North Walker, Suite 302, Okla- homa City, Oklahoma 73102. Oregon: Multnomah City of Portland .... Mar. 19, 1999, Mar. 26, The Honorable Vera Katz, mayor, Mar. 1, 1999 ...... 410183 (FEMA Docket 1999, The Oregonian. city of Portland, 1221 Southwest No. 7284). Fourth Avenue, room 340, Port- land, Oregon 97204. Texas: Brazos City of College Apr. 21, 1999, Apr. 28, The Honorable Lynn McIlhaney, Mar. 26, 1999 ...... 480083 (FEMA Docket Station. 1999, Bryan-College mayor, city of College Station, No. 7288). Station Eagle. P.O. Box 9960, College Station, Texas 77842±0960. Texas: Bexar City of Converse .. Mar. 11, 1999, Mar. 18, The Honorable John Steinberg, Feb. 12, 1999 ...... 480038 (FEMA Docket 1999, Herald News- mayor, city of Converse, P.O. Box No. 7284). paper. 36, Converse, Texas 78109.
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Dates and name of news- State and county Location paper where notice was Chief executive officer of community Effective date of Community published modification No.
Texas: Dallas, Den- City of Dallas ...... Mar. 19, 1999, Mar. 26, The Honorable Ron Kirk, mayor, city Feb. 26, 1999 ...... 480171 ton, Collin, 1999, Dallas Morning of Dallas, City Hall, 1500 Marilla, Rockwall, and News. Dallas, Texas 75201. Kaufman (FEMA Docket No. 7284). Texas: Tarrant City of Fort Worth Mar. 18, 1999, Mar. 25, The Honorable Kenneth Barr, mayor, Feb. 26, 1999 ...... 480596 (FEMA Docket 1999, Fort Worth Star- city of Fort Worth, 1000 No. 7284). Telegram. Throckmorton Street, Fort Worth, Texas 76102±6311. Texas: Dallas and City of Garland .... Mar. 25, 1999, Apr. 1, The Honorable Jim Stence, mayor, Feb. 26, 1999 ...... 485471 Collin (FEMA 1999, Garland News. city of Garland, 200 North Fifth Docket No. 7284). Street, Garland Texas 75040. Texas: Dallas City of Irving ...... Mar. 4, 1999, Mar. 11, The Honorable Morris H. Parrish, Feb. 1, 1999 ...... 480180 (FEMA Docket 1999, Irving News. mayor, city of Irving, P.O. Box No. 7284). 152288, Irving, Texas 75015±2288. Texas: Tarrant City of North Rich- Apr. 8, 1999, Apr. 15, The Honorable Charles Scoma, Mar. 16, 1999 ...... 480607 (FEMA Docket land Hills. 1999, Fort Worth Star- mayor, city of North Richland Hills, No. 7284). Telegram. P.O. Box 820609, North Richland Hills, Texas 76182±0609. Texas: Lamar City of Paris ...... Mar. 23, 1999, Mar. 30, The Honorable Eric Clifford, mayor, June 28, 1999 ..... 480427 (FEMA Docket 1999, Paris News. city of Paris, P.O. Box 9037, Paris, No. 7284). Texas 75461±9037. Texas: Wichita City of Wichita Mar. 19, 1999, Mar. 26, The Honorable Kay Yeager, mayor, Feb. 26, 1999 ...... 480662 (FEMA Docket Falls. 1999, Wichita Falls city of Wichita Falls, 1300 Seventh No. 7284). Times/Record News. Street, Wichita Falls, Texas 76301. Washington: Grays City of Aberdeen Feb. 26, 1999, Mar. 5, The Honorable Chuck Gurrard, Sept. 3, 1999 ...... 530058 Harbor (FEMA 1999, The Daily World. mayor, city of Aberdeen, 200 East Docket No. 7284). Market Street, Aberdeen, Wash- ington 98520. Washington: Spo- Unincorporated Mar. 24, 1999, Mar. 31, The Honorable Kate McCaslin, chair- Feb. 24, 1999 ...... 530174 kane (FEMA areas. 1999, Spokesman-Re- person, Spokane County Board of Docket No. 7284). view. Commissioners, 1116 West Broad- way Avenue, Spokane, Wash- ington 99260±0100. Wyoming: Carbon Town of Baggs .... Mar. 16, 1999, Mar. 23, The Honorable Donald R. Bain, Feb. 19, 1999 ...... 560009 (FEMA Docket 1999, Rawling Daily. mayor, town of Baggs, P.O. Box No. 7284). 300, Baggs, Wyoming 82321.
(Catalog of Federal Domestic Assistance No. elevations for new buildings and their 20472, (202) 646–3461, or (e-mail) 83.100, ‘‘Flood Insurance’’) contents. [email protected]. Dated: September 27, 1999. SUPPLEMENTARY INFORMATION: DATES: These modified base flood The Michael J. Armstrong, elevations are currently in effect on the modified base flood elevations are not Associate Director for Mitigation. dates listed in the table and revise the listed for each community in this [FR Doc. 99–25809 Filed 10–4–99; 8:45 am] Flood Insurance Rate Map(s) in effect interim rule. However, the address of BILLING CODE 6718±04±P prior to this determination for each the Chief Executive Officer of the listed community. community where the modified base flood elevation determinations are FEDERAL EMERGENCY From the date of the second available for inspection is provided. MANAGEMENT AGENCY publication of these changes in a Any request for reconsideration must newspaper of local circulation, any be based upon knowledge of changed 44 CFR Part 65 person has ninety (90) days in which to conditions, or upon new scientific or request through the community that the technical data. [Docket No. FEMA±7296] Associate Director for Mitigation The modifications are made pursuant reconsider the changes. The modified Changes in Flood Elevation to Section 201 of the Flood Disaster elevations may be changed during the Determinations Protection Act of 1973, 42 U.S.C. 4105, 90-day period. and are in accordance with the National AGENCY: Federal Emergency ADDRESSES: The modified base flood Flood Insurance Act of 1968, 42 U.S.C. Management Agency (FEMA). elevations for each community are 4001 et seq., and with 44 CFR part 65. ACTION: Interim rule. available for inspection at the office of For rating purposes, the currently the Chief Executive Officer of each effective community number is shown SUMMARY: This interim rule lists community. The respective addresses and must be used for all new policies communities where modification of the are listed in the following table. and renewals. base (1% annual chance) flood The modified base flood elevations elevations is appropriate because of new FOR FURTHER INFORMATION CONTACT: are the basis for the floodplain scientific or technical data. New flood Matthew B. Miller, P.E., Chief, Hazards management measures that the insurance premium rates will be Study Branch, Mitigation Directorate, community is required to either adopt calculated from the modified base flood 500 C Street SW., Washington, DC or to show evidence of being already in
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00049 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.067 pfrm08 PsN: 05OCR1 53934 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations effect in order to qualify or to remain Regulatory Flexibility Act Executive Order 12778, Civil Justice qualified for participation in the Reform National Flood Insurance Program The Associate Director for Mitigation certifies that this rule is exempt from This rule meets the applicable (NFIP). standards of Section 2(b)(2) of Executive These modified elevations, together the requirements of the Regulatory Order 12778. with the floodplain management criteria Flexibility Act because modified base required by 44 CFR 60.3, are the flood elevations are required by the List of Subjects in 44 CFR Part 65 Flood Disaster Protection Act of 1973, minimum that are required. They Flood insurance, Floodplains, should not be construed to mean that 42 U.S.C. 4105, and are required to Reporting and recordkeeping the community must change any maintain community eligibility in the requirements. existing ordinances that are more NFIP. No regulatory flexibility analysis stringent in their floodplain has been prepared. Accordingly, 44 CFR part 65 is management requirements. The amended to read as follows: Regulatory Classification community may at any time enact PART 65Ð[AMENDED] stricter requirements of its own, or This interim rule is not a significant pursuant to policies established by other regulatory action under the criteria of 1. The authority citation for Part 65 Federal, State, or regional entities. Section 3(f) of Executive Order 12866 of continues to read as follows: The changes in base flood elevations September 30, 1993, Regulatory Authority: 42 U.S.C. 4001 et seq.; are in accordance with 44 CFR 65.4. Planning and Review, 58 FR 51735. Reorganization Plan No. 3 of 1978, 3 CFR, National Environmental Policy Act 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Executive Order 12612, Federalism 3 CFR, 1979 Comp., p. 376. This rule is categorically excluded from the requirements of 44 CFR Part This rule involves no policies that § 65.4 [Amended] 10, Environmental Consideration. No have federalism implications under 2. The tables published under the environmental impact assessment has Executive Order 12612, Federalism, authority of § 65.4 are amended as been prepared. dated October 26, 1987. follows:
Dates and name of news- State and county Location paper where notice was Chief executive officer of community Effective date of Community published modification No.
Arizona: Coconino City of Flagstaff ... July 8, 1999, July 15, The Honorable Christopher J. June 4, 1999 ...... 040020 1999, Arizona Daily Bavasi, mayor city of Flagstaff, Sun. 211 West Aspen Avenue, Flag- staff, Arizona 86001. Arizona: Pima ...... City of Tucson ..... June 8, 1999, June 15, The Honorable George Miller, mayor, May 11, 1999 ...... 040076 1999, Tucson Citizen. city of Tucson, P.O. Box 27210, Tucson, Arizona 85726. Arkansas: Saline ... Unincorporated June 17, 1999, June 24, The Honorable Lanny Fite, Saline May 7, 1999 ...... 050191 areas. 1999, Benton Courier. County judge, 200 North Main, room 116, Benton, Arkansas 72015. California: Orange City of Irvine ...... June 8, 1999, June 15, The Honorable Christina Shea, Sept. 13, 1999 ..... 060222 1999, Orange County major, city of Irvine, P.O. Box Register. 19575, Irvine, California 92623. California: Orange City of Placentia .. July 8, 1999, July 15, The Honorable Constance Underhill, June 9, 1999 ...... 060229 1999, Placentia News- mayor, city of Placentia, 410 East Times. Chapman Avenue, Placentia, Cali- fornia 92870. California: Sac- Unincorporated July 7, 1999, July 14, The Honorable Illa Collin, chair- Oct. 12, 1999 ...... 060262 ramento. areas. 1999, Sacramento Bee. person, Sacramento County Board of Supervisors, 700 H Street, room 2450, Sacramento, California 95814. California: San City of San Diego June 18, 1999, June 25, The Honorable Susan Golding, May 25, 1999 ...... 060295 Diego. 1999, San Diego Daily mayor, city of San Diego 202 C Transcript. Street, 11th floor, San Diego, Cali- fornia 92101. California: San Unincorporated July 15, 1999, July 22, The Honorable Pam Slater, chair- June 22, 1999 ..... 060289 Diego. areas. 1999, San Diego person, San Diego County Board Union-Tribune. of Supervisors, 1600 Pacific High- way, room 335, San Diego, Cali- fornia 92101. California: Ventura City of Simi Valley June 22, 1999, June 29, The Honorable Bill Davis, mayor, city May 26, 1999 ...... 060421 1999, Ventura County of Simi Valley, 2929 Tapo Canyon Star. Road, Simi Valley, California 93063±2199. California: Orange City of Tustin ...... June 8, 1999, June 15, The Honorable Thomas Saltarelli, Sept. 13, 1999 ..... 060235 1999, Orange County mayor, city of Tustin, 300 Centen- Register. nial Way, Tustin, California 92780. Colorado: Summit Town of Frisco ..... June 18, 1999, June 25, The Honorable M.L. Etie, mayor, May 14, 1999 ...... 080245 1999, Breckenridge town of Frisco, P.O. Box 4100, Summit County Journal. Frisco, Colorado 80443.
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Dates and name of news- State and county Location paper where notice was Chief executive officer of community Effective date of Community published modification No.
Iowa: Story ...... City of Ames ...... June 23, 1999, June 30, The Honorable Ted Tedesco, mayor, Sept. 28, 1999 ..... 190254 1999, The Tribune. city of Ames, 515 Clark Avenue, Ames, Iowa 50010. Kansas: Sedgwick City of Haysville ... June 21, 1999, June 28, The Honorable Tim Norton, mayor, May 20, 1999 ...... 200324 1999, Haysville Times. city of Haysville, 200 West Grand, Haysville, Kansas 67060. Kansas: Johnson ... City of Prairie Vil- July 9, 1999, July 16, The Honorable Ronald Schaffer, June 15, 1999 ..... 200175 lage. 1999, The Sun. mayor, city of Prairie Village, 7700 Mission Road, Prairie Village, Kan- sas 66208. Kansas: Sedgwick Unincorporated June 21, 1999, June 28, The Honorable William Hancock, May 20, 1999 ...... 200321 Areas. 1999, Wichita Eagle. chairman, Board of Commis- sioners, Sedgwick County, 525 North Main, Wichita, Kansas 67203. Kansas: Sedgwick Unincorporated June 30, 1999, July 7, The Honorable William Hancock, May 27, 1999 ...... 200321 Areas. 1999, Wichita Eagle. chairman, Board of Commis- sioners, Sedgwick County, 525 North Main, Wichita, Kansas 67203. Kansas: Sedgwick City of Wichita ..... June 22, 1999, June 29, The Honorable Bob Knight, mayor, May 20, 1999 ...... 200328 1999, Wichita Eagle. city of Wichita, 455 North Main Street, fist floor, Wichita, Kansas 67202. Kansas: Sedgwick City of Wichita ..... June 30, 1999, July 7, The Honorable Bob Knight, mayor, May 27, 1999 ...... 200328 1999, Wichita Eagle. city of Wichita, 455 North Main Street, first floor, Wichita, Kansas 67202. Missouri: St. Louis City of Maryland June 15, 1999, June 22, The Honorable Michael O'Brien, Sept. 20, 1999 ..... 290889 Heights. 1999, St. Louis mayor, city of Maryland Heights, Countain. 212 Millwell Drive, Maryland Heights, Missouri 63043. North Dakota: Cass City of Fargo ...... June 22, 1999, June 29, The Honorable Bruce Furness, May 21, 1999 ...... 385364 1999, The Forum. mayor, city of Fargo, City Hall, 200 Third Street North, Fargo, North Dakota 58102±4809. Oklahoma: Okla- City of Oklahoma June 18, 1999, June 25, The Honorable Kirk Humphreys, May 27, 1999 ...... 405378 homa. City. 1999, Daily Oklahoman. mayor, city of Oklahoma City, 200 North Walker, suite 302, Oklahoma City, Oklahoma 73102. Oklahoma: Tulsa ... City of Tulsa ...... June 11, 1999, June 18, The Honorable M. Susan Savage, Sept. 16, 1999 ..... 405381 1999, Tulsa World. mayor, city of Tulsa, City Hall, 200 Civic Center, Tulsa, Oklahoma 74013. Oregon: Clackamas City of Milwaukee June 24, 1999, July 1, The Honorable Carolyn Tomei, May 21, 1999 ...... 410019 1999, The Oregonian. mayor, city of Milwaukee, 10722 Southeast Main Street, Milwaukee, Oregon 97222. South Dakota: Min- Unincorporated June 18, 1999, June 25, The Honorable Robert Kolbe, chair- May 21, 1999 ...... 460057 nehaha. areas. 1999, Argus Leader. man, Minnehaha County Commis- sioners, 415 North Dakota Avenue, Sioux Falls, South Dakota 57104± 2465. Texas: Tarrant ...... City of Arlington ... June 15, 1999, June 22, The Honorable Elzie Odom, mayor, Sept. 20, 1999 ..... 485454 1999, Fort Worth Star- city of Arlington, P.O. Box 231, Ar- Telegram. lington, Texas 76004±0231. Texas: Tarrant ...... City of Arlington ... July 9, 1999, July 16, The Honorable Elzie Odom, mayor, June 11, 1999 ..... 485454 1999, Fort Worth Star- city of Arlington, P.O. Box 231, Ar- Telegram. lington, Texas 76004±0231. Texas: Travis ...... City of Austin ...... June 22, 1999, June 29, The Honorable Kirk Watson, mayor, May 27, 1999 ...... 480624 1999, Austin American- city of Austin, 124 West Eighth Statesman. Street, Austin, Texas 78701. Texas: Williamson City of Cedar Park July 7, 1999, July 14, The Honorable George Denny, Oct. 12, 1999 ...... 481282 1999, Hill Country mayor, city of Cedar Park, 600 News. North Bell Boulevard, Cedar Park, Texas 78613. Texas: Tarrant ...... City of Colleyville June 11, 1999, June 18, The Honorable Richard Newton, May 19, 1999 ...... 480590 1999, Fort Worth Star- mayor, city of Colleyville, P.O. Box Telegram. 185, Fort Worth, Texas 76034± 0185.
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Dates and name of news- State and county Location paper where notice was Chief executive officer of community Effective date of Community published modification No.
Texas: Dallas ...... City of Farmers July 23, 1999, July 30, The Honorable Bob Phelps, mayor, June 23, 1999 ..... 480174 Branch. 1999, Dallas Morning city of Farmers Branch, P.O. Box News. 819010, Farmers Branch, Texas 75381±9010. Texas: Tarrant ...... City of Fort Worth June 15, 1999, June 22, The Honorable Kenneth Barr, mayor, Sept. 20, 1999 ..... 480596 1999, Fort Worth Star- city of Fort Worth, City Hall, 1000 Telegram. Throckmorton Street, Fort Worth, Texas 76102±6311. Texas: Tarrant ...... City of Fort Worth June 23, 1999, June 30, The Honorable Kenneth Barr, mayor, May 20, 1999 ...... 480596 1999, Fort Worth StarÐ city of Fort Worth, City Hall, 1000 Telegram. Throckmorton Street, Fort Worth, Texas 76102±6311. Texas: Collin ...... City of Frisco ...... June 11, 1999, June 18, The Honorable Kathy Seei, mayor, May 21, 1999 ...... 480134 1999, Frisco Enterprise. city of Frisco, City Hall, P.O. Box 1100, Frisco, Texas 75034. Texas: Dallas and City of Garland .... June 24, 1999, July 1, The Honorable Jim Stence, mayor, May 21, 1999 ...... 485471 Collin. 1999, Garland News. city of Garland, 200 North Fifth Street, Garland, Texas 75040. Texas: Galveston .. City of League June 18, 1999, June 25, The Honorable A. Tommy May 19, 1999 ...... 485488 City. 1999, Galveston Daily Frankovich, mayor, city of League News. City, City Hall, 300 West Walker, League City, Texas 77573. Texas: Williamson City of Leander .... July 7, 1999, July 14, The Honorable Charles E. Eaton, Oct. 12, 1999 ...... 481282 1999, Hill Country mayor, city of Leander, P.O. Box News. 319, Leander, Texas 78646. Texas: Tarrant ...... Unincorporated June 11, 1999, June 18, The Honorable Tom Vandergriff, May 19, 1999 ...... 480582 areas. 1999, Fort Worth Star- Tarrant County Judge, 100 East Telegram. Weatherford Street, Fort Worth, Texas 76196±0601. Washington: Spo- Unincorporated June 8, 1999, June 15, The Honorable Kate McCaslin, chair- Sept. 13, 1999 ..... 530174 kane. areas. 1999, Spokesman-Re- person, Spokane County Board of view. Commissioners, 1116 West Broad- way Avenue, Spokane, Wash- ington 99260±0100.
(Catalog of Federal Domestic Assistance No. DATES: These modified base flood the Chief Executive Officer of the 83.100, ‘‘Flood Insurance’’) elevations are currently in effect on the community where the modified base Dated: September 27, 1999. dates listed in the table and revise the flood elevation determinations are Michael J. Armstrong, Flood Insurance Rate Map(s) (FIRMs) in available for inspection is provided. Associate Director for Mitigation. effect prior to this determination for Any request for reconsideration must [FR Doc. 99–25808 Filed 10–4–99; 8:45 am] each listed community. be based upon knowledge of changed BILLING CODE 6718±04±P From the date of the second conditions, or upon new scientific or publication of these changes in a technical data. newspaper of local circulation, any The modifications are made pursuant FEDERAL EMERGENCY person has ninety (90) days in which to to section 201 of the Flood Disaster MANAGEMENT AGENCY request through the community that the Protection Act of 1973, 42 U.S.C. 4105, Associate Director reconsider the and are in accordance with the National 44 CFR Part 65 changes. The modified elevations may Flood Insurance Act of 1968, 42 U.S.C. be changed during the 90-day period. 4001 et seq., and with 44 CFR part 65. For rating purposes, the currently [Docket No. FEMA±7297] ADDRESSES: The modified base flood elevations for each community are effective community number is shown Changes in Flood Elevation available for inspection at the office of and must be used for all new policies Determinations the Chief Executive Officer of each and renewals. The modified base flood elevations community. The respective addresses AGENCY: Federal Emergency are the basis for the floodplain are listed in the following table. Management Agency, FEMA. management measures that the FOR FURTHER INFORMATION CONTACT: ACTION: Interim rule. community is required to either adopt Matthew B. Miller, P.E., Chief, Hazards or to show evidence of being already in SUMMARY: This interim rule lists Study Branch, Mitigation Directorate, effect in order to qualify or to remain communities where modification of the Federal Emergency Management qualified for participation in the base (1% annual chance) flood Agency, 500 C Street SW., Washington, National Flood Insurance Program. elevations is appropriate because of new DC 20472, (202) 646–3461, or (email) These modified elevations, together scientific or technical data. New flood [email protected]. with the floodplain management criteria insurance premium rates will be SUPPLEMENTARY INFORMATION: The required by 44 CFR 60.3, are the calculated from the modified base flood modified base flood elevations are not minimum that are required. They elevations for new buildings and their listed for each community in this should not be construed to mean that contents. interim rule. However, the address of the community must change any
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Dates and name of news- State and County Location paper where notice was Chief executive officer of Effective date of Community published community modification no.
Georgia: Cherokee Unincorporated August 11, 1999, August Ms. Emily Lemecke, Chairwoman of Nov. 16, 1999 ...... 130424 C Areas. 18, 1999, Cherokee the Cherokee County Board of Tribune. Commissioners, 90 North Street, Suite 310, Canton, Georgia 30114. Georgia: Cherokee City of Woodstock August 11, 1999, August The Honorable David Rogers, Mayor Nov. 16, 1999 ...... 130264 C 18, 1999, Cherokee of the City of Woodstock, 103 Ar- Tribune. nold Mill Road, Woodstock, Geor- gia 30188. Illinois: Lee ...... City of Dixon ...... August 18, 1999, The The Honorable James Burke, Mayor Sept. 17, 1999 ..... 170417 Telegraph. of the City of Dixon, City Hall, 121 West Second Street, Dixon, Illinois 61021. Illinois: DuPage .... Village of Glen August 25, 1999, Sep- Mr. Joseph Wark, Village of Glen Nov. 30, 1999 ...... 170207 C Ellyn. tember 1, 1999, The Ellyn President, 535 Duane Street, Glen Ellyn News. Glen Ellyn, Illinois 60137. Indiana: Jackson .. City of Seymour ... August 24, 1999, August The Honorable John Burkhart, Mayor Nov. 29, 1999 ...... 180099 C 31, 1999, The Tribune. of the City of Seymour, 301 North Chestnut Street, Seymour, Indiana 47274. Minnesota: St. City of Cook ...... August 12, 1999, August The Honorable Harold Johnston, Aug. 4, 1999 ...... 270420 A Louis. 19, 1999, Cook News Mayor of the City of Cook, City Herald. Hall, P.O. Box 155, Cook, Min- nesota 55723. New Jersey: Union City of Linden ...... August 19, 1999, August The Honorable John T. Gregorio, Aug. 10, 1999 ...... 340467 B 26, 1999, Spectator Mayor of the City of Linden, City Leader. Hall, 301 Northwood Avenue, Lin- den, New Jersey 07036. Ohio: Licking ...... City of Newark ..... July 14, 1999, July 21, The Honorable Frank L. Stare, Mayor Oct. 19, 1999 ...... 390335E 1999, The Advocate. of the City of Newark, 40 West Main Street, Newark, Ohio 43055. Pennsylvania: Township of Upper August 31, 1999, Sep- Ms. Rose Marie Sauter, Chairperson Aug. 25, 1999 ...... 420207 F Bucks. Makefield. tember 7, 1999, Bucks of the Board of Supervisors, Town- County Courier Times. ship of Upper Makefield, 1076 Eagle Road, Newtown, Pennsyl- vania 18940. Commonwealth of Puerto Rico ...... August 13, 1999, August Mr. Jose R. Caballero-Mercado, Nov. 18, 1999 ...... 720000 B Puerto Rico. 20, 1999, El Nuevo Dia. Chairman, Puerto Rico Planning Board, Minillas Government Center, North Building, De Diego Avenue, Stop 22, P.O. Box 4119, San Juan, Puerto Rico 00940±1119.
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Dates and name of news- State and County Location paper where notice was Chief executive officer of Effective date of Community published community modification no.
Virginia (Inde- City of Winchester August 20, 1999, August Mr. Edwin C. Daley, City of Win- Aug. 13, 1999 ...... 510173 B pendent City). 27, 1999, The Win- chester Manager, Rouss City Hall, chester Star. 15 Cameron Street, Winchester, Virginia 22601.
(Catalog of Federal Domestic Assistance No. flood elevations and proposed modified Executive Order 12612, Federalism, 83.100, ‘‘Flood Insurance.’’) base flood elevations were published in dated October 26, 1987. Dated: September 27, 1999. newspapers of local circulation and an Executive Order 12778, Civil Justice Michael J. Armstrong, opportunity for the community or Reform Associate Director for Mitigation. individuals to appeal the proposed [FR Doc. 99–25803 Filed 10–4–99; 8:45 am] determinations to or through the This rule meets the applicable BILLING CODE 6718±04±P community was provided for a period of standards of Section 2(b)(2) of Executive ninety (90) days. The proposed base Order 12778. flood elevations and proposed modified FEDERAL EMERGENCY base flood elevations were also List of Subjects in 44 CFR Part 67 MANAGEMENT AGENCY published in the Federal Register. This final rule is issued in accordance Administrative practice and 44 CFR Part 67 with Section 110 of the Flood Disaster procedure, Flood insurance, Reporting Protection Act of 1973, 42 U.S.C. 4104, and recordkeeping requirements. Final Flood Elevation Determinations and 44 CFR Part 67. Accordingly, 44 CFR Part 67 is AGENCY: Federal Emergency FEMA has developed criteria for amended to read as follows: Management Agency (FEMA). floodplain management in floodprone PART 67Ð[AMENDED] ACTION: Final rule. areas in accordance with 44 CFR Part 60. SUMMARY: Base (1% annual chance) Interested lessees and owners of real 1. The authority citation for Part 67 flood elevations and modified base property are encouraged to review the continues to read as follows: flood elevations are made final for the proof Flood Insurance Study and FIRM Authority: 42 U.S.C. 4001 et seq.; communities listed below. The base available at the address cited below for Reorganization Plan No. 3 of 1978, 3 CFR, flood elevations and modified base each community. 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, flood elevations are the basis for the The base flood elevations and 3 CFR, 1979 Comp., p. 376. floodplain management measures that modified base flood elevations are made each community is required either to final in the communities listed below. § 67.11 [Amended] adopt or to show evidence of being Elevations at selected locations in each 2. The tables published under the already in effect in order to qualify or community are shown. authority of § 67.11 are amended as remain qualified for participation in the National Environmental Policy Act follows: National Flood Insurance Program (NFIP). This rule is categorically excluded #Depth in from the requirements of 44 CFR Part feet above EFFECTIVE DATE: The date of issuance of ground. the Flood Insurance Rate Map (FIRM) 10, Environmental Consideration. No Source of flooding and location *Elevation environmental impact assessment has in feet showing base flood elevations and (NGVD) modified base flood elevations for each been prepared. community. This date may be obtained Regulatory Flexibility Act COLORADO by contacting the office where the FIRM The Associate Director for Mitigation El Paso County and Incor- is available for inspection as indicated porated Areas (FEMA in the table below. certifies that this rule is exempt from the requirements of the Regulatory Docket No. 7286) ADDRESSES: The final base flood Calhan Main Channel: Flexibility Act because final or modified elevations for each community are Approximately 40 feet down- base flood elevations are required by the available for inspection at the office of stream of McClasky Road *6,485 Flood Disaster Protection Act of 1973, Approximately 3,740 feet up- the Chief Executive Officer of each 42 U.S.C. 4104, and are required to stream of Eighth Street ..... *6,548 community. The respective addresses establish and maintain community Calhan East Tributary: are listed in the table below. At confluence of Calhan Main eligibility in the NFIP. No regulatory Channel ...... *6,525 FOR FURTHER INFORMATION CONTACT: flexibility analysis has been prepared. Approximately 3,140 feet up- Matthew B. Miller, P.E., Chief, Hazards stream of confluence of Study Branch, Mitigation Directorate, Regulatory Classification Calhan Main Channel ...... *6,565 500 C Street SW., Washington, DC This final rule is not a significant Calhan Fairground Tributary: 20472, (202) 646–3461, or (e-mail) Approximately 550 feet regulatory action under the criteria of downstream of Denver [email protected]. Section 3(f) of Executive Order 12866 of Street ...... *6,533 SUPPLEMENTARY INFORMATION: The September 30, 1993, Regulatory Approximately 810 feet up- Federal Emergency Management Agency Planning and Review, 58 FR 51735. stream of Boulder Street ... *6,561 makes final determinations listed below Maps are available for in- Executive Order 12612, Federalism spection at the Regional of base flood elevations and modified Building, 101 West Costilla base flood elevations for each This rule involves no policies that Avenue, Colorado Springs, community listed. The proposed base have federalism implications under Colorado.
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#Depth in #Depth in Dated: September 27, 1999. feet above feet above Michael J. Armstrong, ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation Associate Director for Mitigation. in feet in feet (NGVD) (NGVD) [FR Doc. 99–25807 Filed 10–4–99; 8:45 am] BILLING CODE 6718±04±U Maps are available for in- ÐÐÐ spection at the Town of Friendswood (City), Gal- Calhan Town Hall, 556 Colo- veston and Harris Counties rado Avenue, Calhan, Colo- FEDERAL EMERGENCY (FEMA Docket No. 7242) MANAGEMENT AGENCY rado. Clear Creek: Just downstream of Whis- TEXAS pering Pines Avenue ...... +22 44 CFR Part 67 Just upstream of Edgewood Brazoria County and Incor- Final Flood Elevation Determinations porated Areas (FEMA Drive ...... +26 Docket No. 7242) Chigger Creek: Just upstream of confluence AGENCY: Federal Emergency Clear Creek: Management Agency (FEMA). Just upstream of Country with Clear Creek ...... +17 Club Drive ...... +39 Just downstream of ACTION: Final rule. Approximately 1,000 feet up- Windwood Drive ...... ++30 stream of Mykawa Road ... +47 Just downstream of Saint SUMMARY: Base (1% annual chance) Approximately 800 feet up- Cloud Drive ...... ++34 Chigger Creek Bypass: flood elevations and modified base stream of South Freeway .. +58 flood elevations are made final for the Chigger Creek: At confluence with Chigger Just upstream of State High- Creek ...... ++32 communities listed below. The base way 35 ...... ++39 Cowart Creek: flood elevations and modified base Just downstream of Atchison At confluence with Clear flood elevations are the basis for the Topeka & Santa Fe Rail- Creek ...... +21 floodplain management measures that Cedar Gully: way ...... ++41 each community is required either to Chigger Creek Bypass: At confluence with Clear At divergence from Chigger Creek ...... +24 adopt or to show evidence of being Creek ...... ++40 Just downstream of already in effect in order to qualify or Cowart Creek: Blackhawk Boulevard ...... +24 remain qualified for participation in the Just upstream of FM 2351 .... ++33 Marys Creek: National Flood Insurance Program Just upstream of State High- At confluence with Clear (NFIP). way 35 ...... ++44 Creek ...... +24 Just upstream of County Just upstream of Winding EFFECTIVE DATES: The date of issuance of Road 827 ...... ++55 Road ...... +28 the Flood Insurance Rate Map (FIRM) Marys Creek: Turkey Creek: showing base flood elevations and Approximately 200 feet up- At confluence with Clear Creek ...... +28 modified base flood elevations for each stream of FM 518 ...... ++41 community. This date may be obtained Just upstream of State High- Tributary 0.16 to Turkey Creek: way 35 ...... ++48 At confluence with Turkey by contacting the office where the maps Approximately 2,500 feet up- Creek ...... +28 are available for inspection as indicated stream of FM 1128 ...... ++55 Approximately 2,400 feet up- on the table below. stream of confluence with Just downstream of Old ADDRESSES: Chocolate Bayou Road ..... None Turkey Creek ...... +28 The final base flood Hickory Slough: Halls Road Ditch: elevations for each community are Just downstream of Old Alvin At confluence with Clear available for inspection at the office of Road ...... +45 Creek ...... +29 the Chief Executive Officer of each Just downstream of Garden +NGVD±1973 Releveling ++NGVD±1978 Releveling community. The respective addresses Road (County Road 109) .. ++51 are listed in the table below. Approximately 2,000 feet up- Maps are available for in- stream of Cullen Boulevard spection at the City of FOR FURTHER INFORMATION CONTACT: (FM 518) ...... ++55 League City Engineering Matthew B. Miller, P.E., Chief, Hazards Building, c/o Mr. Bob Wil- Marys Creek Bypass: Study Branch, Mitigation Directorate, Just upstream of Brazoria/ liams, 300 West Walker, Galveston County Bound- League City, Texas. Federal Emergency Management ary ...... ++29 Maps are available for in- Agency, 500 C Street SW., Washington, Approximately 3,500 feet spection at the City of DC 20472, (202) 646–3461, or (email) downstream of County Friendswood Public Works [email protected]. Road 963 ...... ++37 Building, 1306 Deepwood Drive, Friendswood, Texas. SUPPLEMENTARY INFORMATION: The ÐÐÐ Maps are available for in- Federal Emergency Management Agency League City (City), Galveston spection at the City of and Harris Counties (FEMA Pearland Permits Depart- (FEMA or Agency) makes final Docket No. 7242) ment, City Hall, 3519 Liberty determinations listed below of base Clear Creek: Drive, Pearland, Texas. flood elevations and modified base Approximately 4,300 feet up- Maps are available for in- flood elevations for each community stream of Interstate 45/75 +14 spection at the City of listed. The proposed base flood Unnamed Tributary to Clear Brookside Village City Hall, Creek: 6243 Brookside Road, Brook- elevations and proposed modified base At confluence with Clear side Village, Texas. flood elevations were published in Creek ...... +14 Maps are available for in- newspapers of local circulation and an Approximately 800 feet up- spection at the Brazoria opportunity for the community or stream of Parker Road ...... +14 County Courthouse, 111 East Locust Street, Angelton, individuals to appeal the proposed Magnolia Creek: determinations to or through the At confluence with Clear Texas. Creek ...... +16 community was provided for a period of Approximately 500 feet up- (Catalog of Federal Domestic Assistance No. ninety (90) days. The proposed base stream of FM 518 ...... +16 83.100, ‘‘Flood Insurance’’) flood elevations and proposed modified
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00055 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 53940 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations base flood elevations were also PART 67Ð[AMENDED] #Depth in published in the Federal Register. feet above 1. The authority citation for part 67 ground. This final rule is issued in accordance Source of flooding and location *Elevation with section 110 of the Flood Disaster continues to read as follows: in feet (NGVD) Protection Act of 1973, 42 U.S.C. 4104, Authority: 42 U.S.C. 4001 et seq.; and 44 CFR part 67. Reorganization Plan No. 3 of 1978, 3 CFR, At the intersection of The Agency has developed criteria for 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Deerpoint Circle and 3 CFR, 1979 Comp., p. 376. Deerpoint Drive ...... *12 floodplain management in floodprone Approximately 0.4 mile west areas in accordance with 44 CFR part § 67.11 [Amended] on Gulf Breeze Parkway 60. 2. The tables published under the from the intersection of Interested lessees and owners of real Bayshore Road and Gulf authority of § 67.11 are amended as Breeze Parkway ...... *8 property are encouraged to review the follows: Pensacola Bay: proof Flood Insurance Study and Flood Approximately 1,600 feet Insurance Rate Map available at the #Depth in northwest of the intersec- address cited below for each feet above tion of Fairpoint Drive and ground. Shoreline Drive ...... *10 community. Source of flooding and location *Elevation in feet Approximately 700 feet east The base flood elevations and (NGVD) of the intersection of Cadiz modified base flood elevations are made Street and Cordoba Street *6 final in the communities listed below. FLORIDA Maps available for inspection Elevations at selected locations in each at the Gulf Breeze City Hall, Escambia County (Unincor- community are shown. 1070 Shoreline Drive, Gulf porated Areas) (FEMA Breeze, Florida. Docket No. 7283) National Environmental Policy Act ÐÐÐ Gulf of Mexico: Approximately 1.93 miles Pensacola (City), Escambia This rule is categorically excluded County (FEMA Docket No. from the requirements of 44 CFR Part east of Pensacola Beach- Santa Rosa Island Author- 7283) 10, Environmental Consideration. No ity/Escambia County east- Pensacola Bay: environmental impact assessment has ern boundary along Gulf of West of Pensacola Bay been prepared. Mexico ...... *16 Bridge ...... *11 Approximately 200 feet north At the intersection of Regulatory Flexibility Act of intersection of Sandy Intendencia Street and Key Road and State Route North 9th Avenue ...... *7 The Associate Director, Mitigation 292 ...... *10 Maps available for inspection Directorate, certifies that this rule is Santa Rosa Sound: at the City of Pensacola In- exempt from the requirements of the Approximately 500 feet east spections Department, 180 Regulatory Flexibility Act because final of Pensacola Beach-Santa Governmental Center, 5th Rosa Island Authority/ Floor, Pensacola, Florida. or modified base flood elevations are Escambia County eastern required by the Flood Disaster boundary near Big Sabine ÐÐÐ Protection Act of 1973, 42 U.S.C. 4104, Point ...... *12 Pensacola Beach-Santa Approximately 3,000 feet Rosa Island Authority and are required to establish and south of the tip of Big (Escambia County) (FEMA maintain community eligibility in the Sabine Point ...... *11 Docket No. 7283). National Flood Insurance Program. No Pensacola Bay: Gulf of Mexico: regulatory flexibility analysis has been At the intersection of Bur- sacola Beach-Santa Rosa Is- *16 prepared. lington Northern Railroad land Authority Escambia and Redoust Narva Road *7 County east boundary at Regulatory Classification Approximately 1,000 feet Gulf of Mexico west of the intersection of At the intersection of Ariola This final rule is not a significant State Road 399/Ft. Pick- Drive and Avenida 11 ...... *11 ens Road and Via De Luna *12 Santa Rosa Sound: regulatory action under the criteria of Big Lagoon: section 3(f) of Executive Order 12866 of Approximately 600 feet north Approximately 3,600 feet of intersection of Via De September 30, 1993, Regulatory south of western tip of Luna and Avenida 11. Planning and Review, 58 FR 51735. Sherman Cove ...... *12 At the intersection of Via De Approximately 350 feet south Luna and Avenida 11. Executive Order 12612, Federalism of intersection of Gulf Beach Highway and Con- Maps available for inspection This rule involves no policies that stance Street ...... *8 at the Santa Rosa Island Au- have federalism implications under Approximately 1,400 feet thority, 7 Via Luna, Pensa- cola Beach, Florida. Executive Order 12612, Federalism, south of eastern tip of Sherman Cove ...... *10 ÐÐÐ dated October 26, 1987. Jones Creek: Approximately 500 feet east Executive Order 12778, Civil Justice of the point where North Santa Rosa County (Unin- Reform Navy Boulevard crosses corporated Areas) (FEMA Jones Creek ...... *7 Docket No. 7283) This rule meets the applicable Maps available for inspection Gulf of Mexico: standards of section 2(b)(2) of Executive at the Escambia County Of- Approximately 1.6 miles Order 12778. fice of Development Serv- south of the intersection of ices, 1190 West Leonard U.S. Route 98 (Gulf List of Subjects in 44 CFR Part 67 Street, Pensacola, Florida Breeze Parkway) and Calle 32501±1129. of Palencia ...... *16 Administrative practice and Approximately 1.5 miles procedure, Flood insurance, Reporting ÐÐÐ south of the intersection of and recordkeeping requirements. Gulf Breeze (City), Santa U.S. Route 98 (Gulf Rosa County (FEMA Breeze Parkway) and Belle Accordingly, 44 CFR part 67 is Docket No. 7283) Meade Circle ...... *11 amended as follows: Santa Rosa Sound: Santa Rosa Sound:
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#Depth in #Depth in #Depth in feet above feet above feet above ground. ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation Source of flooding and location *Elevation in feet in feet in feet (NGVD) (NGVD) (NGVD) Approximately 500 feet south Approximately 170 feet up- Just downstream of Old Robin of the intersection of stream of the confluence Hood Road *162 Avenger Drive and North with Rockcastle Creek ...... *610 Maps available for inspection Shores Drive ...... *12 Immediately downstream of at the City of Aberdeen Plan- Approximately 3,400 feet State Route 40 ...... *654 ning Department, 3 West Bel south of the intersection of Rockcastle Creek: Air Avenue, Aberdeen, Mary- U.S. Route 98 (Gulf Approximately 5,500 feet land. Breeze Parkway) and Mo- downstream of State Route ÐÐÐ hawk Trail ...... *8 40 ...... *630 Bel Air (Town), Harford Maps available for inspection At the upstream corporate County (FEMA Docket No. at the Santa Rosa County limits ...... *631 7275) Administration Building, 6495 Maps available for inspection Plumtree Run: Caroline Street, Milton, Flor- at the Disaster Emergency ida. At corporate limits, approxi- Services Director's Office, mately 2,575 feet down- ÐÐÐ Route 40, Courthouse stream of Route 24 ...... *289 Walton County (Unincor- Square, Inez, Kentucky. Approximately 240 feet up- porated Areas) (FEMA stream of Thomas Street .. *352 Docket No. 7283) MAINE Bynum Run: Approximately 750 feet up- Gulf of Mexico: Dallas Plantation, Franklin Shoreline approximately 550 stream of Brierhill Drive ..... *258 County (FEMA Docket No. Approximately 1,630 feet up- feet south of intersection of 7287) Seacrest Drive and County stream of North Hickory Route 30±A ...... *16 Haley Pond: Avenue ...... *339 Entire shoreline of Morrison For the entire shoreline with- Maps available for inspection at Lake ...... *8 in the community ...... *1,528 the Town of Bel Air Public Approximately 800 feet north- Maps available for inspection Works and Planning Depart- east of intersection of at the Dallas Plantation Of- ment, 705 Churchville Road, Lakeshore Drive and Earl fice, Dallas Hill Road, Dallas Bel Air, Maryland. Road ...... *10 Plantation, Maine. ÐÐÐ Choctawhatchee Bay: ÐÐÐ Harford County (Unincor- Approximately 300 feet north Starks (Town), Somerset porated Areas) (FEMA of intersection of Bayshore County (FEMA Docket No. Docket No. 7275) Drive and Geronomo 7287) Bear Cabin Branch: Street ...... *7 Confluence with Winters Run *259 Approximately 1,800 feet Sandy River: Approximately 2,500 feet Approximately 1.4 miles up- south of Marsh Drive and stream of Bernadette Drive *397 State Route 20 ...... *10 downstream of Sandy River Dam Road ...... *194 Bread and Cheese Branch: Approximately 700 feet south Confluence with Winters Run *289 of State Route 20 bridge At upstream corporate limits *235 At a point approximately 1,200 over Linton Spring Branch *10 Lemon Stream: feet upstream of Ryan Road *373 Lake Powell: Approximately 1.1 miles Broad Run: Approximately 800 feet north downstream of State Route Confluence with James Run *214 of intersection of Orange 43 ...... *247 Approximately 1,320 feet up- Street and Pinewood Lane *8 Approximately 100 feet up- stream of Edwards Lane ... *304 Approximately 200 feet east stream of State Route 43 .. *270 Tributary 1 to Broad Run: of interseciton of Pinewood Maps available for inspection At confluence with Broad Lane and Lakeshore Drive *9 at the Starks Town Office, Run ...... *264 Alaqua Creek: Lockhill Road, Starks, Maine. Approximately 640 feet up- Approximately 2,300 feet stream of Asbury Road ..... *308 southeast of intersection of MARYLAND Tributary 2 to Broad Run: State Route 20 and At confluence with Broad Whitfield Road ...... *9 Aberdeen (City), Harford Run ...... *296 Maps available for inspection County (FEMA Docket No. Approximately 870 feet up- at the Walton County Court- 7275) stream of Flint Lock Drive *358 house Annex, 47 North 6th Carsins Run: Bynum Run: Street, DeFuniak Springs, Confluence with Swan Creek *140 Approximately 260 feet Florida. Just downstream of Interstate downstream of Philadel- 95 ...... *176 phia Road/State Route 7 ... *16 KENTUCKY Approximately 0.7 mile up- Swan Creek: stream of Ma and Pa Rail- A point approximately 1.06 road ...... *438 Inez (City), Martin County miles downstream of North (FEMA Docket No. 7283) Tributary 1 to Bynum Run: Post Road ...... *13 Confluence with Bynum Run *270 Rockcastle Creek: A point approximately 160 A point approximately 0.6 At the downstream corporate feet downstream of center- mile upstream of con- limits ...... *631 line of Interstate 95 ...... *173 fluence with Bynum Run ... *292 Approximately 340 feet up- Tributary 4 to Swan Creek: Tributary 2 to Bynum Run: stream of State Route 40 .. *633 Approximately 2,625 feet Confluence with Tributary 1 Maps available for inspection downstream of Aberdeen to Bynum Run ...... *270 at the Inez City Hall, Main Thruway ...... *60 At Southampton Road ...... *294 Street, Inez, Kentucky. A point approximately 500 Carsins Run: feet upstream of Paradise ÐÐÐ Just downstream of Interstate Road ...... *121 95 ...... *176 Martin County (Unincor- Tributary 3 to Swan Creek: A point approximately 930 porated Areas) (FEMA Approximately 180 feet feet upstream of Carsins Docket No. 7283) downstream of Old Robin Road ...... *277 Rockhouse Fork: Hood Road ...... *156 East Branch:
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00057 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.054 pfrm08 PsN: 05OCR1 53942 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations
#Depth in #Depth in #Depth in feet above feet above feet above ground. ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation Source of flooding and location *Elevation in feet in feet in feet (NGVD) (NGVD) (NGVD) Confluence with Winters Run *341 Tributary to Wildcat Branch: MASSACHUSETTS A point approximately 1,150 Confluence with Wildcat feet upstream of con- Branch ...... *354 Millbury (Town), Worchester fluence with Winters Run .. *341 Upstream side of Bel Air County (FEMA Docket No. Grays Run: Road ...... None 7279) At CSX Transportation ...... *10 Winters Run: Ramshorn Brook: A point approximately 500 Approximately 50 feet down- Approximately 1,300 feet feet upstream of James stream of U.S. Route 40 ... *16 downstream of Dolan Road Run Road ...... *297 Confluence of East Branch and Dam ...... *610 James Run: and West Branch ...... *341 Approximately 0.5 mile up- Approximately 500 feet up- stream of Dolan Road and stream of confluence with Tributary 1 to Winters Run: Confluence with Winters Run *36 Dam (upstream corporate Bynum Run ...... *13 limits) ...... *633 A point approximately 940 A point approximately 1.0 mile upstream from the Dorothy Pond: feet upstream of Snake Upstream side of Riverlin Lane ...... *265 confluence of Winters Run *64 Tributary 2 to Winters Run: Street ...... *393 Tributary 1 to James Run: Approximately 700 feet up- Confluence with James Run *61 Confluence with Winters Run *24 stream of Wheelock Ave- A point approximately 1,250 At Paul Martin Drive ...... *40 nue ...... *399 feet upstream of Goat Hill Tributary 3 to Winters Run: Road ...... *112 A point approximately 1.4 Maps available for inspection Long Branch: miles upstream from the at the Town Hall, Planner's A point approximately 320 confluence with Winters Office, 127 Elm Street, feet upstream of con- Run ...... *88 Millbury, Massachusetts. fluence with Winters Run .. *294 A point approximately 360 MISSISSIPPI A point approximately 60 feet feet upstream of State upstream of Rock Spring Route 24 ...... *269 Brookhaven (City), Lincoln Church Road ...... *395 Tributary 4 to Winters Run: Plumtree Run: County (FEMA Docket No. Confluence with Winters Run *124 7279) Confluence with Winters Run *126 A point approximately 0.7 A point approximately 160 Stream 4 (Halbert Branch): mile upstream from the Approximately 520 feet feet upstream of Thomas confluence with Winters Street ...... *352 downstream of Natchez Rocky Branch: Run ...... *201 Avenue ...... *430 Confluence with Wildcat Tributary 5 to Winters Run: Approximately 250 feet up- Branch ...... *296 Confluence with Winters Run *59 stream of East Approximately at Harford A point approximately 720 Meadowbrook Drive ...... *468 Road/State Road 147 ...... *371 feet upstream of State Maps available for inspection Swan Creek: Route 24 ...... *202 at the Building Inspector's A point approximately 1.68 Tributary 6 to Winters Run: Office, 301 South First miles downstream of North Confluence with Winters Run *51 Street, Brookhaven, Mis- Post Road ...... *11 Approximately 205 feet up- sissippi. A point approximately 1,200 stream of Porter Drive ...... *163 ÐÐÐ feet upstream of Aldino Wysong Branch: Road ...... *342 Confluence with Bynum Run *323 Lincoln County (Unincor- Tributary 1 to Swan Creek: Approximately 950 feet up- porated Areas) (FEMA A point approximately 2,050 stream of Henderson Road *340 Docket No. 7279) feet downstream of Lilly Run: Halbert Branch: Oakington Road ...... *11 Just upstream of Revolution Approximately 50 feet up- A point approximately 1,090 Street ...... *42 stream of U.S. Highway 51 *413 feet upstream of CSX Just upstream of CSX Trans- Approximately 1.35 miles up- Transportation Railroad ..... *84 portation culvert ...... *75 stream of U.S. Highway 84 *429 Tributary 2 to Swan Creek: Maps available for inspection Confluence with Swan Creek *63 Maps available for inspection at the Harford County Plan- at the Lincoln County A point approximately 1,010 Records Room, 301 South feet upstream of Titan Ter- ning and Zoning Department, 220 South Main StreetÐ2nd First Street, Brookhaven, race ...... *131 Mississippi. Tributary 3 to Swan Creek: Floor, Bel Air, Maryland. Just upstream of Old Robin Havre de Grace (City), Har- NEW YORK Hood Road ...... *162 ford County (FEMA Dock- A point approximately 620 et No. 7275) Ellicottville (Town), feet upstream of Gravel Chesapeake Bay: Cattaraugus County Hill Road ...... *354 Corporate limit ...... *14 (FEMA Docket No. 7267) Tributary 4 to Swan Creek: A point approximately 500 Confluence with Swan Creek *35 Great Valley Creek: feet southwest of the inter- At private drive ...... *1,543 A point approximately 800 section of Seneca Avenue feet upstream of CONRAIL *62 Approximately 70 feet up- West Branch: and Chesapeake Drive ...... *13 stream of Chessie System *1,554 Confluence with Winters Run *341 Lilly Run: Maps available for inspection A point approximately 1,360 Downstream of Locust Road *12 at the Ellicottville Town Hall, feet upstream of con- Approximately 200 feet up- 1 West Washington Street, fluence with Winters Run .. *341 stream of CSX Transpor- Ellicottville, New York. Wildcat Branch: tation culvert ...... *75 A point approximately 350 Maps available for inspection NORTH CAROLINA feet upstream from the at the City of Havre de Grace confluence with Little ...... *199 Planning Department, 711 Burgaw (Town), Pender Gunpowder River Pennington Avenue, Havre County (FEMA Docket No. Approximately at Bel Air de Grace, Maryland 21078. 7275) Road ...... *417 Burgaw Creek:
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00058 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.054 pfrm08 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53943
#Depth in #Depth in #Depth in feet above feet above feet above ground. ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation Source of flooding and location *Elevation in feet in feet in feet (NGVD) (NGVD) (NGVD) At downstream side of CSX Approximately 1,800 feet up- ÐÐÐ Transportation ...... *36 stream of Normal Avenue *407 Lexington County (Unincor- Approximately 1,650 feet up- Maps available for inspection porated Areas) (FEMA stream of Wilmington at the Kutztown Code Office, Docket No. 7271) Street ...... *52 Municipal Building, 45 Rail- Osgood Canal: First Creek: road Street, Kutztown, Penn- Approximately 550 feet Approximately 800 feet up- sylvania. stream of confluence with downstream of Dogwood Burgaw Creek ...... *35 ÐÐÐ Road ...... *168 Approximately 50 feet up- Maxatawny (Township), Approximately 300 feet up- stream of CSX Transpor- Berks County (FEMA stream of Goodwin Pond tation ...... *51 Docket No. 7275) Road *306 Maps available for inspection Sacony Creek: Kinley Creek: at the Town Hall, 109 North Approximately 1,100 feet Approximately 25 feet down- Walker Street, Burgaw, North downstream of Deturks stream of Piney Grove Carolina. Bridge ...... *390 Road ...... *201 ÐÐÐ Approximately 150 feet Approximately 800 feet up- downstream of Beaver Cornelius (Town), Mecklen- stream of Fleetwood Road *467 Dam Road ...... *231 burg County (FEMA Dock- Maps available for inspection Congaree Creek: et No. 7275) at the Township Building, Approximately 700 feet up- Lake Norman: 663 Noble Street, Kutztown, stream of I±26 ...... *143 Entire shoreline within com- Pennsylvania. At upstream side of Platt munity ...... *761 Springs Road *288 Maps available for inspection SOUTH CAROLINA Fourteen Mile Creek: at the Cornelius Town Hall, Approximately 1,700 feet up- 21410 Catawba Avenue, Cayce (City), Lexington stream of Old Chapin Cornelius, North Carolina. County (FEMA Docket No. Road ...... *349 7271) ÐÐÐ Approximately 50 feet up- Congaree Creek: Davidson (Town), Mecklen- stream of Wise Ferry Road *458 Approximately 700 feet up- Lick Fork Branch: burg County (FEMA Dock- stream of I±26 ...... *143 et No. 7275) At confluence with Red Bank Approximately 2,040 feet up- Creek ...... *185 Lake Norman: stream of I±26 ...... *143 At downstream side of Kitti Entire shoreline within com- Wake Drive Dam ...... *260 munity ...... *761 Maps available for inspection at the Cayce City Hall, 1800 Red Bank Creek: Maps available for inspection 12th Street Extension, Approximately 50 feet up- at the Davidson Town HallÐ Cayce, South Carolina. stream at confluence with Planner's Department, 216 ÐÐÐ Congaree Creek ...... *164 South Main Street, Davidson, At upstream side of Calk's North Carolina. Columbia (City), Lexington Ferry Road ...... *380 County (FEMA Docket No. Savana Branch: PENNSYLVANIA 7271) At confluence with Congaree Kinley Creek: Clarks Summit (Borough), Creek ...... *144 Lackawanna County At downstream corporate lim- Approximately 100 feet up- (FEMA Docket No. 7279) its approximately 50 feet stream of St. David's upstream of Harbison Bou- Church Road ...... *288 Tributary A: levard ...... *228 Second Creek: Approximately 355 feet At upstream corporate limits At confluence with First downstream of U.S. approximately 1,100 feet Routes 6 and 11 ...... *1,147 Creek ...... *179 downstream of Beaver At confluence of Bear Creek *222 Approximately 30 feet down- Dam Road ...... *228 stream of corporate limits .. *1,261 Bear Creek: Maps available for inspection At confluence with Second Tributary A1: at the City of Columbia De- Branch ...... *222 At confluence with Tributary partment of Utilities & Engi- At confluence of Hunt Branch *274 A ...... *1,155 neering, 1225 Laurel Street, Hunt Branch: Just downstream of South Columbia, South Carolina. Abington Road ...... *1,262 At confluence with Bear Tributary B: ÐÐÐ Creek ...... *274 Just downstream of Terrace Lexington (Town), Lexington Approximately 350 feet up- Drive ...... *1,227 County (FEMA Docket No. stream of Darden Pond Approximately 60 feet up- 7271) Dam ...... *330 stream of upstream cor- Lake Murray: Fourteen Mile Creek: Entire shoreline within county *363 porate limits ...... *1,326 Approximately 1,150 feet Maps available for inspection Twelve Mile Creek: downstream of Park Road *352 Approximately 0.83 mile up- at the Clarks Summit Bor- Approximately 1,150 feet up- ough Hall, 304 South State stream of Corley Mill Road *193 stream of Park Road ...... *363 Approximately 0.47 mile up- Street, Clarks Summit, Penn- Twelve Mile Creek: sylvania. stream of Taylor Mill Pond Approximately 0.64 mile Dam ...... *441 ÐÐÐ downstream of the con- Tributary to Fourteen Mile Kutztown (Borough), Berks fluence of Tributary TM±1 *243 Creek: County (FEMA Docket No. Approximately 0.42 mile down- Approximately 550 feet up- 7275) stream of Wildlife Road *318 stream of confluence with Sacony Creek: Maps available for inspection Fourteen Mile Creek ...... *265 Approximately 1,800 feet at the Lexington Town Hall, Approximately 1,880 feet up- downstream of U.S. Route 11 Maiden Lane, Lexington, stream of confluence with 222 ...... *399 South Carolina. Fourteen Mile Creek ...... *277
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#Depth in #Depth in FOR FURTHER INFORMATION CONTACT: feet above feet above ground. ground. William A. Kehoe, Special Counsel, Source of flooding and location *Elevation Source of flooding and location *Elevation Common Carrier Bureau, Policy and in feet in feet Program Planning Division, (202) 418– (NGVD) (NGVD) 1580 or via the Internet at Maps available for inspection At confluence of Doe Creek *392 [email protected]. Further information at the Lexington County Downstream county bound- may also be obtained by calling the Planning Department, 212 ary ...... *393 Common Carrier Bureau’s TTY number: South Lake Drive, 5th Floor, Maps available for inspection Administration Building, Lex- at the Decatur County Court- 202–418–0484. For additional ington, South Carolina. house, County Executive Of- information concerning the information ÐÐÐ fice, 22 Main Street, collections contained in this Order Decaturville, Tennessee. Pine Ridge (Town), Lex- contact Judy Boley at (202) 418–0214, or ington County (FEMA Docket No. 7271) VIRGINIA via the Internet at [email protected]. Congaree Creek: Halifax (Town), Halifax Approximately 1,750 feet County (FEMA Docket No. SUPPLEMENTARY INFORMATION: This is a downstream of confluence 7283) summary of the Commission’s Order with Savana Bridge ...... *143 Banister Lake: adopted August 23, 1999, and released Approximately 600 feet Approximately 120 feet September 9, 1999. The full text of this downstream of Southern downstream of down- Railway bridge ...... *148 stream corporate limit ...... *365 Third Report and Order is available for First Creek: At the upstream corporate inspection and copying during normal Approximately 1,125 feet limit ...... *365 business hours in the FCC Reference downstream of Dogwood Maps available for inspection Center, 445 12th Street, SW, Room CY– Road ...... *168 at the Halifax Town Hall, 70 Approximately 320 feet up- Main Street, Halifax, Virginia. A257, Washington, DC The complete stream of Dogwood Road *173 text also may be obtained through the Savana Branch: At confluence with Congaree (Catalog of Federal Domestic Assistance No. World Wide Web, at http:// Creek ...... *144 83.100, ‘‘Flood Insurance’’) www.fcc.gov/Bureaus/Common Carrier/ Approximately 650 feet Dated: September 27, 1999. Orders/fcc99227.wp, or may be downstream of Old Dunbar Michael J. Armstrong, Road ...... *147 purchased from the Commission’s copy Maps available for inspection Associate Director for Mitigation. contractor, International Transcription at the Pine Ridge Town Hall, [FR Doc. 99–25802 Filed 10–4–99; 8:45 am] Service, Inc., (202) 857–3800, 1231 20th 1200 Fish Hatchery Road, BILLING CODE 6718±04±P St., NW, Washington, DC 20036. This West Columbia, South Caro- lina. Order contains information collections ÐÐÐ subject to the Paperwork Reduction Act South Congaree (Town), FEDERAL COMMUNICATIONS of 1995 (PRA). It has been submitted to Lexington County (FEMA COMMISSION the Office of Management and Budget Docket No. 7271) (OMB) for review under the PRA. The Congaree Creek: 47 CFR Part 64 general public and other federal Approximately 1,775 feet up- [CC Docket No. 96±115; FCC 99±227] stream of Southern Rail- agencies are invited to comment on the way ...... *151 information collections contained in Approximately 1,150 feet up- Telecommunications Carriers' Use of this proceeding. stream of the confluence of Customer Proprietary Network Red Bank Creek ...... *165 Information and Other Customer Regulatory Flexibility Certification First Creek: Information At confluence with Congaree As required by the Regulatory Creek ...... *152 AGENCY: Federal Communications Approximately 400 feet Flexibility Act, the Order contains a downstream of Dogwood Commission. Final Regulatory Flexibility Analysis Road ...... *170 ACTION: Final rule. which is set forth in an Appendix to the Red Bank Creek: Order. A brief description of the At confluence with Congaree SUMMARY: This document establishes Creek ...... *164 rules to implement section 222(e) by analysis follows. Pursuant to section Maps available for inspection requiring all telecommunications 604 of the Regulatory Flexibility Act, at the South Congaree Town the Commission performed a Hall, 119 West Berry Road, carriers to provide subscriber list West Columbia, South Caro- information gathered in their capacity as comprehensive analysis of the Order lina. providers of telephone exchange service with regard to small entities. This analysis includes: (1) A succinct TENNESSEE to any person upon request for the purpose of publishing directories in any statement of the need for, and objectives Decatur County (Unincor- format, including Internet directories. of, the Commission’s decisions in the porated Areas) (FEMA The intended effect is to further Order; (2) A summary of the significant Docket No. 7279) Congress’s goals of preventing unfair issues raised by the public comments in Tennessee River: response to the initial regulatory Upstream county boundary ... *374 local exchange carrier (LEC) practices At confluence of Rockets and encouraging the development of flexibility analysis, a summary of the Creek ...... *376 competition in directory publishing. Commission’s assessment of these At confluence of Cub Creek *377 issues, and a statement of any changes At confluence of Lick Creek .. *377 DATES: Effective December 14, 1999. At confluence of Beech River *380 Written comments by the public on the made in the Order as a result of the At confluence of Whites information collection requirements are comments; (3) A description of and an Creek ...... *383 due November 4, 1999. OMB must estimate of the number of small entities At confluence of Turnbo Creek ...... *391 submit written comments on the to which the Order will apply; (4) A At confluence of Stewman information collection requirements on description of the projected reporting, Creek ...... *391 or before December 6, 1999. recordkeeping and other compliance
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No. of Information collection respondents Estimated time per response Total annual (approx.) burden
Provision of Subscriber List Information ...... 2,000 2 hours (10 responses per year) ...... 20,000 Notifications ...... 1,000 .5 ...... 500 Cost Study ...... 100 100 ...... 10,000 Certification ...... 2,000 .5 ...... 1,000 Disclosure of Contract Rates, Terms, and Conditions 2,000 .5 hours (2 responses per year) ...... 2,000
Total Annual Burden: 33,500 hours ** * that the carrier or an affiliate has requesting directory publishers. For Respondents: Businesses or other for- published, caused to be published, or subscribers that have multiple profit. accepted for publication in any telephone numbers, a carrier must Estimated costs per respondent: $0. directory format.’’ provide requesting directory publishers Needs and Uses: The Commission, in 2. Not only LECs, but all with each telephone number that it has compliance with section 222(e) of the telecommunications carriers, including published, caused to be published, or Communications Act, promulgates rules interexchange carriers, cable operators, accepted for publication in a directory. in this Order to further Congress’ goals and other competitive LECs, must 5. Each carrier that gathers subscriber of preventing unfair LEC practices in provide subscriber list information list information in its capacity as a relation to subscriber list information gathered in their capacity as providers provider of telephone exchange service and of encouraging the development of of telephone exchange service to any is obligated to provide that information competition in directory publishing. person upon request for the purpose of to requesting directory publishers at the Our clarification and particularization publishing directories. Only the carrier same rates, terms, and conditions that of the obligations imposed on carriers that provides a subscriber with the carrier provides the information to by section 222(e) is necessary to achieve telephone exchange service is obligated its own directory publishing operation, Congress’ goals in relation to subscriber to provide a particular telephone its directory publishing affiliate, or list information. This approach should subscriber’s subscriber list information. other directory publishers. reduce confusion and potential A carrier need not provide subscriber controversy with minimal burdens on list information to requesting directory 6. We also require each carrier that is carriers and directory publishers, many publishers pursuant to section 222(e) subject to section 222(e) to make of whom are small businesses. unless the carrier gathered that available to requesting directory information in its capacity as a provider publishers any written contracts that it Synopsis of Order of telephone exchange service. has executed for the provision of 1. In this Third Report and Order, we 3. The definition of subscriber list subscriber list information for directory require all telecommunications carriers information we adopt includes primary publishing purposes to itself, an to provide subscriber list information advertising classifications only if they affiliate, or an entity that publishes gathered in their capacity as providers are ‘‘assigned at the time of the directories on the carrier’s behalf. In of telephone exchange service to any establishment’’ of telephone exchange addition, to the extent any of a carrier’s person upon request for the purpose of service. A primary advertising rates, terms, and conditions for publishing directories in any format, classification is assigned at the time of providing subscriber list information for including Internet directories. We also the establishment of telephone exchange those operations are not set forth in a define subscriber list information as service if the carrier that provides written contract, the carrier must keep ‘‘the listed names of subscribers of a telephone exchange service assigns the a written record of, and make available carrier and such subscribers’’ telephone classification or if a tariff or State to requesting directory publishers, those numbers, addresses, or primary requirement obligates the carrier to rates, terms, and conditions. Upon advertising classifications (as such provide yellow pages listings as part of request, the carrier shall also provide classifications are assigned at the time telephone exchange service to these contracts and this information to of the establishment of such service) or businesses. this Commission. A carrier must not any combination of such listed names, 4. Carriers are obligated to provide restrict a directory publisher’s choice of numbers, addresses, or classifications updated subscriber list information to directory format.
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7. A carrier must provide subscriber subscriber list information to each costs support; and the methods the list information at the time requested by publisher. carrier uses to allocate those costs. the directory publisher, provided that 10. In future disputes regarding the d. Other Information. The projected the directory publisher has given at least sufficiency of a carrier’s internal average number of listings the carrier thirty days advance notice and the subscriber list information systems, the provides to directory publishers and, if carrier’s internal systems permit the burden will be on the carrier to show applicable, to other entities in a year; request to be filled within that time that those systems cannot accommodate the rate of return on investment and frame. We require carriers to unbundle the delivery schedule, unbundling level, depreciation costs the carrier uses in subscriber list information, including and format the directory publisher calculating its subscriber list updates, on any basis requested by a requests. information rates; and any other directory publisher that the carrier’s 11. We require carriers to provide information necessary to make clear the internal systems can accommodate. A requesting directory publishers with carrier’s costing process. The carrier carrier, in addition, must not require notice of changes in subscriber list should provide this information directory publishers to purchase any information to the extent those changes separately for both base file and updated product or service other than subscriber reflect customers’ decisions to cease subscriber list information if the list information as a condition of having particular telephone numbers complainant challenges both types of obtaining subscriber list information. In listed. rates. We also expect the carrier to unbundling subscriber list information 12. Based on the record before us, we describe how its methods for allocating for directory publishers, however, the conclude that $0.04 per listing is a common costs compare to those the carrier shall not disclose customer presumptively reasonable rate for base carrier uses in other contexts. In the proprietary network information except file subscriber list information, as absence of cost data showing that the as permitted by sections 222(c) and (d) defined below, and that $0.06 per listing carrier’s costs exceed the presumptively of the Communications Act and our is a presumptively reasonable rate for reasonable rates, the Bureau or the implementing rules. Upon request, a other subscriber list information, Commission, depending on the carrier that has received at least thirty including updates, that carriers provide circumstances, shall find in favor of the days advance notice also must provide directory publishers. We do not plaintiff, and award damages subscriber list information on any preclude a carrier from charging accordingly. 14. We require that directory periodic basis that the carrier’s internal subscriber list information rates publishers be allowed to purchase systems can accommodate. different from these presumptively updated subscriber list information 8. If the carrier’s systems cannot reasonable rates. However, any carrier rather than having to repurchase a whose rates exceed either of these rates accommodate the delivery schedule, the carrier’s entire subscriber list level of unbundling, or the format should be prepared to provide cost data information database each time the requested by a directory publisher, the and all other relevant information publisher wishes to update its own carrier must inform the directory justifying the higher rate in the event a database. publisher of that fact, tell the publisher directory publisher files a complaint 15. Carriers may require directory which delivery schedules, unbundling regarding that rate pursuant to section publishers to certify that they will use levels, or formats can be accommodated, 208 of the Communications Act. Absent subscriber list information obtained and adhere to the schedule, unbundling credible and verifiable data showing pursuant to section 222(e) only for level, or format the publisher chooses that the carrier’s costs, including a directory publishing purposes. The from among those available. The carrier reasonable profit, exceed the applicable certification may be either oral or must provide this information within presumptively reasonable rate, the written, at the carrier’s option. thirty days of when it receives the Bureau or the Commission, depending 16. After consideration of possible publisher’s request. If this process on the circumstances, shall conclude alternatives, we conclude in the Third results in the provision of listings in that the rate is unreasonable and award Report and Order that our clarification addition to those the directory publisher damages accordingly. and particularization of the obligations requested, the carrier may impose 13. In the event a directory publisher imposed on carriers by section 222(e) is charges for, and the directory publisher files a complaint regarding a carrier’s necessary to achieve Congress’ goals in may publish, only the requested listings. subscriber list information rates, the relation to subscriber list information. A carrier, in addition, must not require carrier must present a cost study Our decision to act in this Third Report directory publishers to purchase any providing credible and verifiable cost and Order, rather than exclusively product or service other than subscriber data to justify each challenged rate. This through case-by-case adjudication, will list information as a condition of cost study must clearly and specifically reduce confusion and potential obtaining subscriber list information. identify and justify: controversy with minimal burdens on 9. If a carrier finds that it cannot a. Incremental Costs. Each specific carriers and directory publishers, many accommodate all of a group of multiple function the carrier performs solely to of whom are small entities. or conflicting requests for subscriber list provide subscriber list information to 17. As indicated above, our actions in information within the specified time the complainant; and the incremental this Third Report and Order will affect frames, the carrier shall respond to costs the carrier incurs in performing both carriers and directory publishers those requests on a nondiscriminatory each of these specific functions. that, for purposes of the FRFA, we basis. The carrier shall inform each b. Common Costs. The cost the carrier assume are classified as small entities. affected directory publisher of the incurs in creating and maintaining its The record in this proceeding reflects conflicting requests within thirty days subscriber list information database and the carriers’ and directory publishers’ of when it receives the publisher’s the methods the carrier uses to allocate conflicting views as to the meaning of request. Within that thirty-day period, that cost among supported services. the statutory language and, in particular, the carrier also shall inform each c. Overheads. Any other costs the as to the application of statutory terms, affected directory publisher how it carrier incurs to support its provision of such as ‘‘timely’’ and ‘‘reasonable,’’ to intends to resolve the conflict and the subscriber list information to the specific situations. The record also schedule on which it intends to provide complainant; the other activities those makes clear that these disputes may
VerDate 25-SEP-99 17:46 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00062 Fmt 4700 Sfmt 4700 E:\FR\FM\05OCR1.XXX pfrm03 PsN: 05OCR1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 53947 have prevented full realization of 303(r), and 403 of the Communications Subpart XÐSubscriber List Congress’ goals of preventing unfair Act of 1934, as amended, 47 U.S.C. Information carrier practices in relation to subscriber 154(i), 154(j), 201–205, 208, 222(e), list information and encouraging the 222(f)(3), 303(r), and 403, Part 64 of the § 64.2301 Basis and purpose. development of competition in directory Commission’s rules, 47 CFR Part 64, is (a) Basis. These rules are issued publishing. amended, as set forth below. pursuant to the Communications Act of 18. In resolving these disputes, we 22. It is further ordered that, pursuant 1934, as amended. have considered significant alternatives, to the authority contained in § § 1, 4(i), (b) Purpose. The purpose of these such as allowing value-based rates for 4(j), 201–205, 208, 222(e), 222(f)(3), rules is to implement section 222(e) of subscriber list information carriers 303(r), and 403 of the Communications the Communications Act of 1934, as provide directory publishers. In Act of 1934, as amended, 47 U.S.C. amended, 47 U.S.C. 222. Section 222(e) choosing among the various 154(i), 154(j), 201–205, 208, 222(e), requires that ‘‘a telecommunications alternatives, we have sought to 222(f)(3), 303(r), and 403, and section carrier that provides telephone minimize the adverse economic impact 1.427 of the Commission’s Rules, 47 exchange service shall provide on carriers, including those that are CFR 1.427, that the requirements and subscriber list information gathered in small entities. We recognize, however, rules adopted in the Third Report and its capacity as a provider of such service that Congress intended section 222(e) to Order shall be effective December 14, on a timely and unbundled basis, under prevent carriers from deriving economic 1999, since the rules contain nondiscriminatory and reasonable rates, benefits from refusing to provide information collection requirements that terms, and conditions, to any person subscriber list information on a timely are contingent on approval by the OMB. upon request for the purpose of and unbundled basis, charging 23. It is further ordered that the publishing directories in any format.’’ discriminatory or unreasonable rates for Commission’s Office of Public Affairs, that information, or imposing Reference Operations Division, shall § 64.2305 Definitions. discriminatory or unreasonable terms or send a copy of this Third Report and Terms used in this subpart have the conditions in connection with the Order, including the associated Final following meanings: provision of that information. In Regulatory Flexibility Analysis, to the (a) Base file subscriber list implementing that section, we have Chief Counsel for Advocacy of the Small information. A directory publisher sought to eliminate those benefits. Business Administration, in accordance requests base file subscriber list 19. As discussed in this Third Report with paragraph 605(b) of the Regulatory information when the publisher and Order, we recognize that the ability Flexibility Act, 5 U.S.C. §§ 601 et seq. requests, as of a given date, all of a of independent directory publishers to List of Subjects in 47 CFR Part 64 carrier’s subscriber list information that improve customer service and to the publisher wishes to include in one develop new products is dependent on Communications common carriers, or more directories. telecommunications carriers’ Reporting and recordkeeping (b) Business subscriber. Business understanding and complying with their requirements, Telephone. subscriber refers to a subscriber to obligations under section 222(e). Many Federal Communications Commission. telephone exchange service for independent directory publishers are businesses. small, entrepreneurial businesses. Our Magalie Roman Salas, actions in this Third Report and Order Secretary. (c) Primary advertising classification. A primary advertising classification is will benefit these directory publishers Rule Changes by facilitating their directory publishing the principal business heading under operations. Those actions also will For the reasons discussed in the which a subscriber to telephone eliminate barriers to entering the preamble, the Federal Communications exchange service for businesses chooses directory publishing market, and thus Commission amends 47 CFR Part 64 as to be listed in the yellow pages, if the benefit small entities as they take that follows: carrier either assigns that heading or is step. In general in this Third Report and obligated to provide yellow pages PART 64ÐMISCELLANEOUS RULES listings as part of telephone exchange Order, we have attempted to implement RELATING TO COMMON CARRIERS section 222(e) in a manner that keeps service to businesses. In other burdens on carriers to a minimum while 1. The authority citation for Part 64 circumstances, a primary advertising ensuring that directory publishers, continues to read as follows: classification is the classification of a subscriber to telephone exchange including new entrants, are able to Authority: 47 U.S.C. 1–5, 7, 201–05, 222. compete based on the quality of their service as a business subscriber. directories. We believe that this Third 2. Part 64 is amended by adding (d) Residential subscriber. Residential Report and Order furthers our Subpart X to read as follows: subscriber refers to a subscriber to commitment to minimizing regulatory Subpart XÐSubscriber List Information telephone exchange service that is not a business subscriber. burdens on small entities in accordance 64.2301 Basis and purpose. with statutory requirements. 64.2305 Definitions. (e) Subscriber list information. 20. Accordingly, it is ordered that, 64.2309 Provision of subscriber list Subscriber list information is any pursuant to the authority contained in information. information: §§ 1, 4(i), 4(j), 201–205, 208, 222(e), 64.2313 Timely basis. (1) Identifying the listed names of 222(f)(3), 251, 303(r), and 403 of the 64.2317 Unbundled basis. subscribers of a carrier and such Communications Act of 1934, as 64.2321 Nondiscriminatory rates, terms, subscribers’ telephone numbers, amended, 47 U.S.C. 151, 154(i), 154(j), and conditions. addresses, or primary advertising 64.2325 Reasonable rates, terms, and classifications (as such classifications 201–205, 208, 222(e), 222(f)(3), 303(r), conditions. and 403, the Third Report and Order is 64.2329 Format. are assigned at the time of the adopted. 64.2333 Burden of proof. establishment of such service), or any 21. It is further ordered that, pursuant 64.2337 Directory publishing purposes. combination of such listed names, to the authority contained in §§ 1, 4(i), 64.2341 Record keeping. numbers, addresses, or classifications; 4(j), 201–205, 208, 222(e), 222(f)(3), 64.2345 Primary advertising classification. and
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(2) That the carrier or an affiliate has provided, on the first business day that § 64.2321 Nondiscriminatory rates, terms, published, caused to be published, or is at least thirty days from date the and conditions. accepted for publication in any carrier receives that request; or For purposes of § 64.2309, a directory format. (3) At a time determined in telecommunications carrier provides (f) Telecommunications carrier. A accordance with paragraph (b) of this subscriber list information under telecommunications carrier is any section. nondiscriminatory rates, terms, and provider of telecommunications (b) If a carrier’s internal systems do conditions only if the carrier provides services, except that such term does not not permit the carrier to provide subscriber list information gathered in include aggregators of subscriber list information within either its capacity as a provider of telephone telecommunications services (as defined of the time frames specified in exchange service to a requesting in 47 U.S.C. 226(a)(2)). paragraph (a)(1) of this section, the directory publisher at the same rates, (g) Telephone exchange service. carrier shall: terms, and conditions that the carrier Telephone exchange service means: (1) Within thirty days of receiving the provides the information to its own (1) Service within a telephone publisher’s request, inform the directory directory publishing operation, its exchange, or within a connected system publisher that the requested schedule directory publishing affiliate, or other of telephone exchanges within the same cannot be accommodated and tell the directory publishers. exchange area operated to furnish to directory publisher which schedules § 64.2325 Reasonable rates, terms, and subscribers intercommunicating service can be accommodated; and of the character ordinarily furnished by conditions. (2) Adhere to the schedule the a single exchange, and which is covered (a) For purposes of § 64.2309, a directory publisher chooses from among by the exchange service charge, or telecommunications carrier will be (B) Comparable service provided the available schedules. presumed to provide subscriber list through a system of switches, § 64.2317 Unbundled basis. information under reasonable rates if its transmission equipment, or other rates are no more than $0.04 a listing for (a) A directory publisher may request facilities (or combination thereof) by base file subscriber list information and that a carrier unbundle subscriber list which a subscriber can originate and no more than $0.06 a listing for updated information on any basis for the purpose terminate a telecommunications service. subscriber list information. of publishing one or more directories. (h) Updated subscriber list (b) For purposes of § 64.2309, a information. A directory publisher (b) For purposes of § 64.2309, a telecommunications carrier provides requests updated subscriber list telecommunications carrier provides subscriber list information under information when the publisher subscriber list information on an reasonable terms and conditions only if requests changes to all or any part of a unbundled basis only if the carrier the carrier does not restrict a directory carrier’s subscriber list information provides: publisher’s choice of directory format. occurring between specified dates. (1) The listings the directory publisher requests and no other listings, § 64.2329 Format. § 64.2309 Provision of subscriber list products, or services; or (a) A carrier shall provide subscriber information. (2) Subscriber list information on a list information obtained in its capacity (a) A telecommunications carrier that basis determined in accordance with as a provider of telephone exchange provides telephone exchange service paragraph (c) of this section. service to a requesting directory shall provide subscriber list information (c) If the carrier’s internal systems do publisher in the format the publisher gathered in its capacity as a provider of not permit it unbundle subscriber list specifies, if the carrier’s internal such service on a timely and unbundled information on the basis a directory systems can accommodate that format. basis, under nondiscriminatory and publisher requests, the carrier must: (b) If a carrier’s internal systems do not permit the carrier to provide reasonable rates, terms, and conditions, (1) Within thirty days of receiving the subscriber list information in the format to any person upon request for the publisher’s request, inform the directory the directory publisher specifies, the purpose of publishing directories in any publisher that it cannot unbundle carrier shall: format. subscriber list information on the (1) Within thirty days of receiving the (b) The obligation under paragraph (a) requested basis and tell the directory publisher’s request, inform the directory to provide a particular telephone publisher the bases on which the carrier publisher that the requested format subscriber’s subscriber list information can unbundle subscriber list cannot be accommodated and tell the extends only to the carrier that provides information; and that subscriber with telephone exchange directory publisher which formats can (2) In accordance with paragraph (d) service. be accommodated; and of this section, provide subscriber list (2) Provide the requested subscriber § 64.2313 Timely basis. information to the directory publisher list information in the format the (a) For purposes of § 64.2309, a unbundled on the basis the directory directory publisher chooses from among telecommunications carrier provides publisher chooses from among the the available formats. subscriber list information on a timely available bases. basis only if the carrier provides the (d) If a carrier provides a directory § 64.2333 Burden of proof. requested information to the requesting publisher listings in addition to those (a) In any future proceeding arising directory publisher either: the directory publisher requests, the under section 222(e) of the (1) At the time at which, or according carrier may impose charges for, and the Communications Act or § 64.2309, the to the schedule under which, the directory publisher may publish, only burden of proof will be on the carrier to directory publisher requests that the the requested listings. the extent it claims its internal subscriber list information be provided; (e) A carrier must not require subscriber list information systems (2) When the carrier does not receive directory publishers to purchase any cannot accommodate the delivery time, at least thirty days advance notice of the product or service other than subscriber delivery schedule, unbundling level, or time the directory publisher requests list information as a condition of format requested by a directory that subscriber list information be obtaining subscriber list information. publisher.
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(b) In any future proceeding arising § 64.2345 Primary advertising (HMS FMP), and its implementing under section 222(e) of the classification. regulations found at 50 CFR part 635 Communications Act or § 64.2309, the A primary advertising classification is issued under authority of the burden of proof will be on the carrier to assigned at the time of the establishment Magnuson-Stevens Fishery the extent it seeks a rate exceeding $0.04 of telephone exchange service if the Conservation and Management Act (16 per listing for base file subscriber list carrier that provides telephone U.S.C. 1801 et seq.). information or $0.06 per listing for exchange service assigns the On June 30, 1999, the NMFS received updated subscriber list information. classification or if a tariff or State a Court Order from Judge Steven D. requirement obligates the carrier to Merryday relative to the May, 1997, § 64.2337 Directory publishing purposes. provide yellow pages listings as part of lawsuit challenging commercial harvest (a) Except to the extent the carrier and telephone exchange service to quotas for Atlantic sharks. Specifically, directory publisher otherwise agree, a businesses. the court forbid NMFS from enforcing the 1999 regulations, 64 FR 29090 (May, directory publisher shall use subscriber [FR Doc. 99–25648 Filed 10–4–99; 8:45 am] list information obtained pursuant to 28, 1999) on Atlantic shark commercial BILLING CODE 6712±01±P section 222(e) of the Communications catch quotas and fish-counting methods Act or § 64.2309 only for the purpose of (including the counting of dead discards and state commercial landings after publishing directories. DEPARTMENT OF COMMERCE federal closures) that are different from (b) A directory publisher uses the quotas and fish counting methods subscriber list information ‘‘for the National Oceanic and Atmospheric prescribed by the 1997 Atlantic shark purpose of publishing directories’’ if the Administration regulations, 62 FR 16648 (April 7, 1997). publisher includes that information in a Therefore, the LCS quota reverted to its directory, or uses that information to 50 CFR Part 635 1997 level of 1,285 metric tons dressed determine what information should be [I.D. 092299D] weight (all species of LCS included), included in a directory, solicit Atlantic Highly Migratory Species with no minimum size on ridgeback advertisers for a directory, or deliver LCS, the pelagic and small coastal shark directories. (HMS) Fisheries; Large Coastal Shark Fishery; Season Adjustments quotas also revert to their 1997 levels, (c) A telecommunications carrier may the 1997 prohibited species list now require any person requesting subscriber AGENCY: National Marine Fisheries applies in commercial fisheries only list information pursuant to section Service (NMFS), National Oceanic and (five prohibited species: white, basking, 222(e) of the Communications Act or Atmospheric Administration (NOAA), whale, sand tiger and bigeye sand tiger). § 64.2309 to certify that the publisher Commerce. The limited access provisions do still will use the information only for ACTION: Postponement of closure; apply, however, including trip limits for purposes of publishing a directory. fishing season notification. directed and incidental shark permit (d) A carrier must provide subscriber holders. list information to a requesting directory SUMMARY: NMFS has determined that The annual commercial quota of LCS publisher even if the carrier believes the large coastal shark (LCS) commercial to be harvested from Atlantic, that the directory publisher will use that fishery quota for the second semiannual Caribbean, and Gulf of Mexico waters is information for purposes other than or fishing season has not been reached. apportioned between two equal in addition to directory publishing. Therefore, NMFS notifies eligible semiannual fishing seasons. The second participants that the commercial fishery semiannual quota for LCS of 642 metric § 64.2341 Record keeping. for LCS in the Western North Atlantic tons dressed weight (mt dw) was (a) A telecommunications carrier must Ocean, including the Gulf of Mexico reduced by the overharvest of 57 mt dw retain, for at least one year after its and the Caribbean Sea, which was in the first semiannual fishing season expiration, each written contract that it scheduled to close September 30, 1999, such that 585 mt dw were available for has executed for the provision of at 11:30 p.m. local time, has been harvest for the semiannual period subscriber list information for directory extended to October 15, 1999, at 11:30 beginning July 1, 1999. The second publishing purposes to itself, an p.m. local time. Both the ridgeback and semiannual fishing season was opened affiliate, or an entity that publishes non-ridgeback sectors of the LCS fishery July 1, 1999 and closed on July 28, 1999 directories on the carrier’s behalf. will remain open until the issued (64 FR 37883, July 14, 1999), with 306.5 closure date. This action is necessary to mt dw of the LCS quota remaining (b) A telecommunications carrier unharvested. On September 1, 1999, the must maintain, for at least one year after ensure adequate opportunity for eligible fishery participants to harvest the fishing season was again opened the carrier provides subscriber list through September 30, 1999 (64 FR information for directory publishing available quota and to ensure that the adjusted semiannual quota for LCS for 47713, September 1, 1999) to allow purposes to itself, an affiliate, or an fishing participants to harvest the entity that publishes directories on the the period July 1 through December 31, 1999, is not exceeded. remaining quota. carrier’s behalf, records of any of its Dealer reports and state landings rates, terms, and conditions for DATES: The commercial fishery for LCS summaries for the period July 1 through providing that subscriber list will close on October 15, 1999, at 11:30 September 15, 1999, indicate that information which are not set forth in a p.m. local time and will remain closed approximately 375 mt dw of the written contract. through December 31, 1999. available second semiannual LCS (c) A carrier shall make the contracts FOR FURTHER INFORMATION CONTACT: subquota of 585 mt dw have been and records described in paragraphs (a) Margo Schulze or Steve Meyers, 301- harvested. Given a catch rate of and (b) of this section available, upon 713-2347; fax 301-713-1917. approximately 62.5 mt dw per week, request, to the Commission and to any SUPPLEMENTARY INFORMATION: The NMFS believes that the available quota directory publisher that requests those Atlantic shark fishery is managed under of 210 mt dw should be attained by contracts and records for the purpose of the Fishery Management Plan for October 15, 1999. Extending the season publishing a directory. Atlantic Tunas, Swordfish, and Sharks for 2 more weeks should allow adequate
VerDate 22-SEP-99 10:18 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00065 Fmt 4700 Sfmt 4700 E:\FR\FM\A05OC0.007 pfrm08 PsN: 05OCR1 53950 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations opportunity for fishermen to harvest the DEPARTMENT OF COMMERCE The 1999 TAC of shortraker and available quota but will ensure that the rougheye rockfish in the Eastern quota is not exceeded. Therefore, the National Oceanic and Atmospheric Regulatory Area of the GOA was LCS commercial fishery will be Administration established as 460 metric tons by the extended to October 15, 1999, at 11:30 Final 1999 Harvest Specifications of pm local time, and will afterwards 50 CFR Part 679 Groundfish for the GOA (64 FR 12094, remain closed through December 31, [Docket No. 990304062±9062±01; I.D. March 11, 1999). See § 679.20(c)(3)(ii). 1999. 092999B] In accordance with § 679.20(d)(2), the During a closure, retention of, fishing Administrator, Alaska Region, NMFS, Fisheries of the Exclusive Economic has determined that the 1999 TAC for for, possessing or selling LCS are Zone Off Alaska; Shortraker and prohibited for persons fishing aboard shortraker and rougheye rockfish in the Rougheye Rockfish in the Eastern Eastern Regulatory Area of the GOA has vessels issued a limited access permit Regulatory Area of the Gulf of Alaska under 50 CFR 635.4. After October 15, been reached. Therefore, NMFS is 1999, the sale, purchase, trade, or barter AGENCY: National Marine Fisheries requiring that further catches of of carcasses and/or fins of LCS Service (NMFS), National Oceanic and shortraker and rougheye rockfish in the harvested by a person aboard a vessel Atmospheric Administration (NOAA), Eastern Regulatory Area of the GOA be that has been issued a permit under 50 Commerce. treated as prohibited species in CFR 635.4 are prohibited, except that ACTION: Closure. accordance with § 679.21(b). possession is authorized for LCS that Classification were harvested, offloaded, and sold SUMMARY: NMFS is prohibiting retention prior to the closure and that were held of shortraker and rougheye rockfish in This action responds to the best in storage by a dealer or processor. the Eastern Regulatory Area of the Gulf available information recently obtained of Alaska (GOA). NMFS is requiring that from the fishery. It must be Commercial fishing for pelagic and catch of shortraker and rougheye implemented immediately to prevent small coastal sharks may continue until rockfish in this area be treated in the overharvesting the 1999 TAC for further notice. When quotas are same manner as prohibited species and shortraker and rougheye rockfish in the projected to be reached, NMFS will file discarded at sea with a minimum of Eastern Regulatory Area of the GOA. A notice of closure at the Office of the injury. This action is necessary because delay in the effective date is Federal Register. the 1999 total allowable catch (TAC) of impracticable and contrary to the public Those vessels that have not been shortraker and rougheye rockfish in this interest. The fleet has taken the 1999 issued a limited access permit under 50 area has been reached. TAC for shortraker and rougheye CFR 635.4 may not sell sharks and are DATES: Effective 1200 hrs, Alaska local rockfish in the Eastern Regulatory Area subject to the recreational retention time (A.l.t.), October 1, 1999, until 2400 of the GOA. Further delay would only limits and size limits specified at 50 hrs, A.l.t., December 31, 1999. result in overharvest. NMFS finds for CFR 635.22(c) and 635.20(e). The FOR FURTHER INFORMATION CONTACT: good cause that the implementation of recreational fishery is not affected by Thomas Pearson, 907–481–1780 or this action cannot be delayed for 30 this action. [email protected]. days. Accordingly, under 5 U.S.C. Classification SUPPLEMENTARY INFORMATION: NMFS 553(d), a delay in the effective date is manages the groundfish fishery in the hereby waived. This action is taken under 50 CFR GOA exclusive economic zone This action is required by § 679.20 part 635 and is exempt from review according to the Fishery Management and is exempt from review under E.O. under E.O. 12866. Plan for Groundfish of the Gulf of 12866. Authority: 16 U.S.C. 1801 et seq. Alaska (FMP) prepared by the North Authority: 16 U.S.C. 1801 et seq. Pacific Fishery Management Council Dated: September 28, 1999. under authority of the Magnuson- Dated: September 29, 1999. Bruce C. Morehead, Stevens Fishery Conservation and Bruce C. Morehead, Acting Director, Office of Sustainable Management Act. Regulations governing Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. fishing by U.S. vessels in accordance Fisheries, National Marine Fisheries Service. [FR Doc. 99–25715 Filed 9–29–99; 4:24 pm] with the FMP appear at subpart H of 50 [FR Doc. 99–25804 Filed 9–30–99; 4:01 pm] BILLING CODE 3510±22±F CFR part 600 and 50 CFR part 679. BILLING CODE 3510±22±F
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Proposed Rules Federal Register Vol. 64, No. 192
Tuesday, October 5, 1999
This section of the FEDERAL REGISTER The service information referenced in Discussion contains notices to the public of the proposed the proposed rule may be obtained from A proposal to amend part 39 of the issuance of rules and regulations. The Airbus Industrie, 1 Rond Point Maurice purpose of these notices is to give interested Federal Aviation Regulations (14 CFR Bellonte, 31707 Blagnac Cedex, France. part 39) to add an airworthiness persons an opportunity to participate in the This information may be examined at rule making prior to the adoption of the final directive (AD), applicable to certain rules. the FAA, Transport Airplane Airbus Model A310 and A300–600 Directorate, 1601 Lind Avenue, SW., series airplanes, was published as a Renton, Washington. supplemental notice of proposed DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: rulemaking (NPRM) in the Federal Norman B. Martenson, Manager, Register on February 12, 1998 (63 FR Federal Aviation Administration International Branch, ANM–116, FAA, 7076). That supplemental NPRM would 14 CFR Part 39 Transport Airplane Directorate, 1601 have required replacement of the rudder Lind Avenue, SW., Renton, Washington trim switch in the flight compartment [Docket No. 96±NM±194±AD] 98055–4056; telephone (425) 227–2110; with a new switch having a longer shaft; RIN 2120±AA64 fax (425) 227–1149. modification of wiring in panel 408VU; SUPPLEMENTARY INFORMATION: and replacement of the control knob Airworthiness Directives; Airbus Model with a new knob, as necessary. That A310 and A300±600 Series Airplanes Comments Invited supplemental NPRM was prompted by reports of in-flight uncommanded AGENCY: Federal Aviation Interested persons are invited to participate in the making of the rudder trim activation due to Administration, DOT. inadvertent activation of the rudder trim ACTION: Supplemental notice of proposed rule by submitting such written data, views, or arguments as switch, failure of the switch, or proposed rulemaking; reopening of incorrect installation of the switch. That comment period. they may desire. Communications shall identify the Rules Docket number and condition, if not corrected, could result in uncommanded yaw/roll excursions SUMMARY: This document revises an be submitted in triplicate to the address earlier proposed airworthiness directive specified above. All communications and consequent reduced controllability (AD), applicable to certain Airbus received on or before the closing date of the airplane. Model A310 and A300–600 series for comments, specified above, will be Comments considered before taking action on the airplanes, that would have required Interested persons have been afforded proposed rule. The proposals contained replacement of the rudder trim switch an opportunity to participate in the in this notice may be changed in light in the flight compartment with a new making of this amendment. Due of the comments received. switch having a longer shaft; consideration has been given to the modification of wiring in panel 408VU; Comments are specifically invited on comment received. and replacement of the rudder trim the overall regulatory, economic, control knob with a new knob, as environmental, and energy aspects of Request To Include Inspection necessary. This new action revises the the proposed rule. All comments Requirement proposed rule by requiring replacement submitted will be available, both before One commenter, the manufacturer, of the control knob with an improved and after the closing date for comments, suggests that the proposed AD be new knob. This proposal is prompted by in the Rules Docket for examination by revised to include an inspection to issuance of mandatory continuing interested persons. A report ensure appropriate clearance between airworthiness information by a foreign summarizing each FAA-public contact the rudder trim knob and panel 408VU, civil airworthiness authority. The concerned with the substance of this following installation of a new rudder actions specified by this new proposed proposal will be filed in the Rules trim switch in accordance with Airbus AD are intended to prevent inadvertent Docket. Service Bulletins A310–27–2084 and and uncommanded rudder trim Commenters wishing the FAA to A300–27–6037, both dated February 12, activation, which could result in yaw acknowledge receipt of their comments 1997 (Reference Airbus Modification and roll excursions and consequent submitted in response to this notice 11662). The commenter states that in- reduced controllability of the airplane. must submit a self-addressed, stamped service retrofits have shown that this DATES: Comments must be received by postcard on which the following modification may not be sufficient to November 1, 1999. statement is made: ‘‘Comments to provide the required clearance if all ADDRESSES: Submit comments in Docket Number 96–NM–194–AD.’’ The parts involved are at their tolerance triplicate to the Federal Aviation postcard will be date stamped and limits. This condition may exist even Administration (FAA), Transport returned to the commenter. following replacement of the rudder Airplane Directorate, ANM–114, Availability of NPRMs trim knob with a modified knob as Attention: Rules Docket No. 96–NM– described in Airbus Service Bulletins 194–AD, 1601 Lind Avenue, SW., Any person may obtain a copy of this A310–27–2058 and A300–27–6022, and Renton, Washington 98055–4056. NPRM by submitting a request to the for this reason, an additional inspection Comments may be inspected at this FAA, Transport Airplane Directorate, for adequate clearance was included in location between 9:00 a.m. and 3:00 ANM–114, Attention: Rules Docket No. those service bulletins. p.m., Monday through Friday, except 96–NM–194–AD, 1601 Lind Avenue, The commenter notes that a decision Federal holidays. SW., Renton, Washington 98055–4056. has been made to replace the rudder
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53952 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules trim knob with an improved new knob 2, 1998, and Revision 01, dated the proposed requirements of this AD as described in new Airbus Service February 17, 1999 (for Model A310 action, and that no operator would Bulletins A310–27–2087 and A300–27– series airplanes); and A300–27–6042, accomplish those actions in the future if 6042 (Reference Airbus Modification dated October 2, 1998, and Revision 01, this AD were not adopted. 11874) described below. Following dated February 17, 1999 (for Model Regulatory Impact accomplishment of this replacement, A300–600 series airplanes). These adequate clearance is expected to be service bulletins describe procedures for The regulations proposed herein provided for all parts tolerances. The replacement of the rudder trim control would not have substantial direct effects knob replacement is anticipated to be knob with an improved new knob. on the States, on the relationship mandated by issuance of a new French Accomplishment of the actions between the national government and airworthiness directive following specified in the service bulletins is the States, or on the distribution of issuance of the service bulletins. The intended to adequately address the power and responsibilities among the commenter suggests the supplemental identified unsafe condition. The various levels of government. Therefore, NPRM be revised to include the Direction Ge´ne´rale de l’Aviation Civile in accordance with Executive Order additional inspection for adequate (DGAC), which is the airworthiness 12612, it is determined that this clearance until all airplanes have been authority for France, classified these proposal would not have sufficient retrofitted with this final solution, service bulletins as mandatory and federalism implications to warrant the which is expected to require up to 15 issued French airworthiness directive preparation of a Federalism Assessment. months. 1999–012–275(B), dated January 13, For the reasons discussed above, I The FAA does not concur. In light of 1999, in order to assure the continued certify that this proposed regulation (1) the information from the manufacturer airworthiness of these airplanes in is not a ‘‘significant regulatory action’’ regarding inadequate clearance in France. under Executive Order 12866; (2) is not certain cases following installation of Conclusion a ‘‘significant rule’’ under the DOT the rudder trim switch, the FAA has Regulatory Policies and Procedures (44 determined that replacement of the The FAA concludes that the previous FR 11034, February 26, 1979); and (3) if rudder trim control knob with a new supplemental NPRM must be revised to promulgated, will not have a significant knob, even with a subsequent require replacement of the rudder trim economic impact, positive or negative, inspection for clearance, would not knob with an improved new knob, in on a substantial number of small entities fully correct the identified unsafe accordance with the new service under the criteria of the Regulatory condition. However, as noted by the bulletins described previously. Since Flexibility Act. A copy of the draft commenter, replacement of the rudder these changes expand the scope of the regulatory evaluation prepared for this trim control knob with an improved originally proposed rule, the FAA has action is contained in the Rules Docket. new knob is expected to provide determined that it is necessary to reopen A copy of it may be obtained by adequate clearance in all cases between the comment period to provide contacting the Rules Docket at the panel 408VU and the rudder trim additional opportunity for public location provided under the caption control knob. Therefore, the FAA comment. The FAA also has revised the ADDRESSES. considers that the appropriate course of applicability of this supplemental action is to require such replacement in NPRM to exclude airplanes on which List of Subjects in 14 CFR Part 39 this AD. In order to allow sufficient time Airbus Modification 11874 has been Air transportation, Aircraft, Aviation for operators to comply with the new accomplished. safety, Safety. requirement, the replacement of the knob with an improved new knob Cost Impact The Proposed Amendment The FAA estimates that 90 airplanes would be required within 10 months Accordingly, pursuant to the of U.S. registry would be affected by this after the effective date of this AD. authority delegated to me by the proposed AD. Administrator, the Federal Aviation Explanation of Relevant Service Replacement of the rudder trim Administration proposes to amend part Information switch and modification of the wiring 39 of the Federal Aviation Regulations Airbus has issued Service Bulletins would take approximately 7 work hours (14 CFR part 39) as follows: A300–27–6037 (for Model A300–600 per airplane to accomplish, at an series airplanes) and A310–27–2084 (for average labor rate of $60 per work hour. PART 39ÐAIRWORTHINESS Model A310 series airplanes), both Required parts would be provided by DIRECTIVES Revision 01, both dated September 29, the manufacturer at no cost to the 1998. The original service bulletins, operators. Based on these figures, the 1. The authority citation for part 39 dated February 12, 1997, are cited in cost impact of this action on U.S. continues to read as follows: paragraph (a)(1) of the previous operators is estimated to be $37,800, or Authority: 49 U.S.C. 106(g), 40113, 44701. supplemental NPRM as the appropriate $420 per airplane. sources of service information for Replacement of the rudder trim § 39.13 [Amended] accomplishment of replacement of the control knob would take approximately 2. Section 39.13 is amended by rudder trim switch in the flight 1 work hour per airplane to accomplish, adding the following new airworthiness compartment with a new switch having at an average labor rate of $60 per work directive: a longer shaft and modification of hour. Required parts would be provided Airbus Industrie: Docket 96–NM–194–AD. wiring in panel 408VU. Revision 01 of by the manufacturer at no cost to the these service bulletins is essentially operators. Based on these figures, the Applicability: Model A310 and A300–600 series airplanes, certificated in any category; identical to the original service cost impact of this action on U.S. except those on which Airbus Modification bulletins, except that certain procedures operators is estimated to be $5,400, or 11874 [reference Airbus Service Bulletin are clarified and maintenance manual $60 per airplane. A310–27–2087 (for Model A300 series references are revised. The cost impact figures discussed airplanes) or A300–27–6042 (for Model Airbus also has issued new Service above are based on assumptions that no A300–600 series airplanes), both dated Bulletins A310–27–2087, dated October operator has yet accomplished any of October 2, 1998] has been accomplished.
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Note 1: This AD applies to each airplane Transport Airplane Directorate. Operators service bulletin. The actions specified identified in the preceding applicability shall submit their requests through an by this proposal are intended to prevent provision, regardless of whether it has been appropriate FAA Principal Maintenance malfunction of the free fall control otherwise modified, altered, or repaired in Inspector, who may add comments and then mechanism of the landing gear, which the area subject to the requirements of this send it to the Manager, International Branch, AD. For airplanes that have been modified, ANM–116. could result in the inability to extend the MLG in the event of failure of the altered, or repaired so that the performance Note 4: Information concerning the of the requirements of this AD is affected, the existence of approved alternative methods of hydraulic extension system. owner/operator must request approval for an compliance with this AD, if any, may be DATES: Comments must be received by alternative method of compliance in obtained from the International Branch, November 4, 1999. accordance with paragraph (d) of this AD. ANM–116. ADDRESSES: Submit comments in The request should include an assessment of the effect of the modification, alteration, or (e) Special flight permits may be issued in triplicate to the Federal Aviation repair on the unsafe condition addressed by accordance with sections 21.197 and 21.199 Administration (FAA), Transport this AD; and, if the unsafe condition has not of the Federal Aviation Regulations (14 CFR Airplane Directorate, ANM–114, been eliminated, the request should include 21.197 and 21.199) to operate the airplane to Attention: Rules Docket No. 98–NM– specific proposed actions to address it. a location where the requirements of this AD 303–AD, 1601 Lind Avenue, SW., can be accomplished. Compliance: Required as indicated, unless Renton, Washington 98055–4056. accomplished previously. Note 5: The subject of this AD is addressed Comments may be inspected at this To prevent inadvertent and uncommanded in French airworthiness directives 97–111– 219(B), dated May 7, 1997, and 1999–012– location between 9:00 a.m. and 3:00 rudder trim activation, which could result in p.m., Monday through Friday, except yaw and roll excursions and consequent 275(B), dated January 13, 1999. reduced controllability of the airplane, Issued in Renton, Washington, on Federal holidays. accomplish the following: September 28, 1999. The service information referenced in D. L. Riggin, the proposed rule may be obtained from Corrective Actions Airbus Industrie, 1 Rond Point Maurice Acting Manager, Transport Airplane (a) Within 90 days after the effective date Directorate, Aircraft Certification Service. Bellonte, 31707 Blagnac Cedex, France. of this AD, replace the rudder trim switch, This information may be examined at [FR Doc. 99–25770 Filed 10–4–99; 8:45 am] part number (P/N) 097–023–00, in the flight the FAA, Transport Airplane compartment, with a new switch, P/N 097– BILLING CODE 4910±13±P Directorate, 1601 Lind Avenue, SW., 023–01; and modify the wiring in panel 408VU; in accordance with Airbus Service Renton, Washington. Bulletin A310–27–2084, Revision 01 (for DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: Model A310 series airplanes), or A300–27– Norman B. Martenson, Manager, 6037, Revision 01 (for Model A300–600 Federal Aviation Administration International Branch, ANM–116, FAA, series airplanes); both dated September 29, Transport Airplane Directorate, 1601 1998; as applicable. 14 CFR Part 39 Lind Avenue, SW., Renton, Washington Note 2: Accomplishment of the actions [Docket No. 98±NM±303±AD] 98055–4056; telephone (425) 227–2110; required by paragraph (a) of this AD in fax (425) 227–1149. accordance with Airbus Service Bulletin RIN 2120±AA64 A310–27–2084 (for Model A310 series SUPPLEMENTARY INFORMATION: airplanes), or A300–27–6037 (for Model Airworthiness Directives; Airbus Model Comments Invited A300–600 series airplanes), both dated A300, A310, A300±600 Series Airplanes February 12, 1997; as applicable; is Interested persons are invited to acceptable for compliance with that AGENCY: Federal Aviation participate in the making of the paragraph. Administration, DOT. proposed rule by submitting such (b) Within 10 months after the effective ACTION: Notice of proposed rulemaking written data, views, or arguments as date of this AD, replace the rudder trim (NPRM). they may desire. Communications shall control knob on the rudder trim switch with identify the Rules Docket number and an improved new knob in accordance with SUMMARY: This document proposes the be submitted in triplicate to the address Airbus Service Bulletin A310–27–2087, supersedure of an existing airworthiness specified above. All communications Revision 01 (for Model A310 series directive (AD), applicable to certain airplanes); or A300–27–6042, Revision 01 received on or before the closing date (for Model A300–600 series airplanes); both Airbus Model A300, A310, and A300– for comments, specified above, will be dated February 17, 1999; as applicable. 600 series airplanes, that currently considered before taking action on the Note 3: Accomplishment of the actions requires a one-time operational test and proposed rule. The proposals contained required by paragraph (b) of this AD in repetitive functional tests of the free fall in this notice may be changed in light accordance with Airbus Service Bulletin control mechanism of the landing gear of the comments received. A310–27–2087 (for Model A310 series to ensure proper release of the main Comments are specifically invited on airplanes), or A300–27–6042 (for Model landing gear (MLG), and corrective the overall regulatory, economic, A300–600 series airplanes); both dated action, if necessary. It also requires environmental, and energy aspects of October 2, 1998; as applicable; is acceptable eventual modification of the free fall the proposed rule. All comments for compliance with that paragraph. control mechanism of the landing gear, submitted will be available, both before Spares which constitutes terminating action for and after the closing date for comments, (c) As of the effective date of this AD, no the repetitive functional tests. That in the Rules Docket for examination by person shall install in the flight compartment amendment was prompted by issuance interested persons. A report of any airplane a rudder trim switch having of mandatory continuing airworthiness summarizing each FAA-public contact P/N 097–023–00. information by a foreign civil concerned with the substance of this Alternative Methods of Compliance airworthiness authority. This proposed proposal will be filed in the Rules (d) An alternative method of compliance or AD would require, for certain airplanes, Docket. adjustment of the compliance time that that the modification of the free fall Commenters wishing the FAA to provides an acceptable level of safety may be control mechanism of the landing gear acknowledge receipt of their comments used if approved by the Manager, be accomplished in accordance with a submitted in response to this notice International Branch, ANM–116, FAA, corrected version of the manufacturer’s must submit a self-addressed, stamped
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53954 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules postcard on which the following previously, to be accomplished in kept the FAA informed of the situation statement is made: ‘‘Comments to accordance with Revision 02 of Airbus described above. The FAA has Docket Number 98–NM–303–AD.’’ The Service Bulletin A310–32–2111, and, if examined the findings of the DGAC, postcard will be date stamped and the modification was installed in reviewed all available information, and returned to the commenter. accordance with an earlier service determined that AD action is necessary bulletin revision, removal of the for products of this type design that are Availability of NPRMs discrepant parts and installation of the certificated for operation in the United Any person may obtain a copy of this correct part number parts. States. NPRM by submitting a request to the FAA, Transport Airplane Directorate, Explanation of Relevant Service Explanation of Requirements of ANM–114, Attention: Rules Docket No. Information Proposed Rule 98–NM–303–AD, 1601 Lind Avenue, Airbus has issued Service Bulletins Since an unsafe condition has been SW., Renton, Washington 98055–4056. A300–32–0425 (for Model A300 series identified that is likely to exist or airplanes), A300–32–6072 (for Model develop on other airplanes of the same Discussion A300–600 series airplanes), and A310– type design registered in the United On June 29, 1998, the FAA issued AD 32–2111 (for Model A310 series States, the proposed AD would 98–14–13, amendment 39–10646 (63 FR airplanes); all Revision 02; all dated supersede AD 98–14–13 to continue to 36832, July 8, 1998), applicable to June 23, 1998. These service bulletins require a one-time operational test and certain Airbus Model A300, A310, and describe procedures for modification of repetitive functional tests of the free fall A300–600 series airplanes, to require a the free fall control mechanism of the control mechanism of the landing gear one-time operational test and repetitive landing gear. The modification includes to ensure proper release of the main functional tests of the free fall control removing telescopic rods and cranks or landing gear (MLG), and corrective mechanism of the landing gear to ensure crank assemblies from the MLG part of action, if necessary. The proposed AD proper release of the main landing gear the free fall control mechanism of the would continue to require eventual (MLG), and corrective action, if landing gear, replacing the telescopic modification of the free fall control necessary. It also requires eventual rods with new parts, and replacing the mechanism of the landing gear, which modification of the free fall control cranks or crank assemblies with constitutes terminating action for the mechanism of the landing gear, which improved parts. Accomplishment of the repetitive functional tests. The actions constitutes terminating action for the modification eliminates the need for the would be required to be accomplished repetitive functional tests. That repetitive inspections described in accordance with the service bulletins amendment was prompted by issuance previously. described previously. This action would of mandatory continuing airworthiness The procedures for the modification require, for certain airplanes, that the information by a foreign civil in Revision 02 of the service bulletins modification of the free fall control airworthiness authority. The for Model A300 and A300–600 series mechanism of the landing gear be requirements of that AD are intended to airplanes are identical to those accomplished in accordance with a later prevent malfunction of the free fall described in Revision 01 of the service corrected version of the manufacturer’s control mechanism of the landing gear, bulletins (which were referenced in AD service bulletin. which could result in the inability to 98–14–13). As discussed previously, the extend the MLG in the event of failure procedures for the modification in Explanation of Compliance Time for of the hydraulic extension system. Revision 02 of the service bulletin for Model A310 Series Airplanes Model A310 series airplanes differ from Operators should note that, while the Actions Since Issuance of Previous Rule those described in Revision 01 of the appropriate source of service Since issuance of AD 98–14–13, the service bulletin (which was referenced information that would be required for manufacturer and the Direction in AD 98–14–13) in that certain part this AD for Model A310 series airplanes Ge´ne´rale de l’Aviation Civile (DGAC), numbers for one of the two telescopic has changed, the compliance time which is the airworthiness authority for rod assemblies have been corrected in remains the same. The FAA has France, have advised the FAA that an Revision 02. determined that the compliance time, as error exists in Airbus Service Bulletin Accomplishment of the actions proposed, represents an appropriate A310–32–2111, Revision 01, dated specified in the service bulletins interval in which the modification can October 10, 1997. That service bulletin described previously is intended to be accomplished in accordance with describes procedures for modification of adequately address the identified unsafe Revision 02 of Airbus Service Bulletin the free fall control mechanism of the condition. The DGAC classified the A310–32–2111 in a timely manner and landing gear on Airbus Model A310 service bulletins as mandatory and still maintain an adequate level of series airplanes, and was referenced as issued French airworthiness directive safety. the appropriate source of service 97–113–221(B) R2, dated August 12, information for the modification of 1998, in order to assure the continued Cost Impact Airbus Model A310 series airplanes airworthiness of these airplanes in The FAA estimates that 24 Model required by that AD. Certain part France. A300 series airplanes, 41 Model A310 numbers shown in that service bulletin series airplanes, and 61 Model A300– are incorrect for one of the two FAA’s Conclusions 600 series airplanes of U.S. registry telescopic rod assemblies of the free fall These airplane models are would be affected by this proposed AD. control mechanism of the MLG. This manufactured in France and are type It would take approximately 3 work error was corrected in Revision 02, certificated for operation in the United hours per airplane to accomplish the dated June 23, 1998, of Airbus Service States under the provisions of section currently required operational test, at an Bulletin A310–32–2111. 21.29 of the Federal Aviation average labor rate of $60 per work hour. The FAA now has determined that Regulations (14 CFR 21.29) and the Based on these figures, the cost impact further rulemaking action is necessary applicable bilateral airworthiness of the currently required operational test to require the modification of Airbus agreement. Pursuant to this bilateral on U.S. operators is estimated to be Model A310 series airplanes, described airworthiness agreement, the DGAC has $22,680, or $180 per airplane.
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It would take approximately 2 work The Proposed Amendment mechanism of the landing gear to ensure proper release of the MLG for extension by hours per airplane to accomplish the Accordingly, pursuant to the currently required functional test, at an free fall, in accordance with Airbus Industrie authority delegated to me by the All Operator Telex (AOT) 32–14, dated average labor rate of $60 per work hour. Administrator, the Federal Aviation Based on these figures, the cost impact February 3, 1997, or Revision 01, dated Administration proposes to amend part March 13, 1997. If any discrepancy is of the currently required functional test 39 of the Federal Aviation Regulations detected in the functioning of the free fall on U.S. operators is estimated to be (14 CFR part 39) as follows: control mechanism of the landing gear, prior $15,120, or $120 per airplane, per test to further flight, readjust the mechanism and cycle. PART 39ÐAIRWORTHINESS repeat the operational test in accordance with It would take approximately 26 work DIRECTIVES the AOT. If any discrepancy is detected in hours per airplane to accomplish the the second operational test, prior to further currently required modification on 1. The authority citation for part 39 flight, rerig the free fall control mechanism Model A300 and A300–600 series continues to read as follows: in accordance with the AOT, and accomplish airplanes, at an average labor rate of $60 Authority: 49 U.S.C. 106(g), 40113, 44701. the actions required by paragraph (b) of this AD. per work hour. Required parts would § 39.13 [Amended] cost approximately $2,630 per airplane. (b) Within 10 months after August 12, 2. Section 39.13 is amended by 1998, perform a functional test of the free fall Based on these figures, the cost impact control mechanism of the landing gear to of the currently required actions on U.S. removing amendment 39–10646 (63 FR 36832, July 8, 1998), and by adding a ensure proper release of the MLG for operators of Model A300 or A300–600 extension by free fall, in accordance with series airplanes is estimated to be new airworthiness directive (AD), to read as follows: Airbus Industrie AOT 32–14, dated February $356,150, or $4,190 per airplane. 3, 1997, or Revision 01, dated March 13, It would take approximately 28 work Airbus Industrie: Docket 98–NM–303–AD. 1997. Thereafter, repeat the functional test of hours per airplane to accomplish the Supersedes AD 98–14–13, Amendment the free fall control mechanism of the landing modification on Model A310 series 39–10646. gear at intervals not to exceed 12 months, airplanes, at an average labor rate of $60 Applicability: Model A300, A300–600, and until the modification required by paragraph per work hour. Required parts would A310 series airplanes, certificated in any (c) or (d) of this AD has been accomplished. category, as identified below: During any test performed in accordance cost approximately $3,710 per airplane. • Model A300 and A300–600 series with paragraph (b) of this AD, if the free fall Based on these figures, the cost impact airplanes on which Airbus Modification control mechanism of the landing gear fails of the currently required actions on U.S. 02781 has been accomplished and on which to fully extend the MLG, prior to further operators of Model A310 series neither Airbus Modification 03433 nor 04443 flight, readjust or rerig the mechanism in airplanes is estimated to be $220,990, or has been accomplished; accordance with the AOT. • $5,390 per airplane. Model A310 series airplanes on which (c) For Model A300 and A300–600 series Airbus Modification 02781 has been airplanes: Within 66 months after August 12, Regulatory Impact accomplished and on which Airbus 1998, modify the free fall control mechanism Modification 03433 has not been of the landing gear in accordance with Airbus The regulations proposed herein accomplished; and would not have substantial direct effects • Industrie Service Bulletin A300–32–0425, Model A310 series airplanes on which Revision 02 (for Model A300 series on the States, on the relationship Airbus Service Bulletin A310–32–2111, airplanes); or A300–32–6072, Revision 02 between the national government and dated March 10, 1997, or Revision 01, dated (for Model A300–600 series airplanes); each October 10, 1997; has been accomplished. the States, or on the distribution of dated June 23, 1998; as applicable. power and responsibilities among the Note 1: This AD applies to each airplane Accomplishment of the modification various levels of government. Therefore, identified in the preceding applicability constitutes terminating action for the in accordance with Executive Order provision, regardless of whether it has been repetitive functional tests required by 12612, it is determined that this otherwise modified, altered, or repaired in paragraph (b) of this AD. the area subject to the requirements of this proposal would not have sufficient Note 2: Modifications accomplished in federalism implications to warrant the AD. For airplanes that have been modified, altered, or repaired so that the performance accordance with Airbus Industrie Service preparation of a Federalism Assessment. of the requirements of this AD is affected, the Bulletin A300–32–0425, Revision 01 (for For the reasons discussed above, I owner/operator must request approval for an Model A300 series airplanes); or A300–32– certify that this proposed regulation (1) alternative method of compliance in 6072, Revision 01 (for Model A300–600 is not a ‘‘significant regulatory action’’ accordance with paragraph (d) of this AD. series airplanes); each dated October 10, under Executive Order 12866; (2) is not The request should include an assessment of 1997; are acceptable for compliance with the a ‘‘significant rule’’ under the DOT the effect of the modification, alteration, or requirements of paragraph (c) of this AD. Regulatory Policies and Procedures (44 repair on the unsafe condition addressed by New Actions Required by This AD FR 11034, February 26, 1979); and (3) if this AD; and, if the unsafe condition has not been eliminated, the request should include (d) For Model A310 series airplanes: promulgated, will not have a significant specific proposed actions to address it. Within 66 months after August 12, 1998, economic impact, positive or negative, modify the free fall control mechanism of the Compliance: Required as indicated, unless landing gear in accordance with Airbus on a substantial number of small entities accomplished previously. Industrie Service Bulletin A310–32–2111, under the criteria of the Regulatory To prevent malfunction of the free fall Revision 02, dated June 23, 1998. Flexibility Act. A copy of the draft control mechanism of the landing gear, regulatory evaluation prepared for this which could result in the inability to extend Accomplishment of the modification action is contained in the Rules Docket. the main landing gear (MLG) in the event of constitutes terminating action for the failure of the hydraulic extension system, repetitive functional tests required by A copy of it may be obtained by paragraph (b) of this AD. contacting the Rules Docket at the accomplish the following: Note 3: For Airbus Model A310 series location provided under the caption Restatement of Actions Required by AD 98– airplanes, only a modification accomplished ADDRESSES. 14–13, Amendment 39–10646 in accordance with Airbus Industrie Service List of Subjects in 14 CFR Part 39 (a) Within 600 flight hours after August 12, Bulletin A310–32–2111, Revision 02, dated 1998 (the effective date of AD 98–14–13, June 23, 1998, is acceptable for compliance Air transportation, Aircraft, Aviation amendment 39–10646), perform a one-time with the requirements of paragraph (d) of this safety, Safety. operational test of the free fall control AD.
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Alternative Methods of Compliance Administration, 222 West 7th Avenue, Availability of NPRM’s (e) An alternative method of compliance or Box 14, Anchorage, AK 99513–7587. An electronic copy of this document adjustment of the compliance time that The official docket may be examined may be downloaded, using a modem provides an acceptable level of safety may be in the Office of the Regional Counsel for used if approved by the Manager, and suitable communications software, International Branch, ANM–116, FAA, the Alaskan Region at the same address. from the FAA regulations section of the Transport Airplane Directorate. Operators An informal docket may also be Fedworld electronic bulletin board shall submit their requests through an examined during normal business hours service (telephone: 703–321–3339) or appropriate FAA Principal Maintenance in the Office of the Manager, Operations the Federal Register’s electronic bulletin Inspector, who may add comments and then Branch, Air Traffic Division, at the board service (telephone: 202–512– send it to the Manager, International Branch, 1661). ANM–116. address shown above and on the Internet at Alaskan Region’s homepage Internet users may reach the Federal Note 4: Information concerning the Register’s web page for access to existence of approved alternative methods of at http://www.alaska.faa.gov/at or at address http://162.58.28.41/at. recently published rulemaking compliance with this AD, if any, may be documents at http:// obtained from the International Branch, FOR FURTHER INFORMATION CONTACT: Bob www.access.gpo.gov/suldocs/aces/ ANM–116. Durand, Operations Branch, AAL–531, aces140.html. Special Flight Permits Federal Aviation Administration, 222 Any person may obtain a copy of this (f) Special flight permits may be issued in West 7th Avenue, Box 14, Anchorage, Notice of Proposed Rulemaking (NPRM) accordance with sections 21.197 and 21.199 AK 99513–7587; telephone number by submitting a request to the of the Federal Aviation Regulations (14 CFR (907) 271–5898; fax: (907) 271–2850; Operations Branch, AAL–530, Federal 21.197 and 21.199) to operate the airplane to email: [email protected]. Internet Aviation Administration, 222 West 7th a location where the requirements of this AD address: http://www.alaska.faa.gov/at. Avenue, Box 14, Anchorage, AK 99513– can be accomplished. 7587. Communications must identify SUPPLEMENTARY INFORMATION: Note 5: The subject of this AD is addressed the notice number of this NPRM. in French airworthiness directive 97–113– Persons interested in being placed on a 221(B) R2, dated August 12, 1998. Comments Invited mailing list for future NPRM’s should Issued in Renton, Washington, on Interested parties are invited to contact the individual(s) identified in September 28, 1999. participate in this proposed rulemaking the FOR FURTHER INFORMATION CONTACT D.L. Riggin, by submitting such written data, views, SECTION. Acting Manager, Transport Airplane or arguments as they may desire. Directorate, Aircraft Certification Service. Comments that provide the factual basis The Proposal [FR Doc. 99–25769 Filed 10–4–99; 8:45 am] supporting the views and suggestions The FAA proposes to amend 14 CFR BILLING CODE 4910±13±P presented are particularly helpful in part 71 by establishing Class E airspace developing reasoned regulatory at Russian Mission, AK, due to the decisions on the proposal. Comments development of two GPS instrument DEPARTMENT OF TRANSPORTATION are specifically invited on the overall approach procedures. The intended regulatory, aeronautical, economic, effect of this proposal is to provide Federal Aviation Administration environmental, and energy-related controlled airspace for IFR operations at 14 CFR Part 71 aspects of the proposal. Russian Mission, AK. Communications should identify the The area would be depicted on [Airspace Docket No. 99±AAL±17] airspace docket number and be aeronautical charts for pilot reference. submitted in triplicate to the address The coordinates for this airspace docket Proposed Establishment of Class E listed above. Commenters wishing the are based on North American Datum 83. Airspace; Russian Mission, AK FAA to acknowledge receipt of their The Class E airspace areas designated as comments on this notice must submit 700/1200 foot transition areas are AGENCY: Federal Aviation with those comments a self-addressed, published in paragraph 6005 in FAA Administration (FAA), DOT. stamped postcard on which the Order 7400.9F, Airspace Designations ACTION: Notice of proposed rulemaking. following statement is made: and Reporting Points, dated September ‘‘Comments to Airspace Docket No. 99– 10, 1998, and effective September 16, SUMMARY: This action proposes to AAL–17.’’ The postcard will be date/ 1998, which is incorporated by establish Class E airspace at Russian time stamped and returned to the reference in 14 CFR 71.1 (63 FR 50139; Mission, AK. The establishment of two commenter. All communications September 21, 1998). The Class E Global Positioning System (GPS) received on or before the specified airspace designations listed in this instrument approach procedures at closing date for comments will be document would be published Russian Mission Airport have made this considered before taking action on the subsequently in the Order. action necessary. The Russian Mission proposed rule. The proposal contained The FAA has determined that this Airport status will change from Visual in this notice may be changed in light proposed regulation only involves an Flight Rules (VFR) to Instrument Flight of comments received. All comments established body of technical Rules (IFR). Adoption of this proposal submitted will be available for regulations for which frequent and would result in adequate controlled examination in the Operations Branch, routine amendments are necessary to airspace for aircraft flying IFR Air Traffic Division, Federal Aviation keep them operationally current. It, procedures at Russian Mission, AK. Administration, 222 West 7th Avenue, therefore—(1) is not a ‘‘significant DATES: Comments must be received on Box 14, Anchorage, AK, both before and regulatory action’’ under Executive or before November 19, 1999. after the closing date for comments. A Order 12866; (2) is not a ‘‘significant ADDRESSES: Send comments on the report summarizing each substantive rule’’ under DOT Regulatory Policies proposal in triplicate to: Manager, public contact with FAA personnel and Procedures (44 FR 11034; February Operations Branch, AAL–530, Docket concerned with this rulemaking will be 26, 1979); and (3) does not warrant No. 99–AAL–17, Federal Aviation filed in the docket. preparation of a regulatory evaluation as
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53957 the anticipated impact is so minimal. DEPARTMENT OF TRANSPORTATION 1999 to October 20, 1999, to allow an Since this is a routine matter that will additional 30 days for comments. only affect air traffic procedures and air Federal Aviation Administration List of Subjects in 14 CFR Part 71 navigation, it is certified that this rule, 14 CFR Part 71 when promulgated, will not have a Airspace, Incorporation by reference, significant economic impact on a [Airspace Docket No. 99±AGL±42] Navigation (air). substantial number of small entities under the criteria of the Regulatory Proposed Modification of Class E The Proposed Amendment Flexibility Act. Airspace; Marquette, MI; Proposed Accordingly, pursuant to the Revocation of Class E Airspace; authority delegated to me, the Federal List of Subjects in 14 CFR part 71 Sawyer, MI, and K.I. Sawyer, MI Aviation Administration proposes to Airspace, Incorporation by reference, AGENCY: Federal Aviation amend 14 CFR part 71 as follows: Navigation (air). Administration (FAA), DOT. PART 71ÐDESIGNATION OF CLASS A, ACTION: Notice of proposed relemaking; The Proposed Amendment CLASS B, CLASS C, CLASS D, AND extension of comment period. In consideration of the foregoing, the CLASS E AIRSPACE AREAS; Federal Aviation Administration SUMMARY: This notice announces an AIRWAYS; ROUTES; AND REPORTING proposes to amend 14 CFR part 71 as extension of the comment period on a POINTS follows: Notice of Proposed Rulemaking which proposes to modify Class E airspace at 1. The authority citation for part 71 PART 71ÐDESIGNATION OF CLASS A, Marquette, MI, and revoke the Class E continues to read as follows: CLASS B, CLASS C, CLASS D, AND airspace at Sawyer, MI, and K.I. Sawyer, Authority: 49 U.S.C. 106(g), 40103, 40113, CLASS E AIRSPACE AREAS; MI. This action is being taken because 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– AIRWAYS; ROUTES; AND REPORTING subsequent to the publication of the 1963 Comp., p. 389. POINTS Notice of Proposed Rulemaking, § 71.1 [Amended] announcement was made of the closure 1. The authority citation for 14 CFR of the Marquette County Airport on 2. The incorporation by reference in part 71 continues to read as follows: September 23, 1999. This requires a 14 CFR 71.1 of the Federal Aviation Authority: 49 U.S.C. 106(g), 40103, 40113, minor modification to the legal Administration Order 7400.9G, Airspace 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– description for the Class E airspace for Designations and Reporting Points, 1963 Comp., p. 389. Marquette, MI. dated September 1, 1999, and effective September 16, 1999, is amended as § 71.1 [Amended] DATES: Comments must be received on or before October 20, 1999. follows: 2. The incorporation by reference in ADDRESSES: Send comments on the Paragraph 6002 Class E airspace areas 14 CFR 71.1 of Federal Aviation proposal in triplicate to: Federal designated as a surface area for an airport. Administration Order 7400.9F, Airspace Aviation Administration, Office of the * * * * * Designations and Reporting Points, Assistant Chief Counsel, AGL–7, Rules AGL MI E2 Sawyer, MI [Removed] dated September 10, 1998, and effective Docket No. 99–AGL–42, 2300 East September 16, 1998, is to be amended Devon Avenue, Des Plaines, Illinois * * * * * as follows: 60018. The official docket may be AGL MI E2 Marquette, MI [Revised] * * * * * examined in the Office of the Assistant Marquette, Sawyer International Airport, MI Paragraph 6005 Class E airspace areas Chief Counsel, Federal Aviation [Lat. 46°21′13′′ N., long. 87°23′45′′ W.) extending upward from 700 feet or more Administration, 2300 East Devon Within a 4.6-mile radius of Sawyer above the surface of the earth. Avenue, Des Plaines, Illinois. An International Airport. informal docket may also be examined * * * * * * * * * * during normal business hours at the Air AAL AK E5 Russian Mission, AK [New] Traffic Division, Airspace Branch, Paragraph 6005 Class E airspace areas Russian Mission Airport Federal Aviation Administration, 2300 extending upward from 700 feet or more (Lat. 61°46′47′′ N., long. 161°19′10′′ W.) East Devon Avenue, Des Plaines, above the surface of the earth. That airspace extending upward from 700 Illinois. * * * * * feet above the surface within 6.2-mile radius FOR FURTHER INFORMATION CONTACT: AGL MI E5 Sawyer, MI [Removed] of the Russian Mission Airport, and that Annette Davis, Air Traffic Division, * * * * * airspace extending upward from 1,200 feet Airspace Branch, AGL–520, Federal above the surface within an area bounded by AGL MI E5 K.I. Sawyer, MI [Removed] ° ′ ′′ ° ′ ′′ Aviation Administration, 2300 East lat. 62 10 00 N. long. 162 45 00 W., to lat. Devon Avenue, Des Plaines, Illinois * * * * * 62°34′00′′ N. long. 160°30′00′′ W., to lat. 61°30′00′′ N. long. 160°30′00′′ W., along lat. 60018, telephone (847) 294–7568. AGL MI E5 Marquette, MI [Revised] 61°30′00′′ to lat 61°30′00′′ N. long. SUPPLEMENTARY INFORMATION: Marquette, Sawyer International Airport, MI ° ′ ′′ 162 45 00 W., to the point of beginning. Background (Lat. 46°21′13′′ N., long. 87°23′45′′ W.) * * * * * Gwinn VOR/DME Airspace Docket No. 99–AGL–42, (Lat. 46°21′32′′ N., long. 87°23′50′′ W.) Issued in Anchorage, AK, on September 28, published on August 4, 1999 (64 FR 1999. That airspace extending upward from 700 42300) proposed to modify Class E feet above the surface within an 7.1-mile Willis C. Nelson, airspace at Marquette, MI, and revoke radius of the Sawyer International Airport, Manager, Air Traffic Division, Alaskan the Class E airspace at Sawyer, MI, and and that airspace extending upward from Region. R.I. Sawyer, MI. This action will extend 1,200 feet above the surface within a 35.0- [FR Doc. 99–25851 Filed 10–4–99; 8:45 am] the comment period closing date on that mile radius of the Gwinn VOR/DME. BILLING CODE 4910±13±P airspace docket from September 20, * * * * *
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Issued in Des Plaines, Illinois on of Assistant Chief Counsel, AGC–200, access to recently published rulemaking September 10, 1999. Federal Aviation Administration, 800 documents. David B. Johnson, Independence Avenue, SW., Any person may obtain a copy of this Acting Manager, Air Traffic Division. Washington, DC 20591, telephone (202 document by submitting a request to the [FR Doc. 99–25855 Filed 10–4–99; 8:45 am] 267–7653 or (202) 267–3073, Federal Aviation Administration, Office BILLING CODE 4910±13±M respectively. of Rulemaking, ARM–1, 800 SUPPLEMENTARY INFORMATION: Independence Avenue SW., Washington, DC 20591, or by calling DEPARTMENT OF TRANSPORTATION Comments Invited (202) 267–9680. Communications must Interested persons are invited to identify the notice number or docket Federal Aviation Administration participate in the making of the number of this NPRM. 14 CFR Part 193 proposed action by submitting such Persons interested in being placed on written data, views, or arguments as the mailing list for future rulemaking [Docket No. FAA±1999±6001; Notice No. 99± they may desire. Comments relating to document should request from the 14] the environmental, energy, federalism, above office a copy of Advisory Circular or economic impact that might result RIN 2120±AG36 No. 11–2A, Notice of Proposed from adopting the proposals in this Rulemaking Distribution System, which Protection of Voluntarily Submitted document also are invited. Substantive describes the application procedure. Information comments should be accompanies by cost estimates. Comments must identify Background AGENCY: Federal Aviation the regulatory docket or notice number On July 26, 1999, the FAA published Administration (FAA), DOT. and be submitted in duplicate to the in the Federal Register (64 FR 40471) ACTION: Proposed rule; reopening of DOT Rules Docket address specified Notice No. 99–14, entitled ‘‘Protection comment period. above. of Voluntarily Submitted Information’’ All comments received, as well as a that would add a new part to provide SUMMARY: On July 26, 1999, the FAA report summarizing each substantive that certain information submitted to published a Notice of Proposed public contact with FAA personnel the FAA on a voluntary basis would not Rulemaking (NPRM) regarding concerning this proposed rulemaking, be disclosed. This proposal would protection of voluntarily submitted will be filed in the docket. The docket implement a new statutory provision information and invited comments for a is available for public inspection before and is intended to encourage people to 60-day period. The comment period and after the comment closing date. provide information that will assist the closed on September 24, 1999; however, All comments received on or before FAA in carrying out its safety and the FAA is reopening the comment the closing date will be considered by security duties. The comment period period for an additional 30 days in the Administrator before taking action closed September 24. response to a request from the National on this proposed rulemaking. Comments By requests dated September 15 and Transportation Safety Board (NTSB). Per filed late will be considered as far as 22, NTSB asked that the comment NTSB, the reopening of the comment possible without incurring expense or period by extended 30 days to permit a period is needed to permit NTSB, and delay. The proposals in this document more careful review and consideration other affected parties, additional time to may be changed in light of the of the proposed rule. develop comments responsive to Notice comments received. No. 99–14. The FAA has determined that a Comments wishing the FAA to reopening of the comment period will DATES: Comments must be received on acknowledge receipt of their comments allow NTSB, and others as well, or before November 4, 1999. submitted in response to this document additional time for a more thorough ADDRESSES: Comments on this proposed must include a pre-addressed, stamped review of applicable issues and rulemaking should be mailed, or postcard with those comments on which questions raised by the NPRM, and the delivered, in duplicate, to: U.S. the following statement is made: drafting of responsive comments. The Department of Transportation Dockets, ‘‘Comments to Docket No. FAA–1999– FAA recognizes, in addition, that the Docket No. FAA–1999–6001, 400 6001.’’ The postcard will be date intervening holiday period may have Seventh Street, SW., Room Plaza 401, stamped and mailed to the commenter. impeded the ability of interested Washington, DC 20590. Comments may Availability of NPRMs persons to formulate comprehensive be filed and examined in Room Plaza responses to the issues in the NPRM. 401 between 10 a.m. and 5 p.m. An electronic copy of this document In order, therefore, to give all weekdays, except Federal holidays. may be downloaded using a modem and interested persons additional time to Comments also may be sent suitable communications software from complete their comments, the FAA electronically to the Dockets the FAA regulations section of the finds that it is in the public interest to Management System (DMS) at the FedWorld electronic bulletin board reopen the comment period for thirty following Internet address: http:// service (telephone: (703) 321–3339) or (30) days. dms.dot.gov at anytime. Commenters, the Government Printing Office (GPO)’s who wish to file comments electronic bulletin board service Issued in Washington, DC, on September electronically, should follow the (telephone: (202) 512–1661. 29, 1999. instructions on the DMS website. Internet users may reach the FAA’s Anthony F. Fazio, FOR FURTHER INFORMATION CONTACT: web page at http://www.faa.gov/avr/ Director, Office of Rulemaking. Marisa Mullen, Office of Rulemaking, arm/nprm/nprm.htm or the GPO’s web [FR Doc. 99–25853 Filed 10–4–99; 8:45 am] ARM–205, or Mardi Thompson, Office page at http://www.access.gpo.gov/nara BILLING CODE 4910±13±M
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DEPARTMENT OF ENERGY retrieval system of documents submitted terminology in the final rule may have to and issued by the Commission after led to confusion and concern on the part Federal Energy Regulatory November 16, 1981. Documents from of many parties. The Commission Commission November 1995 to the present can be eliminated all references to preliminary viewed and printed. RIMS is available relief other than stays or extensions of 18 CFR Part 385 in the Public Reference Room or time in the complaint regulations. In [Docket No. RM98±13±002; Order No. 602± remotely via Internet through FERC’s addition, the standards in § 385.206 B] Home Page using the RIMS link or the (b)(7)(i) through (iv), which were based Energy Information Online icon. User on Virginia Petroleum Jobbers Ass’n v. Complaint Procedures assistance is available at 202–208–2222, FPC, 259 F.2d 921 (D.C. Cir. 1958), were or by E-mail to [email protected]. Issued September 29, 1999. deleted. These changes were designed to Finally, the complete text on diskette AGENCY: Federal Energy Regulatory eliminate certain parties’ concern that in WordPerfect format may be the Commission was attempting to Commission. purchased from the Commission’s copy ACTION: Order on rehearing. establish procedures for granting relief contractor, RVJ International, Inc. RVJ akin to preliminary injunctions under SUMMARY: On July 28, 1999, the International, Inc. is located in the standards different than those specified Commission issued Order No. 602–A, Public Reference Room at 888 First in the statutes administered by the an order on rehearing and clarification Street, NE, Washington, DC 20426. Commission. of its final rule revising the On July 28, 1999, the Commission issued Order No. 602–A,1 The Commission stated that there may Commission’s complaint procedures an order on rehearing and clarification of its final be cases in which it could issue what (Order No. 602). On August 27, 1999, a rule revising the Commission’s could be categorized as an ‘‘interim’’ or request for rehearing of Order No. 602– complaint procedures (Order No. 602).2 ‘‘preliminary’’ order in a complaint A was filed. The petitioners are A request for rehearing has been filed proceeding pursuant to existing concerned that removal of references to urging the Commission to add the authorities. For example, the ‘‘preliminary’’ and ‘‘interim’’ relief phrase ‘‘immediate remedial action’’ to Commission stated that a complainant would somehow preclude a the regulations to replace the references may assert that a respondent’s conduct complainant from seeking what it to preliminary relief that were deleted is so egregious or the evidence is so characterizes as ‘‘immediate’’ or ‘‘early’’ by Order No. 602–A. substantial supporting its case that the Commission action. The order denies Order No. 602 revised the Commission needs to take some rehearing but clarifies that under the Commission’s regulations governing immediate action. A complainant could complaint regulations a potential complaints filed under the Federal indicate that its evidence is so complainant may request ‘‘immediate’’ Power Act, the Natural Gas Act, the substantial as to establish a prima facie action on the merits of its claims and Natural Gas Policy Act, the Public case of a violation of the relevant that any complaint in which time is of Utility Regulatory Policies Act of 1978, statutory standard or regulatory the essence could be filed under the the Interstate Commerce Act, and the requirement. The Commission stated Fast Track procedure in § 385.206(h). Outer Continental Shelf Lands Act. that if the Commission were to find the FOR FURTHER INFORMATION CONTACT: Among other things, Order No. 602 complainant’s case compelling based David Faerberg, Office of the General provided that a complaint could include upon substantial evidence, the Counsel, Federal Energy Regulatory a request for preliminary relief pending Commission sua sponte could issue a Commission, 888 First Street, NE, a final merits decision on the complaint show cause or declaratory order based Washington, DC, 20426 (202) 208–1275. itself. The order stated that the standard on the facts known at that time prior to SUPPLEMENTARY INFORMATION: In for granting affirmative preliminary the answer being filed. The respondent addition to publishing the full text of relief would be that employed by the would then be directed to address the this document in the Federal Register, courts for such relief: (1) likelihood of requirements of the order rather than the Commission also provides all success on the merits; (2) whether file an answer. The Commission stated interested persons an opportunity to irreparable injury to the complainant that this type of relief may be inspect or copy the contents of this will occur if the relief is not granted; (3) appropriate in certain limited whether the injury outweighs harm to document during normal business hours circumstances and is within the the respondent or other parties if the in the Public Reference Room at 888 Commission’s authority to grant. relief is granted; and (4) other public First Street, NE, Room 2A, Washington, Further, the Commission stated that it interest considerations.3 DC 20426. could also take such other ‘‘interim’’ or The Commission Issuance Posting In Order No. 602–A, responding to ‘‘preliminary’’ actions, as it can now, System (CIPS) provides access to the rehearing requests, the Commission such as issuing an order granting a stay texts of formal documents issued by the eliminated the preliminary relief Commission from November 14, 1994, procedure and clarified what types of or an order granting an extension of to the present. CIPS can be accessed via relief the Commission may provide time, stop work order, or other orders Internet through FERC’s Home Page under the complaint rule. The contemplated by certificate or (http://www.ferc.fed.us) using the CIPS Commission made it clear that it would hydroelectric licensing conditions. Link or the Energy Information Online act only where it has authority under Finally, the Commission stated that a icon. Documents will be available on the various statutes administered by the complainant may request forms of relief CIPS in ASCII and WordPerfect 8.0. Commission. The Commission which it believes is within the User assistance is available at 202–208– acknowledged that use of certain Commission’s authority to grant and the 2474 or by E-mail to Commission will decide whether the [email protected]. 1 64 FR 43600 (August 11, 1999), FERC Stats. & relief may be granted on a case-by-case This document is also available Regs. ¶ 31,076 (1999). basis. 2 64 FR 17087 (April 8, 1999), FERC Stats. & Regs. through the Commission’s Records and ¶ 31,071 (1999). On August 27, 1999, a request for Information Management System 3 Virginia Petroleum Jobbers Ass’n v. FPC, 259 rehearing of Order No. 602–A was filed (RIMS), an electronic storage and F.2d 921, 925 (D.C. Cir. 1958). by Undersigned Parties (hereinafter
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53960 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules referred to as the Petitioners).4 The section 206. Moreover, as recognized in hearing. As § 385.206(h)(1) states, ‘‘Fast Petitioners assert that a complainant’s Order No. 602–A, the Commission Track procedures may include right to some form of prompt or could also take such interim actions as expedited action on the pleadings by the immediate Commission remedy is granting a stay, granting an extension of Commission, expedited hearing before essential in a complaint procedure time, issuing stop work orders or others an ALJ, or expedited action on requests responsive to the needs of the orders contemplated by certificate or for stay, extension of time, or other restructured gas and electric power hydroelectric license conditions, or relief by the Commission or an ALJ.’’ industries. The Petitioners submit that issuing show cause orders. Other The revised complaint regulations do some form of Commission remedial actions, such as issuing show cause or not prevent a potential complainant action as soon as possible after the filing declaratory orders, while not final from requesting ‘‘immediate’’ action on of a formal complaint must be available. action, also convey a message to the the merits of its claims, but rather, are The Petitioners contend that to suggest parties that in the Commission’s view a specifically designed to address that such remedies might be within the complainant has presented a solid case particular situations that demand the Commission’s authority to grant while for the relief sought that will be granted immediate resolution requested by the removing from the Commission’s new in the absence of convincing evidence to Petitioners. The Petitioners’ concerns and comprehensive complaint the contrary. thus already have been taken into regulations any reference to such The Commission recognizes that account and incorporated into the remedies, creates ambiguity about timely redress of a complaint is regulations to provide for the prompt whether the Commission truly intends essential in today’s constantly evolving and immediate resolution they seek. to make early remedial action a energy markets. In Order No. 602, the component of its revised complaint Commission introduced the Fast Track List of Subjects in 18 CFR Part 385 procedure. The Petitioners argue that procedures precisely for this reason. Administrative practice and where, as here, the Commission is Because the Commission realizes that procedure, Electric power, Penalties, adopting a comprehensive new time is of the essence in many Pipelines, Reporting and recordkeeping complaint procedure, it should include complaint proceedings, it committed to requirements. therein some codification of each issuing merits order on Fast Track In consideration of the foregoing, the element of its new complaint policy. complaints within 20 days after the Commission denies rehearing. The Commission finds it unnecessary answer is filed.5 The Commission also to modify the regulations as requested stated that if the development of a By the Commission. because they already encompass the factual record was necessary to the David P. Boergers, kind of relief sought. In the resolution of a complaint, hearing Secretary. Commission’s view, there is a difference procedures could be compressed into a [FR Doc. 99–25797 Filed 10–4–99; 8:45 am] between preliminary and interim relief few days. BILLING CODE 6717±01±P on the one hand, and what the The Petitioners request for rehearing Petitioners refer to as ‘‘immediate’’ or essentially deals with the timing of ‘‘early’’ Commission action on Commission action, hence their use of DEPARTMENT OF HEALTH AND complaints on the other hand. the words ‘‘prompt,’’ ‘‘immediate’’ and HUMAN SERVICES References to preliminary and interim ‘‘early.’’ In the Commission’s view, the relief, as well as the use of the Virginia Petitioners’’ concerns can be adequately Food and Drug Administration Jobbers standards, led many parties to addressed under the regulations believe that the Commission would be adopted because any complaint in 21 CFR Parts 314 and 601 granting relief akin to temporary which time is of the essence can be filed RIN 0910±AA89 restraining orders or preliminary under the Fast Track procedure in injunctions, and that such relief would § 385.206(h). A party filing such a [Docket No. 98N±0237] complaint can show that the standard be based on standards other than those New Drug and Biological Drug complaint resolution process may not contained in the applicable statutes. Products; Evidence Needed to provide timely relief as quickly as Order No. 602–A eliminated such Demonstrate Efficacy of New Drugs for circumstances may demand and that references to make clear that the Use Against Lethal or Permanently expedited resolution under the Fast Commission would not and could not Disabling Toxic Substances When Track is thus appropriate. In resolving exercise any authority beyond its Efficacy Studies in Humans Ethically the merits of a complaint, whether statutory authority. Cannot Be Conducted The elimination of the references to under the Fast Track or standard preliminary and interim relief does not procedures, the Commission must apply AGENCY: Food and Drug Administration, mean that the Commission lacks the the standards contained in the statutes HHS. authority to address complaints quickly. it administers. The Commission thus ACTION: Proposed rule. The Petitioners have recognized that the can reach a final resolution under its Commission may issue an interim order, governing statutes through standard SUMMARY: The Food and Drug which resolves some issues while procedures or using expedited Administration (FDA) is proposing to leaving others to be determined at a processing. amend its new drug and biological later time, that is based on findings The modifications contained in Order product regulations to identify the made pursuant to the standards No. 602–A were not meant to suggest information needed to provide contained in NGA section 5 or FPA that complaints could only be resolved substantial evidence of the efficacy of through a lengthy administrative new drug and biological products used 4 The Undersigned Parties consist of the Pipeline to reduce or prevent the toxicity of Customer Coalition, American Public Power 5 See, for example, North American Energy chemical, biological, radiological, or Association, Transmission Access Policy Study Conservation, Inc. v. CNG Transmission nuclear substances. This proposal Group, National Rural Electric Cooperative Corporation, 88 FERC ¶ 61255 (1999), where the Association, Pennsylvania Office of Consumer answer to the complaint was filed on September 3, would apply when the traditional Advocate, and Transmission Dependent Utility 1999, and the order on the merits of the complaint efficacy studies in humans are not Systems. was issued September 17, 1999. feasible and cannot be ethically
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53961 conducted under FDA’s regulations for effect is independently substantiated in the July 1997 request for comments) adequate and well-controlled studies in multiple animal species, including related to the use of drugs and biological humans. The agency is proposing this species expected to react with a products in military and other action because it recognizes the need for response predictive for humans; (3) the emergency settings to treat or prevent adequate medical responses to protect animal study endpoint is clearly related toxicity of chemical or biological or treat individuals exposed to these to the desired benefit in humans, which substances. The July 1997 request for lethal or permanently disabling toxic is generally the enhancement of survival comments included specific questions substances. or prevention of major morbidity; and in the three following subject areas. DATES: Submit written comments by (4) the data or information on the December 20, 1999. kinetics and pharmacodynamics of the First, the agency asked whether its rule permitting waiver of informed ADDRESSES: Submit written comments product or other relevant data or consent in very limited circumstances to the Dockets Management Branch information in animals and humans (HFA–305), Food and Drug allows selection of an effective dose in involving military exigencies should be Administration, 5630 Fishers Lane, rm. humans, and it is therefore reasonable to revoked or amended, and if so, how. In 1061, Rockville, MD 20852. Submit expect the effect of the product in the Federal Register of December 21, written comments on the information animals to be a reliable indicator of its 1990 (55 FR 52814), FDA issued an collection requirements to the Office of efficacy in humans. It is also expected interim rule (‘‘Informed Consent for Information and Regulatory Affairs, that the data or information on the Human Drugs and Biologics; Office of Management and Budget kinetics and pharmacodynamics of the Determination that Informed Consent is (OMB), New Executive Office Bldg., 725 drug or biological product will be Not Feasible’’) allowing the 17th St., NW., rm. 10235, Washington, sufficiently well understood in both Commissioner of Food and Drugs (the DC 20503, Attn: Desk Officer for FDA. animals and humans or there will be Commissioner) to make the some other relevant data or information determination, in response to product FOR FURTHER INFORMATION CONTACT: in animals and humans to allow specific requests from the Department of Bonnie M. Lee, Division of Compliance selection of an effective dose in humans. Defense (DOD), that obtaining informed Policy, Office of Enforcement, Office of Safety evaluation is not discussed in Regulatory Affairs (HFC–230), Food and this proposal because the agency consent from military personnel for the Drug Administration, Rockville, MD believes that, with one limitation, the use of an investigational drug or 20852, 301–827–0415. safety of these products can be studied biological product is not feasible in SUPPLEMENTARY INFORMATION: in human volunteers similar to the certain battlefield or combat-related situations. I. Introduction people who would be exposed to the product. The limitation is the inability Second, because information on a FDA is proposing to amend its new to examine possible adverse interactions product’s efficacy in reducing or drug and biological product regulations between the toxic substance and the preventing toxicity of chemical or to identify the information needed to new product. Safety and efficacy of a biological substances is important, the provide substantial evidence of the product are ordinarily studied together agency also asked when, if ever, it is efficacy of new drug and biological in the patient population at risk or with ethical to expose volunteers to toxic products used to reduce or prevent the the condition to be treated. An chemical and biological substances to toxicity of chemical, biological, interaction of the pharmacologic effects test the efficacy of products that may be radiological, or nuclear substances of the two should emerge in the animal used to provide potential protection when adequate and well-controlled studies of efficacy but certain kinds of against those substances. efficacy studies in humans cannot be effects are not easily detected in animals ethically conducted because they would (e.g., effects on memory or cognitive Third, because these products are involve administering a potentially function). Possible interactions between critically important, even if they cannot lethal or permanently disabling toxic the product and underlying disease or be ethically tested in humans to substance or organism to healthy human another substance to which the user demonstrate efficacy, the agency asked volunteers without a proven treatment might be concomitantly exposed can be what evidence of efficacy, other than and field trials (assessment of use of the evaluated by studying safety in a that from human trials, would be product after accidental or hostile population similar to the ultimate user appropriate to demonstrate the safety exposure to the substance) are not population and under conditions and efficacy of products that may feasible. The agency is proposing that, approximating those in which the drug provide protection against toxic in these situations, certain new drug will be used. In section VII of this chemical and biological substances (62 and biological products that are document, the agency seeks comments FR 40996). intended to reduce or prevent serious or on the safety evaluation of these life-threatening conditions could be products. Elsewhere in this Federal Register, approved for marketing based on This proposal will not apply if consistent with the Defense evidence of effectiveness derived from product approval can be based on Authorization Act of 1998, FDA has appropriate studies in animals, without standards described elsewhere in FDA’s published an interim final rule revoking adequate and well-controlled efficacy regulations (e.g., accelerated approval the 1990 interim final rule and studies in humans (21 CFR 314.126). based on human surrogate markers or establishing new criteria and standards Under the proposed rule, FDA could clinical endpoints other than survival or for the President of the United States to rely on the evidence from animal irreversible morbidity). apply in making a determination that studies where: (1) There is a reasonably informed consent is not feasible or is II. Background well understood pathophysiological contrary to the best interests of the mechanism for the toxicity of the In the Federal Register of July 31, individual recipients. That document chemical, biological, radiological, or 1997 (62 FR 40996), FDA published a addresses the first issue. This notice nuclear substance and its amelioration document entitled ‘‘Request for addresses the second and third issues. or prevention by the product; (2) the Comments’’ (hereinafter referred to as
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A. When Is It Ethical to Expose full informed consent. The comments Therefore, FDA again concludes that it Volunteers to Toxic Chemical and suggested that one way to ensure would be unethical to expose volunteers Biological Substances to Test the voluntariness and informed consent to potentially lethal or permanently Efficacy of Products That May Be Used would be to require that DOD and the disabling doses of toxic biological, to Provide Potential Protection Against Veterans Administration (VA) recruit chemical, radiological, or nuclear Those Substances? only non-DOD and non-VA volunteers substances to test the efficacy of In response to the July 1997 request who are not otherwise ‘‘beholden’’ to products that may be used to provide for comments, FDA received nine these agencies for their employment or protection against those substances. comments on this question. pensions. The comments note that given Based on this conclusion and in Two comments stated that it is never the risks, it would be highly unlikely recognition of the need to take all ethical to expose volunteers to toxic that anyone would volunteer, and, possible steps to protect individuals chemicals or biological substances to therefore, efficacy testing may not be exposed to such agents, the agency has test the efficacy of products that may be possible. written this proposal. Section VII of this used to provide potential protection An additional comment, also document discusses specific issues that against those substances. apparently reflecting the view that deserve further consideration. The Another comment, which appeared to studies might be possible, stated that agency believes that the comments it conclude that human trials could volunteers should receive experimental has received thus far are sufficient for it perhaps be carried out in some cases, products only after being counseled by to proceed with this proposal and that stressed that a ‘‘volunteer’’, by medical, legal, and religious personnel, an additional public forum is not definition, must be fully aware of any and only after being offered a necessary before this proposal is issued harm that he or she may incur as a nongovernment ‘‘second opinion.’’ The for comment. result of participation in such a study. comment stated that all issues of facts should be written, witnessed, and B. What Evidence Would Be Needed to All information regarding exposures Demonstrate Safety and Efficacy of must be relayed to the volunteer, and notarized, and each volunteer’s family must have access to what, when, and Products That May Be Used to Provide the volunteer should confirm that he or Protection Against Toxic Chemical and she accepts those risks. If data from where the individual was exposed to the experimental product. Biological Substances That Cannot Be animal testing are supplied, the Ethically Tested in Humans? volunteer must also be fully aware that DOD strongly opposed testing of such the data may not be relevant to how a products in humans and also stated that FDA received nine comments in human may respond. This comment testing of sublethal doses of the toxic response to this question in the July concluded that ‘‘[a]nimal testing, an substances would be uninformative. 1997 request for comments. Most of the abhorrent practice, often puts human DOD stated: comments did not address the specific The products under development are to be health in peril via misleading data.’’ The kinds of information that would be used to protect service members against needed for approval. comment also suggested that the lethal exposure to chemical and biological developers of these drugs, if they are warfare agents. It is never ethical to expose One comment expressed support for confident that they are both safe and volunteers to such lethal amounts of these the idea of approving such ‘‘emergency’’ effective, should offer themselves for agents in order to test the potential drugs based on animal studies. Another final testing of safety and efficacy. This effectiveness of pretreatment, treatment or comment stated that: comment also stated that it seemed prophylactic products. * * * [e]ffectiveness studies in animals and more ethical to attempt antidote Dose or concentration ranging studies are human phase I studies (pharmacokinetic/ normally required for new or new-indication experiments on ‘‘victims of such antibody response) should have resulted in studies of drugs or biologics. Because plausible evidence that a protective product poisonings in regions where such response to treatment of sublethal doses of will have a reasonable risk/benefit ratio in a abhorrent ‘weapons’ are used to create chemical or biological agents (weapons) combat situation or during an attack on morbidities’’ rather than deliberately could not be extrapolated to predict response civilians. The phase one studies should exposing any healthy individuals to to higher doses, a lethal dose would be include the generation of data in children such poisons for the purpose of testing necessary to test the effectiveness of the and take into account anticipated antidotes, and concluded the comment protective drug or biologic. If lethal doses combination(s) with other products and with the suggestion that in vitro or were given to volunteers, a 100% effective immunization schedules. rescue agent would need to be available, in A third comment recommended that computer-model testing would be case the protective agent failed and preferable to human antidote testing potentially fatal toxicity had to be reversed. FDA scientific advisory committees be unless one could ensure fully informed Antidotes to probable threat agents do not used to advise, on a case-by-case basis, consent from a nonvulnerable currently exist. on data (e.g., nonclinical or surrogate population. A public interest group recommended markers of efficacy) required to A fourth comment stated that it is not that FDA address the complex issues demonstrate efficacy. Additionally, ethical to conduct clinical testing with raised by these questions in a separate postmarketing clinical efficacy data toxic chemical or biological substances proceeding and a separate public forum, could be obtained from, for example, unless there is certainty that their effects noting that the ethical issues raised by incidents involving accidental are fully reversible. Because it is not these questions are not limited to the exposures by at risk workers or scientifically possible to prove that evaluation of products for use in the operating forces, and this data could substances are completely safe and their military context, but also arise with also contribute to the body of effects fully reversible, such studies are respect to products designed to protect ‘‘substantial evidence’’ needed to not possible. individuals who may be exposed to demonstrate efficacy. This comment Two comments did not appear to toxic substances in the workplace or in emphasized that, as with other FDA think such testing was impossible, but other situations (e.g., exposure to regulated products, data related to the they pointed to significant difficulties. pesticides or industrial toxins). safety and efficacy of medical products The comments noted that testing the The agency has reviewed the that DOD may want to give to its efficacy of any product is never ethical comments and finds them in accord personnel should be considered on a unless the subjects truly volunteer with with its longstanding analysis. case-by-case basis, taking into account
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53963 the intended indication and levels of chemical, radiological, or nuclear can be obtained ethically. Accordingly, medical supervision for product use. substances.1 In reaching this FDA is proposing regulations that Two comments stressed that while it conclusion, FDA considered two would describe how efficacy for these may not be ethical to test efficacy of possible kinds of human efficacy products can be demonstrated. these products in humans, this does not studies: (1) Clinical studies in which the FDA is proposing to amend part 314 preclude testing to demonstrate their toxic substance is given to volunteers by adding subpart I, consisting of safety. (The agency notes that this and harm is prevented because the §§ 314.600 through 314.650, and to proposal does not address trials product proves to be fully efficacious, amend part 601 by adding subpart G, required to demonstrate safety; the and (2) field studies in which toxicity consisting of §§ 601.60 through 601.65. safety of these products will be studied following an accidental or hostile under existing rules in human exposure is reduced or prevented by the IV. Scope volunteers.) These comments stressed product. In many cases involving these This proposal would apply to new the importance of establishing a products, however, the first kind of drug and biological products to be used product’s safety in the specific study cannot ethically be performed; in the reduction or prevention of serious population ‘‘at issue’’ and at the and, as to the second, there may be no or life-threatening consequences proposed dosage levels. Further, when opportunity to conduct them, or such resulting from exposure to lethal or synergistic exposures or stresses are field studies may not provide adequate permanently disabling toxic biological, likely, these should be incorporated into information. chemical, radiological, or nuclear the safety testing as much as possible. Although such products may be used, substances, where: (1) The products For pyridostigmine bromide, in and potentially used widely, under the would be expected to provide particular, these comments stressed that investigational provisions of the Federal meaningful therapeutic benefits to its safety should be studied under high Food, Drug, and Cosmetic Act (the act), patients over existing treatment; (2) the heat conditions and in combination which, among other things, require conduct of human challenge/protection with insecticides and pesticides, informed consent, this is a suboptimal efficacy trials would be unethical including DEET, Permethrin, Malathion solution for many reasons. In truly because it would be necessary to and/or Dursban. emergent circumstances, where the administer a potentially lethal or The DOD’s comment on this question population needing treatment cannot be permanently disabling toxic biological, addressed only the issue of relying on identified in advance and may be large, chemical, radiological, or nuclear a human surrogate marker (already obtaining informed consent may be substance to human volunteers without possible under current regulations at impossible. Allowing a waiver of the a proven effective treatment; and (3) subpart H of part 314 (21 CFR part 314) informed consent requirement as ‘‘not field trials2 are not feasible. This and subpart E of part 601 (21 CFR part feasible’’ in circumstances where the proposal would not apply to products 601) (the Accelerated Approval product is to be given to competent that could be approved under standards regulations)) and did not consider the individuals has proved to be extremely described elsewhere in the regulations case where there is no human surrogate controversial. (See, elsewhere in this (part 314 or part 601), e.g., products for marker that is at least reasonably likely issue of the Federal Register, FDA’s which traditional human efficacy to predict clinical efficacy in humans. interim final regulations for waiver of studies could be conducted ethically or DOD added, however, that: informed consent in certain situations for which there is an acceptable human In addition, other information should be related to military combat.) Thus, the surrogate endpoint or for which obtained in order to better understand and agency is presented with two choices for accelerated approval would apply. As in perhaps predict the reactions of the drug or this class of products: (1) Make no vaccine when given to a large group of DoD past efforts to expedite access to new adjustments to its current regulations, drugs by accelerating approval (subpart personnel. These might include metabolic which would likely severely restrict the and disposition pathways in both the animal H of part 314 and subpart E of part 601) model and in humans and population studies ability to use such products; or (2) or facilitating access to investigational in humans to understand clinical covariates identify an alternative basis for agents and speeding development and to predict response ranges in very large establishing efficacy for such products, review of these products (21 CFR 312.34 groups. and if safety and efficacy are Treatment use of an investigational new The Public Citizen Litigation Group established, grant marketing approval drug), FDA proposes to apply these without further elaboration rejected as for the product with appropriate procedures where an important medical illegal the idea that animal data or other restrictions and requirements, including need is not adequately met by currently nonhuman data could serve as a basis patient-directed labeling describing the available therapies. If such a need does for approval of an antidote and stated basis of the product approval to help not exist, the agency believes that the that both the ethical standards for assure the safest possible use. FDA usual procedures provide for the most informed consent as well as the believes that approval should not be appropriate and thorough approach to standards for establishing safety and withheld for a product that is intended ensuring efficacy of drugs prior to efficacy should apply equally to to, and is being widely used to, reduce marketing. This proposal is consistent products used in military and civilian or prevent the lethal or permanently disabling toxic effects of chemical, populations. 2 As used in this document, ‘‘field trials’’ are biological, radiological, or nuclear III. Introduction to the Rule well-controlled studies that can sometimes be substances, that has been fully studied conducted when the toxic substance is naturally FDA has determined that the for safety in humans, and that has been occurring and there are individuals who are at risk requirement for human studies to determined to be effective based on the for exposure to the toxic substance. For example, the anthrax vaccine was approved based on a demonstrate efficacy has the effect of best human and animal evidence that successful well-controlled field trial in mill workers preventing the development and at high risk for anthrax exposure. In other cases, it availability of approved drug and 1 The agency has expanded the scope of this is possible that accidental or hostile exposures to biological products to reduce or prevent proposal to include not only biological and toxic substances could be treated and the effects serious or life-threatening toxicity chemical substances, but also radiological and observed. However, the ability to conduct such nuclear substances in order to include all types of studies cannot usually be anticipated and their resulting from exposure to lethal or substances that could be lethal or permanently historically controlled nature makes them difficult permanently disabling toxic biological, disabling. to interpret.
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53964 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules with the recent changes in the act on conditions of use prescribed, recommended, meet the statutory standard. The data fast track products made in the Food or suggested in the labeling or proposed must be such that experts are able to and Drug Administration Modernization labeling thereof. fairly and responsibly conclude ‘‘that Act of 1997. Consistent with these Id. the drug will have the effect it purports In interpreting the term ‘‘substantial changes, FDA is committed to or is represented to have * * *’’ in evidence,’’ FDA has viewed the phrase facilitating the development and humans. Where data from adequate and ‘‘adequate and well-controlled expediting the review of drugs for well-controlled animal studies meet this investigations, including clinical serious and life-threatening conditions standard, FDA may approve the investigations’’ as meaning that efficacy that address unmet needs (section 506 product. Unless such data exist, FDA determinations must include studies of of the act (21 U.S.C. 356)). will not approve the product. Sponsors are encouraged to meet with efficacy in humans. The agency’s FDA early in the drug development regulations did not contemplate VI. Elements of the Proposal process to determine the nature of the situations in which efficacy studies For the limited types of products regulatory review that FDA will apply. cannot be ethically conducted in within the scope of this proposal, FDA humans, and FDA believes that it would would grant marketing approval for a V. Legal Authority be inconsistent with the statute’s public new drug or biological product on the In developing this rule, FDA health objectives to conclude that FDA basis of adequate and well-controlled considered the question of whether it cannot use some other basis for animal trials when it is scientifically has the authority to approve a product considering the efficacy of such reasonable to expect that the effect of without determinative efficacy studies products. The legislative history does the drug or biological product in in humans when it would be unethical not address this issue. Concluding that animals is reasonably likely to predict to conduct such studies. FDA also such products cannot ever be approved clinical benefit in humans. Safety considered, assuming it has such because human efficacy trials cannot be evaluation is not discussed in this authority, what data, other than conducted is contrary to the public proposed rule because the safety of determinative efficacy studies in interest and inconsistent with the act’s these products can be studied in human humans, could constitute sufficient purpose of public health protection. volunteers. In order to provide for the evidence of efficacy to support product Courts have recognized that remedial safe and effective use of these products, approval. These questions have arisen statutes such as the act are to be similar restrictions, withdrawal recently because of concerns raised liberally construed consistent with the procedures, postmarketing safety regarding the nation’s ability to act’s overriding purpose to protect the reporting requirements, and adequately respond to threats of public health. (United States v. An requirements pertaining to promotional chemical, biological, radiological, and Article of Drug * * * Bacto-Unidisk, 394 materials contained in the accelerated nuclear agents that could be used to U.S. 784 (1968).) approval regulations in subpart H of cause serious harm to humans. FDA has FDA has therefore tentatively part 314 and in subpart E of part 601 are not previously addressed this issue in concluded that, where definitive human included in this proposal, with any of its regulations. As described in efficacy studies cannot be ethically appropriate modifications. (The the next paragraphs, FDA has the conducted because they would rationale and authorities for including authority to issue regulations describing necessarily expose healthy subjects to a these requirements remain unchanged the type of evidence that may be the potentially lethal or permanently and are described in the Federal basis of an efficacy determination for disabling substance, the statutory Register of April 15, 1992 (57 FR drugs and biological products that are standard should be interpreted as 13234), proposed accelerated approval therapies for toxic agents in situations permitting efficacy to be based on regulations.) Thus, the agency intends to where it would be unethical to conduct adequate and well-controlled require, under §§ 314.610(a) and a clinical investigation in humans to investigations that are not conducted in 601.61(a), postmarketing studies if a demonstrate efficacy. humans. This conclusion is consistent product approved under this subpart is FDA approves new drugs under the with the recognition by Congress of the used in a situation that makes such authority of the act and biologics under importance of ethical behavior in the studies feasible and ethical. The agency section 351 of the Public Health Service study of unapproved products. For may also require, for example, under Act. The act authorizes the Secretary of example, Congress has acknowledged §§ 314.610(b) and 601.61(b) that: (1) The Health and Human Services (the the need: (1) For informed consent in product be stored at the control and Secretary) to issue an order refusing to clinical research (section 505(i)(2) of the direction of competent military and approve a new drug application if the act); (2) to have due regard for patients civilian emergency governmental Secretary finds that ‘‘there is a lack of in issuing regulations for investigational personnel; (2) the product be used at the substantial evidence that the drug will use of drugs (section 505(k) of the act); direction of, and as ordered by, have the effect it purports or is and (3) for experts to act ‘‘fairly and competent military and civilian represented to have under the responsibly’’ in evaluating efficacy emergency governmental personnel; and conditions of use prescribed, (section 505(d) of the act). Where (3) applicants be obligated to followup recommended, or suggested in the human efficacy trials cannot be done on its use and report to FDA in Phase proposed labeling thereof * * *’’ (section ethically, experts are without human 4 reports and descriptions of adverse 505(d) of the act (21 U.S.C. 355(d).) The studies upon which to fairly and reactions. In addition, in order to assure term substantial evidence is defined as: responsibly conclude that a product is public knowledge of products approved * * * evidence consisting of adequate and effective. In the situations described under this rule, the agency is proposing well-controlled investigations, including previously, the agency believes that to add a new requirement pertaining to clinical investigations, by experts qualified adequate and well-controlled animal providing specific information on the by scientific training and experience to studies may provide sufficient data to product to its recipients (§§ 314.610(c) evaluate the effectiveness of the drug involved, on the basis of which it could fairly warrant approval. For FDA to approve and 601.61(c)). The agency also intends and responsibly be concluded by such products where definitive efficacy in most cases to consult on applications experts that the drug will have the effect it studies cannot be conducted in humans to market such products with an purports or is represented to have under the there must be sufficient data available to advisory committee, supplemented with
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53965 appropriate expert consultants, in exception to the need for human studies included? In what situation(s) might a meetings open to the public in order to in a situation where human studies primate species be unnecessary? If receive expert advice on whether a seem truly impossible, the exception efficacy results across species are not particular set of animal data support might be viewed by some as establishing consistent, would a single unprotected efficacy of a product under this rule. the principle that animal studies may be species (without clear explanation) Under the rule, FDA will rely on the relied on ‘‘for good reason’’ under the undermine the entire premise on which efficacy evidence from adequate and act; other ‘‘good reasons’’ might be approval would be based? If the well-controlled studies in animals only advanced. What are the risks of the inconsistency would not undermine the where: (1) There is a reasonably well- approach taken in this rule, if any, to premise, what are examples of understood pathophysiological the efficacy standard? To what extent, if situations where one could conclude a mechanism of the toxicity of the any, would it diminish the efficacy treatment will be effective in humans substance and its prevention by the standard? What impact would it have, if even though there is an unprotected product; (2) there is independent any, on how the agency might apply the species and no clear explanation of why substantiation of the effect in multiple efficacy standard to other drugs in the it is unprotected? animal species, including species future? 6. As discussed previously, safety expected to react with a response 2. If the agency proceeds to finalize evaluation is not discussed in this predictive for humans; (3) the animal this rule, are there additional limitations document because safety will be studied study endpoint is plainly related to the that should be placed on any approval in human volunteers. If efficacy of a desired benefit in humans, which is based on animal data? For example, product were demonstrated through generally the enhancement of survival should the agency place additional animal studies rather than studies in or prevention of major morbidity; and advertising restrictions on these humans, are there special (4) the data or information on the products, and describe the restrictions considerations that should apply to the kinetics and pharmacodynamics of the and the legal basis for such restrictions? safety data base? If so, what do these product or other relevant data or 3. What would make animal data special considerations consist of and information in animals and humans sufficiently predictive of efficacy in why should they be applied to the data allows selection of an effective dose in humans to warrant product approval base? To what extent should humans, and FDA therefore concludes based on such data? The agency has interactions with potential concomitant that the effect of the product in animals identified several elements that are treatments and concomitant is reasonably likely to predict clinical important. These elements include environmental exposures be studied? benefit in humans. Where it is possible consistency of results across species, 7. In the July 1997 request for to conduct human efficacy studies of and an effect on the same morbidity/ comments, FDA requested comments products, these will continue to be mortality endpoint in animals that is of on: When is it ethical to expose required. Safety evaluation of these interest in humans together with a good volunteers to toxic chemical and products in humans will be required. understanding of the mechanisms of the biological substances to test the To the extent possible, human effect of the toxin and the product. effectiveness of products that may be experience that is potentially relevant Information about the relative used to provide potential protection should be obtained, such as effects on sensitivity of the species to the toxin or against those substances? As described potential human surrogate markers or agent (compared to humans), and earlier in this document, the agency studies of low, sublethal doses of the consistent dose-response and received nine comments, most of which toxic substance, where such doses may pharmacokinetic/pharmacodynamic expressed considerable doubt regarding be defined and where the studies are relationships in various animal species whether it would be ethical to expose sufficiently cautious in design and might also make animal data more volunteers to toxic substances to test the monitoring. If the surrogate endpoint persuasive. Are there other elements efficacy of these products. Although the effect is reasonably likely to predict that should be considered? agency has concluded in proposing this clinical benefit, and it is possible to 4. How can the correct human dose be rule that it will generally not be possible design postmarketing studies to confirm selected? Presumably, if multiple ethically, in the cases described, to effectiveness (which could depend on animal species show a consistent conduct human studies, it is also true the occurrence of an unpredictable toxic relation of protective effect to exposure that it is critically important for a exposure), such that the drug could be (minimum blood levels, average product intended to reduce or prevent approved under subpart H of part 314 concentration, etc.), a response of a lethal consequences to be effective and subpart E of part 601, the pharmacodynamic marker, or measure when used. The agency therefore is accelerated approval regulations, it of dose (e.g., milligram (mg)/meter2 requesting further comment on this would not be considered under this dose, mg/kilogram dose, or cumulative issue. It would be helpful to receive proposal. dose), a similar human dose, or a human information, with examples if available, dose giving the same blood on the value of studying sublethal doses VII. Discussion concentration or pharmacologic effect of toxins in humans and evaluating the In situations where definitive human could be chosen. If species differ in ability of these products to protect efficacy studies cannot be ethically their susceptibility to the toxic agent, against the sublethal effects. This would conducted, a possible means of what approaches could help identify the not be equivalent to testing the product demonstrating efficacy could be through proper human dose of the drug? For against a full dose of the toxin, but it animal studies. FDA seeks comments on example, would the largest dose could support the fundamental the following issues: (concentration) needed in any species similarity of responses in animals and 1. As indicated previously, the agency be the best choice? humans to the toxin and the product. has never before permitted a sponsor to 5. What constitutes ‘‘independent rely on animal studies to support a substantiation in multiple animal VIII. Environmental Impact finding of ‘‘substantial evidence’’ and species’’ (i.e., consistency of results The agency has determined under 21 approval of a drug under section 505 of across species)? How many species CFR 25.30(h) that this action is of a type the act. Although the agency has represent a reasonable number and that does not individually or attempted to propose a very narrow should at least one primate species be cumulatively have a significant effect on
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53966 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules the human environment. Therefore, alternatives and, when regulation is of the annual reporting and neither an environmental assessment necessary, to select regulatory recordkeeping burden. Included in the nor an environmental impact statement approaches that maximize net benefits estimate is the time for reviewing is required. (including potential economic, instructions, searching existing data environmental, public health and safety, IX. Executive Order 12612: Federalism sources, gathering and maintaining the and other advantages; distributive data needed, and completing and Executive Order 12612 requires impacts; and equity). If a rule has a reviewing each collection of Federal agencies to carefully examine significant economic impact on a information. regulatory actions to determine if they substantial number of small entities, the would have a significant effect on Regulatory Flexibility Act requires With respect to the following federalism. Using the criteria and agencies to analyze regulatory options collection of information, FDA invites principles set forth in the order, FDA that would minimize any significant comments on: (1) Whether the proposed has considered the proposed rule’s impact of a rule on small entities. Title collection of information is necessary impact on the States, on their II of the Unfunded Mandates Reform for the proper performance of FDA’s relationship with the Federal Act (Public Law 104–4) (in section 202) functions, including whether the Government, and on the distribution of requires that agencies prepare an information will have practical utility; power and responsibilities among the assessment of anticipated costs and (2) the accuracy of FDA’s estimate of the various levels of government. FDA benefits before proposing any rule that burden of the proposed collection of concludes that this proposal is may result in an expenditure in any 1 information, including the validity of consistent with the principles set forth year by State, local, and tribal the methodology and assumptions used; in Executive Order 12612. governments, in the aggregate, or by the (3) ways to enhance the quality, utility, Executive Order 12612 states that private sector, of $100 million or more and clarity of the information to be agencies formulating and implementing (adjusted annually for inflation). collected; and (4) ways to minimize the policies are to be guided by certain The agency believes that this burden of the collection of information federalism principles. Section 2 of proposed rule is consistent with the on respondents, including through the Executive Order 12612 enumerates regulatory philosophy and principles fundamental federalism principles. identified in the Executive Order and in use of automated collection techniques, Section 3 states that, in addition to these these two statutes. The agency has when appropriate, and other forms of fundamental principles, executive determined that this rule is a information technology. departments and agencies shall adhere, ‘‘significant regulatory action’’ as Title: New Drug and Biological to the extent permitted by law, to defined in section 3(f)(4) of the Products; Animal Efficacy Studies. certain listed criteria when formulating Executive Order because it raises novel Description: FDA is proposing to and implementing policies that have policy issues. However, the rule is not amend its new drug and biological federalism implications. Section 4 lists an ‘‘economically significant’’ rule as product regulations to identify the special requirements for preemption. defined in section 3(f)(1) of the Section 4 of Executive Order 12612 Executive Order, as it will not have an evidence needed to demonstrate the states that an executive department or annual effect on the economy of $100 efficacy of drug and biological products agency foreseeing the possibility of a million or more, nor will it impose used to treat or prevent the toxicity of conflict between State law and federally material adverse effects. With respect to chemical, biological, radiological, or protected interests within its area of the Regulatory Flexibility Act (5 U.S.C. nuclear substances when definitive regulatory responsibility, is to consult 605(b)), this rule will permit products to efficacy studies in humans cannot be with States in an effort to avoid such be approved that could not be approved ethically conducted because they would conflict. Section 4 also states that an under existing regulations and very few involve administering a lethal or executive department or agency products will need to meet the permanently disabling toxic substance proposing to act through rulemaking to requirements of this rule. Therefore, the to healthy human volunteers without a preempt State law is to provide all Commissioner certifies that the rule will proven treatment and when field trials affected States notice and an not have a significant economic impact are not feasible. In these circumstances, opportunity for appropriate on a substantial number of small when it may be impossible to participation in the proceedings. As entities. Accordingly, under the demonstrate efficacy through the required by the Executive Order, States Regulatory Flexibility Act, no further adequate and well-controlled studies in have, through this notice of proposed analysis is required. Similarly, because humans, FDA is proposing that certain rulemaking, an opportunity to raise the the rule does not impose any mandates new drug and biological products to possibility of conflicts and to participate on State, local, or tribal government, or treat or prevent serious or life- in the proceedings (section 4(d) and (e)). the private sector that will result in a 1- threatening conditions could be Consistent with Executive Order 12612, year expenditure of $100 million or approved for marketing based on studies FDA requests information and more, FDA is not required to perform a in animals, without the traditional comments from interested parties, cost-benefit analysis under the efficacy studies in humans. FDA is including but not limited to State and Unfunded Mandates Reform Act. proposing this action because it local authorities, on these issues of XI. Paperwork Reduction Act of 1995 recognizes the importance of improving federalism. medical response capabilities to the use This proposed rule contains of lethal or permanently disabling X. Analysis of Impacts information collection provisions that chemical, biological, radiological, and FDA has examined the impacts of the are subject to review by the Office of nuclear substances in order to protect proposed rule under Executive Order Management and Budget (OMB) under 12866 and the Regulatory Flexibility Act the Paperwork Reduction Act of 1995 individuals exposed to these substances. (5 U.S.C. 601–612). Executive Order (44 U.S.C. 3501–3520). A description of Respondent Description: Businesses 12866 directs agencies to assess all costs these provisions is given in the and other for-profit organizations, and and benefits of available regulatory following paragraphs with an estimate nonprofit institutions.
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TABLE 1.ÐESTIMATED ANNUAL REPORTING BURDEN1
Annual 21 CFR Section No. of Frequency per Total Annual Hours per Total Hours Respondents Response Responses Response
314.610(b)(3) and 314.630 601.61(b)(3) and 601.63 1 1 1 5 5 314.610(c) and 314.640 601.61(c) and 601.64 1 1 1 240 240 Total 245 1 There are no capital costs or operating and maintenance costs with this collection of information.
TABLE 2.ÐESTIMATED ANNUAL DISCLOSURE/RECORDKEEPING BURDEN1
Annual 21 CFR Section No. of Frequency per Total Annual Hours per Total Hours Recordkeepers Recordkeeping Records Recordkeeper
314.610(b)(3) and 314.630 601.61(b)(3) and 601.63 1 1 1 1 1 314.610(c) 601.61(c) 1 1 1 1 1 Total 2 1 There are no capital costs or operating and maintenance costs with this collection of information.
FDA estimates that only one reported under the AER information PART 314ÐAPPLICATIONS FOR FDA application of this nature may be collection requirements. The estimated APPROVAL TO MARKET A NEW DRUG submitted every 3 years; however, for recordkeeping burden of 1 hour is based OR AN ANTIBIOTIC DRUG calculation purposes, FDA is estimating on previous estimates for the 1. The authority citation for 21 CFR the submission of one application recordkeeping requirements associated part 314 continues to read as follows: annually. FDA estimates 240 hours for with the AER system. a manufacturer of a new drug or Authority: 21 U.S.C. 321, 331, 351, 352, biological product to develop patient XII. Request for Comments 353, 355, 371, 374, 379e. labeling, and to submit the appropriate Interested persons may, on or before 2. Subpart I, consisting of §§ 314.600 information and promotional labeling to December 20, 1999, submit to the through 314.650, is added to read as FDA. At this time, FDA cannot estimate follows: the number of postmarketing reports for Dockets Management Branch (address adverse drug or biological experiences above) written comments regarding this Subpart IÐApproval of New Drugs for associated with a newly approved drug proposal. Two copies of any comments Use Against Lethal or Permanently or biological product. Therefore, FDA is are to be submitted, except that Disabling Toxic Substances When using one report for purposes of this individuals may submit one copy. Efficacy Studies in Humans Ethically information collection. These reports Comments are to be identified with the Cannot Be Conducted are required under 21 CFR parts 310, docket number found in brackets in the 314, and 600. Any burdens associated heading of this document. Received Sec. 314.600 Scope. with these requirements will be comments may be seen in the office 314.610 Approval based on evidence of reported under the adverse experience above between 9 a.m. and 4 p.m., efficacy from studies in animals. reporting (AER) information collection Monday through Friday. 314.620 Withdrawal procedures. requirements. The estimated hours for 314.630 Postmarketing safety reporting. postmarketing reports range from 1 to 5 List of Subjects 314.640 Promotional materials. hours based on previous estimates for 21 CFR Part 314 314.650 Termination of requirements. adverse experience reporting; however FDA is estimating 5 hours for the Administrative practice and Subpart IÐApproval of New Drugs for purpose of this information collection. procedure, Confidential business Use Against Lethal or Permanently The majority of the burden for information, Drugs, Reporting and Disabling Toxic Substances When developing the patient labeling is recordkeeping requirements. Efficacy Studies in Humans Ethically included under the reporting Cannot Be Conducted requirements, therefore, minimal 21 CFR Part 601 § 314.600 Scope. burden is calculated for providing the Administrative practice and guide to patients. As discussed This subpart applies to certain new procedure, Biologics, Confidential previously, no burden can be calculated drug products that have been studied for business information. at this time for the number of AER their safety and efficacy in ameliorating reports that may be submitted after Therefore, under the Federal Food, or preventing serious or life-threatening approval of a new drug or biologic, Drug, and Cosmetic Act and under conditions caused by exposure to lethal therefore, the number of records that authority delegated to the Commissioner or permanently disabling toxic may be maintained also cannot be of Food and Drugs, it is proposed that biological, chemical, radiological, or determined. Any burdens associated 21 CFR parts 314 and 601 be amended nuclear substances, where the products with these requirements will be as follows: would be expected to provide
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The Director of the Center for available therapy, or ability to improve under this subpart can be safely used Drug Evaluation and Research (CDER) patient response compared to available only if distribution or use is restricted, will give the applicant notice of an therapy). This subpart applies only to FDA will require such postmarketing opportunity for a hearing on CDER’s those new drug products for which: restrictions as are needed to assure safe proposal to withdraw the approval of an Definitive human efficacy studies use of the drug product, commensurate application approved under this cannot be conducted because it would with the specific safety concerns subpart. The notice, which will be unethical to deliberately expose presented by the drug product, such as: ordinarily be a letter, will state generally healthy human volunteers to a lethal or (1) Distribution restricted to certain the reasons for the action and the permanently disabling toxic biological, facilities or health care practitioners proposed grounds for the order. chemical, radiological, or nuclear with special training or experience; (c) Submission of data and substance without a proven treatment; (2) Distribution conditioned on the information. (1) If the applicant fails to and field trials to study the product’s performance of specified medical file a written request for a hearing efficacy after an accidental or hostile procedures, including medical within 15 days of receipt of the notice, exposure are not feasible. This subpart followup; and the applicant waives the opportunity for does not apply to products that can be (3) Distribution conditioned on a hearing. approved based on standards described specified recordkeeping requirements. (2) If the applicant files a timely elsewhere in FDA’s regulations (e.g., (c) Information to be provided to request for a hearing, the agency will accelerated approval based on surrogate patients and potential patients; unit of publish a notice of hearing in the markers or clinical endpoints other than use packaging. For drug products Federal Register in accordance with survival or irreversible morbidity), nor approved under this subpart, applicants §§ 12.32(e) and 15.20 of this chapter. does it address the safety evaluation for shall prepare, as part of their proposed (3) An applicant who requests a these products. labeling, labeling to be provided to hearing under this section must, within 30 days of receipt of the notice of § 314.610 Approval based on evidence of patients or potential patients. The efficacy from studies in animals. patient labeling will explain that the opportunity for a hearing, submit the drug’s approval was based on efficacy data and information upon which the FDA may grant marketing approval studies conducted in animals alone, applicant intends to rely at the hearing. for a new drug product for which safety give the drug’s indication(s), directions (d) Separation of function. Separation has been established and for which the for use (dosage and administration), of functions (as specified in § 10.55 of requirements of § 314.600 are met based contraindications, a description of any this chapter) will not apply at any point on adequate and well-controlled animal reasonably foreseeable risks, adverse in withdrawal proceedings under this trials when the results of those animal reactions, anticipated benefits, drug section. studies establish that the drug product interactions, and any other relevant (e) Procedures for hearings. Hearings is reasonably likely to predict clinical information required by FDA at the time held under this section will be benefit in humans. FDA will rely on the of approval. For self-administered drug conducted in accordance with the evidence from studies in animals only products, there shall be unit-of-use provisions of part 15 of this chapter, where: There is a reasonably well- packaging and attached patient labeling with the following modifications: understood pathophysiological containing this information. For drug (1) An advisory committee duly mechanism of the toxicity of the products administered by health constituted under part 14 of this chapter substance and its prevention or professionals, the patient labeling shall will be present at the hearing. The substantial reduction by the product; be available with the product to be committee will be asked to review the the effect is independently substantiated provided to patients prior to issues involved and to provide advice in multiple animal species, including administration of the drug product, if and recommendations to the species expected to react with a possible. Commissioner of Food and Drugs. response predictive for humans; the (2) The presiding officer, the advisory animal study endpoint is clearly related § 314.620 Withdrawal procedures. committee members, up to three to the desired benefit in humans, (a) For new drugs approved under this representatives of the applicant, and up generally the enhancement of survival subpart, FDA may withdraw approval, to three representatives of CDER may or prevention of major morbidity; and following a hearing as provided in part question any person during or at the the data or information on the kinetics 15 of this chapter, as modified by this conclusion of the person’s presentation. and pharmacodynamics of the product section, if: No other person attending the hearing or other relevant data or information, in (1) A postmarketing clinical study may question a person making a animals and humans, allows selection of fails to verify clinical benefit; presentation. The presiding officer may, an effective dose in humans. Approval (2) The applicant fails to perform the as a matter of discretion, permit under this subpart will be subject to postmarketing study with due diligence; questions to be submitted to the three requirements: (3) Use after marketing demonstrates presiding officer for response by a (a) Postmarketing studies. The that postmarketing restrictions are person making a presentation. applicant shall conduct postmarketing inadequate to assure safe use of the drug (f) Judicial review. The Commissioner studies to verify and describe the drug’s product; of Food and Drugs’ decision constitutes clinical benefit when such studies are (4) The applicant fails to adhere to the final agency action from which the feasible and ethical. Such postmarketing postmarketing restrictions applied at the applicant may petition for judicial studies may not be feasible until an time of approval under this subpart; review. Before requesting an order from exigency arises that necessitates use of (5) The promotional materials are a court for a stay of action pending the product. When such studies are false or misleading; or review, an applicant must first submit a
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Substances When Efficacy Studies in rely on the evidence from studies in Drug products approved under this Humans Ethically Cannot Be animals only where: There is a subpart are subject to the postmarketing Conducted reasonably well-understood pathophysiological mechanism of the recordkeeping and safety reporting Sec. applicable to all approved drug 601.60 Scope. toxicity of the substance and its products, as provided in §§ 314.80 and 601.61 Approval based on evidence of prevention or substantial reduction by 314.81. efficacy from studies in animals. the product; the effect is independently 601.62 Withdrawal procedures. substantiated in multiple animal § 314.640 Promotional materials. 601.63 Postmarketing safety reporting. species, including species expected to 601.64 Promotional materials. react with a response predictive for For drug products being considered 601.65 Termination of requirements. humans; the animal study endpoint is for approval under this subpart, unless clearly related to the desired benefit in otherwise informed by the agency, Subpart GÐApproval of Biological humans, generally the enhancement of applicants shall submit to the agency for Products for Use Against Lethal or survival or prevention of major consideration during the preapproval Permanently Disabling Toxic morbidity; and the data or information review period copies of all promotional Substances when Efficacy Studies in on the kinetics and pharmacodynamics materials, including promotional Humans Ethically Cannot Be of the product or other relevant data or labeling as well as advertisements, Conducted information, in animals and humans, intended for dissemination or allows selection of an effective dose in publication within 120 days following § 601.60 Scope. humans. Approval under this subpart marketing approval. After 120 days This subpart applies to certain will be subject to three requirements: following marketing approval, unless biological products that have been (a) Postmarketing studies. The otherwise informed by the agency, the studied for their safety and efficacy in applicant shall conduct postmarketing applicant shall submit promotional ameliorating or preventing serious or studies to verify and describe the materials at least 30 days prior to the life-threatening conditions caused by biological product’s clinical benefit intended time of initial dissemination of exposure to lethal or permanently when such studies are feasible and the labeling or initial publication of the disabling toxic biological, chemical, ethical. Such postmarketing studies may advertisement. radiological, or nuclear substances, not be feasible until an exigency arises where the products would be expected § 314.650 Termination of requirements. that necessitates use of the product. to provide meaningful therapeutic When such studies are feasible, the If FDA determines after approval benefits to patients over existing applicant shall conduct such studies under this subpart that the requirements treatments (e.g., ability to treat a with due diligence. established in §§ 314.610(b), 314.620, condition that has no current therapy, (b) Approval with restrictions to and 314.630 are no longer necessary for ability to treat patients unresponsive to, assure safe use. If FDA concludes that the safe and effective use of a drug or intolerant of, available therapy, or a biological product shown to be product, it will so notify the applicant. ability to improve patient response effective under this subpart can be Ordinarily, for drug products approved compared to available therapy). This safely used only if distribution or use is under § 314.610, these requirements subpart applies only to those biological restricted, FDA will require such will no longer apply when FDA products for which: Definitive human postmarketing restrictions as are needed determines that the postmarketing study efficacy studies cannot be conducted to assure safe use of the biological verifies and describes the drug product’s because it would be unethical to product, commensurate with the clinical benefit. For drug products deliberately expose healthy human specific safety concerns presented by approved under § 314.610, the volunteers to a lethal or permanently the biological product, such as: restrictions would no longer apply disabling toxic biological, chemical, (1) Distribution restricted to certain when FDA determines that safe use of radiological, or nuclear substance facilities or health care practitioners the drug product can be assured through without a proven treatment; and field with special training or experience; appropriate labeling. FDA also retains trials to study the product’s efficacy (2) Distribution conditioned on the the discretion to remove specific after an accidental or hostile exposure performance of specified medical postapproval requirements upon review are not feasible. This subpart does not procedures, including medical of a petition submitted by the sponsor apply to products that can be approved followup; and in accordance with § 10.30 of this based on standards described elsewhere (3) Distribution conditioned on chapter. in FDA’s regulations (e.g., accelerated specified recordkeeping requirements. approval based on surrogate markers or (c) Information to be provided to PART 601ÐLICENSING clinical endpoints other than survival or patients and potential patients; unit of irreversible morbidity), nor does it use packaging. For biological products 3. The authority citation for 21 CFR address the safety evaluation for these approved under this subpart, applicants part 601 continues to read as follows: products. shall prepare, as part of their proposed labeling, labeling to be provided to Authority: 15 U.S.C. 1451–1561; 21 U.S.C. § 601.61 Approval based on evidence of patients or potential patients. The 321, 351, 352, 353, 355, 360, 360c–360f, efficacy from studies in animals. patient labeling will explain that the 360h–360j, 371, 374, 379e, 381; 42 U.S.C. FDA may grant marketing approval biological product’s approval was based 216, 241, 262, 263; sec. 122, Pub. L. 105–115, for a biological product for which safety on efficacy studies conducted in 111 Stat. 2322 (21 U.S.C. 355 note). has been established and for which the animals alone, give the biological 4. Subpart G, consisting of §§ 601.60 requirements of § 601.60 are met based product’s indication(s), directions for through 601.65, is added to read as on adequate and well-controlled animal use (dosage and administration), follows: trials when the results of those animal contraindications, a description of any
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53970 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules reasonably foreseeable risks, adverse in withdrawal proceedings under this safe and effective use of a biological reactions, anticipated benefits, drug section. product, it will so notify the applicant. interactions, and any other relevant (e) Procedures for hearings. Hearings Ordinarily, for biological products information required by FDA at the time held under this section will be approved under § 601.61, these of approval. For self-administered conducted in accordance with the requirements will no longer apply when biological products, there shall be unit- provisions of part 15 of this chapter, FDA determines that the postmarketing of-use packaging and attached patient with the following modifications: study verifies and describes the labeling containing this information. For (1) An advisory committee duly biological product’s clinical benefit. For biological products administered by constituted under part 14 of this chapter biological products approved under health professionals, the patient labeling will be present at the hearing. The § 601.61, the restrictions would no shall be available with the product to be committee will be asked to review the longer apply when FDA determines that provided to patients prior to issues involved and to provide advice safe use of the biological product can be administration of the biological product, and recommendations to the assured through appropriate labeling. if possible. Commissioner of Food and Drugs. FDA also retains the discretion to (2) The presiding officer, the advisory remove specific postapproval § 601.62 Withdrawal procedures. committee members, up to three requirements upon review of a petition (a) For biological products approved representatives of the applicant, and up submitted by the sponsor in accordance under this subpart, FDA may withdraw to three representatives of CBER may with § 10.30 of this chapter. approval, following a hearing as question any person during or at the Dated: May 25, 1999. provided in part 15 of this chapter, as conclusion of the person’s presentation. Jane E. Henney, modified by this section, if: No other person attending the hearing (1) A postmarketing clinical study may question a person making a Commissioner of Food and Drugs. fails to verify clinical benefit; presentation. The presiding officer may, Donna E. Shalala, (2) The applicant fails to perform the as a matter of discretion, permit Secretary of Health and Human Services. postmarketing study with due diligence; questions to be submitted to the [FR Doc. 99–25377 Filed 10–4–99; 8:45 am] (3) Use after marketing demonstrates presiding officer for response by a BILLING CODE 4160±01±F that postmarketing restrictions are person making a presentation. inadequate to assure safe use of the (f) Judicial review. The Commissioner biological product; of Food and Drugs’ decision constitutes DEPARTMENT OF TRANSPORTATION (4) The applicant fails to adhere to the final agency action from which the postmarketing restrictions applied at the applicant may petition for judicial Coast Guard time of approval under this subpart; review. Before requesting an order from (5) The promotional materials are a court for a stay of action pending 33 CFR Part 20 false or misleading; or review, an applicant must first submit a 46 CFR Part 5 (6) Other evidence demonstrates that petition for a stay of action under the biological product is not shown to § 10.35 of this chapter. [USCG±1998±3472] be safe or effective under its conditions of use. § 601.63 Postmarketing safety reporting. RIN 2115±AF59 (b) Notice of opportunity for a Biological products approved under hearing. The Director of the Center for this subpart are subject to the Rules of Practice, Procedure, and Biologics Evaluation and Research postmarketing recordkeeping and safety Evidence for Administrative (CBER) will give the applicant notice of reporting applicable to all approved Proceedings of the Coast Guard an opportunity for a hearing on the biological products. AGENCY: Coast Guard, DOT. CBER’s proposal to withdraw the approval of an application approved § 601.64 Promotional materials. ACTION: Reopening of comment period under this subpart. The notice, which For biological products being on interim rule. will ordinarily be a letter, will state considered for approval under this SUMMARY: The Coast Guard is reopening generally the reasons for the action and subpart, unless otherwise informed by the period for public comment on its the proposed grounds for the order. the agency, applicants shall submit to interim rule, Rules of Practice, (c) Submission of data and the agency for consideration during the Procedure, and Evidence for information. (1) If the applicant fails to preapproval review period copies of all Administrative Proceedings of the Coast file a written request for a hearing promotional materials, including Guard. Because of several requests for within 15 days of receipt of the notice, promotional labeling as well as extension, the Coast Guard is reopening the applicant waives the opportunity for advertisements, intended for the period for 180 days. a hearing. dissemination or publication within 120 DATES: (2) If the applicant files a timely days following marketing approval. Comments must reach the Coast request for a hearing, the agency will After 120 days following marketing Guard on or before April 3, 2000. publish a notice of hearing in the approval, unless otherwise informed by ADDRESSES: Please submit your Federal Register in accordance with the agency, the applicant shall submit comments and related material by any §§ 12.32(e) and 15.20 of this chapter. promotional materials at least 30 days one of the following methods (but by (3) An applicant who requests a prior to the intended time of initial only one, to avoid multiple listings in hearing under this section must, within dissemination of the labeling or initial the public docket): 30 days of receipt of the notice of publication of the advertisement. (1) By mail to the Docket Management opportunity for a hearing, submit the Facility, [USCG–1998–3472], U.S. data and information upon which the § 601.65 Termination of requirements. Department of Transportation, room PL– applicant intends to rely at the hearing. If FDA determines after approval 401, 400 Seventh Street SW., (d) Separation of function. Separation under this subpart that the requirements Washington, DC 20590–0001. of functions (as specified in § 10.55 of established in §§ 601.61(b), 601.62, and (2) By delivery to room PL–401 on the this chapter) will not apply at any point 601.63 are no longer necessary for the Plaza level of the Nassif Building, 400
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Seventh Street SW., Washington, DC, also affect certain actions involving (2) By hand delivery to room PL–401 between 9 a.m. and 5 p.m., Monday merchant mariners. First, the interim on the Plaza level of the Nassif Building, through Friday, except Federal holidays. rule consolidates all Coast Guard 400 Seventh Street S.W., Washington, The telephone number is 202–366– adjudicative procedures to include the DC, between 9 a.m. and 5 p.m., Monday 9329. following: the suspension and through Friday, except Federal holidays. (3) By fax to the Docket Management revocation (S&R) of merchant mariners’ The telephone number is 202–366– Facility at 202–493–2251. licenses, certificates of registry, and 9329. (4) Electronically through the Web documents and the procedures (3) By fax to the Docket Management Site for the Docket Management System involving class II civil penalties. Facility at 202–493–2251. at http://dms.dot.gov. Second, the interim rule eliminates (4) Electronically through the Web FOR FURTHER INFORMATION CONTACT: For unnecessary procedures from S&R Site for the Docket Management System questions on the substance of the proceedings. The Coast Guard expects at http://dms.dot.gov. rulemaking, call George J. Jordan, the interim rule to facilitate the efficient The Docket Management Facility Attorney-Adviser, Office of the Chief use of administrative resources relating maintains the public docket for this Administrative Law Judge, telephone to adjudication by the Coast Guard. It notice. Comments and material received 202–267–0006. For questions on will save time, effort, and money for all from the public, as well as documents viewing or submitting material to the parties who are or may become involved mentioned in this preamble as being docket, call Ms. Dorothy Walker, Chief in actions of the Coast Guard. available in the docket, will become part of Dockets, Department of Dated: September 27, 1999. of this docket and will be available for Transportation, telephone 202–366– Robert S. Horowitz, inspection or copying at room PL–401 9329. Acting Chief Counsel. on the Plaza level of the Nassif Building, SUPPLEMENTARY INFORMATION: [FR Doc. 99–25865 Filed 10–4–99; 8:45 am] at the same address between 9 a.m. and 5 p.m., Monday through Friday, except Request for Comments BILLING CODE 4910±15±P Federal holidays. You may also find this The interim rule, published on May docket on the Internet at http:// 24, 1999 [64 FR 28054], encouraged DEPARTMENT OF TRANSPORTATION dms.dot.gov. interested persons to participate in this FOR FURTHER INFORMATION CONTACT: For rulemaking by submitting written data, Coast Guard questions on this notice, contact Carlton views, or arguments by July 23, 1999. Perry, Project Manager, Office of Boating This request does the same, except that 33 CFR Part 175 it invites their submitting them by April Safety, by telephone at 202–267–0979 or 3, 2000. [USCG±1999±6219] by e-mail at [email protected]. For questions on viewing or submitting Persons submitting comments should Recreational Boating SafetyÐFederal include their names and addresses, material to the docket, call Dorothy Requirements for Wearing Personal Walker, Chief, Dockets, Department of identify this docket [USCG–1998–3472] Flotation Devices and the specific section of the interim Transportation, telephone 202–366– rule to which each comment applies, AGENCY: Coast Guard, DOT. 9329. You may obtain a copy of this notice and give the reason for each comment. ACTION: Notice; request for comments. Please submit one copy of each by calling the U.S. Coast Guard Infoline comment and attachment in an SUMMARY: The Coast Guard seeks (we at 1–800–368–5647, or read it on the Internet at the Web Site for the Office of unbound format, no larger than 81⁄2 by seek) comments from interested people, 11 inches, suitable for copying and groups, and businesses about the need Boating Safety at http:// electronic filing, to the DOT Docket for, and possible alternatives to, Federal www.uscgboating.org or at http:// Management Facility at the address requirements or incentives for people to dms.dot.gov. under ADDRESSES. If you want wear lifejackets while engaged in a SUPPLEMENTARY INFORMATION: limited number of specific boating acknowledgment of receipt of your Regulatory History comment, enclose a stamped, self- activities on the water. We will consider addressed postcard or envelope. all comments and consult further with On September 25, 1997, we published The Coast Guard will consider all the National Boating Safety Advisory in the Federal Register a notice of comments received during the comment Council (NBSAC) to determine whether request for comments [62 FR 50280]. period. It may change this interim rule we should propose any Federal rules That notice, with the title ‘‘Recreational in view of them. that would help to reduce the number Boating Safety—Federal Requirements The Coast Guard plans no public of recreational boaters who drown in the for Wearing Personal Flotation meeting. Persons may request one by circumstances identified by this notice Devices’’, under docket number CGD writing to the Docket Management and by the comments to it. 97–059, set the closing date for Facility at the address under ADDRESSES. DATES: Comments and related material comments for February 2, 1998. On The request must identify this docket must reach the Docket Management March 20, 1998, we published a second [USCG–1998–3472] and should include Facility on or before April 3, 2000. notice [63 FR 13586]. That notice, with the reasons why an opportunity for oral ADDRESSES: To make sure your the same title and under the same presentations would be helpful to this comments and related material (referred docket number, reopened the comment rulemaking. If such an opportunity to USCG–1999–6219) are not entered period until May 29, 1998. more than once in the docket, please would help the rulemaking, the Coast Background and Purpose Guard will hold a public meeting at a submit them by only one of the time and place announced by a later following means: A number of responses to the initial notice in the Federal Register. (1) By mail to the Docket Management notice commented that the best way to Facility, U.S. Department of prevent drowning was to keep people Background and Purpose Transportation, room PL–401, 400 from falling into the water in the first The Coast Guard seeks to improve its Seventh Street SW., Washington, DC place. Our review of data on adjudicative process. Improvement will 20590–0001. recreational boating accidents indicates
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00021 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53972 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules that most people who drowned had educational efforts like the Federal and the reason for each comment. You may ended up in the water unexpectedly and State Recreational Boating Safety submit your comments and material by were not able to put on lifejackets Programs. Unfortunately, recreational mail, hand delivery, fax, or electronic during the incidents. Federal boating accidents still result in more means to the Docket Management requirements to prevent unexpected deaths than all other transportation- Facility at the address under ADDRESSES; falls overboard would unreasonably related accidents, except for motor but please submit your comments and restrict moving about on the vessel and vehicle accidents. material by only one means. If you would also likely interfere with Most people who die in recreational submit them by mail or hand delivery, operating the vessel. We believe that the boating accidents drown. During 1997, submit them in an unbound format, no best way to minimize the number of our data show, recreational boating larger than 81⁄2 by 11 inches, suitable for deaths due to drowning is to maximize accidents resulted in over 800 deaths, copying and electronic filing. If you the number of recreational boaters 588 of them by drowning. Of the 588 submit them by mail and would like to wearing lifejackets, also known as victims, most (523) were not wearing know they reached the Facility, please personal flotation devices (PFDs). Each lifejackets. Although 65 victims also enclose a stamped, self-addressed year we sponsor a national campaign for drowned while wearing them, postcard or envelope. boating safety based on educational information in the accident reports We will summarize all the comments methods aimed at encouraging suggest that other factors contributed to we receive during the comment period, recreational boaters to wear lifejackets. or even were the primary cause of death place a copy of the summary in the We also recognize, however, that these for most of these 65. Many of the 588 public docket, and provide copies to the nonregulatory methods of modifying might have survived if they had worn members of NBSAC for them to consider behavior have not been successful lifejackets. at their next meeting. We will consider enough. During 1997, vessels less than 16 feet all relevant comments and material When we published the initial notice, in length accounted for 385 deaths, 293 received during the comment period in we sought public comment on the need by drowning, and vessels at least 16 feet drafting any regulatory or nonregulatory for Federal requirements that any or all in length, but less than 26 feet in length, measures that may follow from this recreational boaters wear lifejackets. accounted for 294 deaths, 192 by notice. The request asked the public to identify drowning. Also, during 1997, open the various conditions under which the motorboats accounted for 413 deaths, Public Meeting use of lifejackets should be mandatory 307 by drowning, and PWC accounted We do not plan to hold a public or optional, or would be inappropriate. for another 84 deaths, 22 by drowning. meeting. But you may submit a request We received over 600 written Sadly, during 1997, 25 children 12 years for one to the Docket Management comments in response to the initial of age and under died in the water, 14 Facility at the address under ADDRESSES notice. Most of them opposed any by drowning. explaining why one would be Federal requirements that all boaters Request for Comments beneficial. If we determine that one wear lifejackets all the time. However, would aid this project, we will hold one almost 120 of them supported Federal or We encourage you to participate in at a time and place announced by a later State PFD requirements for at least some this project by submitting comments notice in the Federal Register. categories of recreational vessels, and related material about the need for, Please consider and respond to the boaters, or activities. or alternatives to, Federal requirements following questions: After summarizing the comments and incentives for recreational boaters 1. Several States have imposed (copy in the public docket for this to wear lifejackets under the specific various requirements for wearing notice), we consulted with NBSAC at its circumstances listed in this notice. We lifejackets—by children, during water- meetings in October 1998 and April emphasize that we are not skiing, aboard PWC, canoes and kayaks, 1999 regarding the results. The Council contemplating such requirements or and sailboards, and so on. Should we recommended that we publish another incentives for commercial vessels, for continue to let individual States notice of request for comments, one that larger recreational vessels, or for all determine their own requirements for would focus more on the need to recreational boaters under all wearing lifejackets? Or should we propose rules calling for mandatory circumstances. We encourage you to propose Federal rules to— wear for children, for operators of answer all of the following questions. a. Ensure that, if States do issue Personal Watercraft (PWC), and for We even encourage you to provide requirements for wearing lifejackets, people being towed behind recreational information on any subject related to those requirements be consistent with vessels. those questions if you feel your one another? We have considered the comment addresses an issue we need to b. Preempt the several States from recommendations of NBSAC (also in the consider. We also solicit comments from issuing any such requirements at all? public docket for this notice), the all segments of the recreational boating c. Apply only on those navigable comments we received in response to community, from State boating safety waters where no State has issued the initial notice, and drowning authorities, from NBSAC, from the requirements for wearing lifejackets? statistics from reports on recreational National Association of State Boating 2. Should we propose Federal rules boating accidents. In this notice, we are Law Administrators (NASBLA), and requiring that any or all of the following again inviting comments from the from other interested people, groups, recreational boaters wear lifejackets public, but only targeting vessels less and businesses, large or small, on the while underway? If so, which? than 16 feet in length, which should economic or other effects of any such a. Any child under 13 years of age, or include specific groups of high-risk requirements or incentives. under some other age? recreational vessels, boaters, and If you submit comments, please b. Any boater on a recreational vessel activities. include your name and address, identify less than 16 feet in length, less than 20 Recreational boating has grown the docket number for this notice feet in length, or some other length? dramatically over the last 20 years. Over (USCG–1999–6219), indicate the c. Any boater on a specific type of those years, there have been fewer and specific section of this document to recreational vessel, such as an open fewer deaths, thanks in part to ongoing which each comment applies, and give motorboat, a PWC, a sailboat, a
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Administrative Requirements should the rule not apply when a vessel Review. Finally, EPA proposes to A. Executive Order 12866 capable of rendering assistance rescind from the SIP 36 District rules B. Executive Order 12875 accompanies the first vessel? that will be replaced by the rules C. Executive Order 13045 f. Any boater on a recreational vessel mentioned above. All of these rules D. Executive Order 13084 E. Regulatory Flexibility Act operating either in certain water or were submitted by the State of F. Unfunded Mandates weather—such as fast currents, white California on behalf of the District as a water, high tides, cold weather, or gale- requested SIP revision to satisfy certain I. What Action is EPA Proposing? force winds—or where the recreational federal requirements for an approvable A. Today’s Proposed Actions vessel is, or could drift to, more than a NSR SIP. EPA’s proposed actions on NSR rules given distance from land. DATES: EPA is requesting comments on submitted by the District are g. Any boater on a recreational vessel all aspects of the requested SIP revision summarized in Tables 1, 2, and 3 below. defined by a specific combination of the and EPA’s proposed rulemaking action. boater’s age, the vessel’s type and size, Comments on this proposed action must TABLE 1.ÐEPA PROPOSES APPROVAL its operation, and the prevailing water be received in writing by November 4, or weather? 1999. Rule Rule title 3. Should we propose any Federal ADDRESSES: To submit comments or No. rules that allow alternatives to wearing receive further information, please Coast Guard approved lifejackets? If so, contact Roger Kohn, Environmental 501 ...... General Permit Requirements. which alternatives? And if so, for which Protection Specialist, Permits Office, Air 520 ...... Enhanced Monitoring and Compli- ance Certification. vessels, activities, water or weather, or Division (AIR–3), EPA Region 9, 75 boaters? 524 ...... Emission Reduction Credits. Hawthorne Street, San Francisco, CA 525 ...... Priority Reserve. 4. Please describe any nonregulatory 94105. Copies of the State’s submittal ways to reduce the number of deaths by and other information are available for drowning, that are achievable at lower inspection during normal business TABLE 2.ÐEPA PROPOSES LIMITED cost or with less burden than by Federal hours at the following locations: (1) EPA APPROVAL AND LIMITED DISAPPROVAL rules for wearing lifejackets. Region 9, 75 Hawthorne Street, San Dated: September 28, 1999. Francisco, CA 94105; (2) California Air Rule Rule title Terry M. Cross, Resources Board, 2020 L Street, No. Rear Admiral, U.S. Coast Guard, Acting Sacramento, CA 95814; (3) El Dorado 523 ...... New Source Review. Assistant Commandant for Operations. County Air Pollution Control District, [FR Doc. 99–25864 Filed 10–4–99; 8:45 am] 2850 Fairlane Ct., Bldg. C, Placerville, BILLING CODE 4910±15±P CA 95667–4100. A courtesy copy of TABLE 3.ÐEPA PROPOSES these rules may be available via the RESCISSION FROM SIP Internet at http://arbis.arb.ca.gov/drdb/ ENVIRONMENTAL PROTECTION ed/cur.htm. These versions of the Rule No Rule title AGENCY District rules, however, may be different from the versions submitted to EPA for 401 VariousÐrefer to TSD. approval. Readers are cautioned to throu- 40 CFR Part 52 gh verify that the adoption date of the rule [CA083±0182; FRL±6452±2] 407. listed is the same as the rule submitted 410, Clean Air Act Approval and to EPA for approval. The official 411 Promulgation of New Source Review submittals are available only at the three 415, Implementation Plan for El Dorado addresses listed above. 416 County Air Pollution Control District FOR FURTHER INFORMATION CONTACT: 418 Roger Kohn, Permits Office, (AIR–3), Air throu- gh AGENCY: Environmental Protection Division, U.S. Environmental Protection Agency (EPA). 425 Agency, Region IX, 75 Hawthorne 501 ACTION: Proposed rule. Street, San Francisco, CA 94105–3901, throu- Telephone: (415) 744–1238 E-mail: gh SUMMARY: The EPA proposes three [email protected] 508 actions on rules submitted by El Dorado SUPPLEMENTARY INFORMATION: 510 Air Pollution Control District (District or throu- EDCAPCD) for the purpose of meeting I. What Action is EPA Proposing? gh requirements of the Clean Air Act, as A. Today’s Proposed Actions 513 amended in 1990 (CAA or Act), with B. Limited Approval and Limited 515 Disapproval of Rule 523 517 regard to new source review (NSR) in C. Full Approval of Rules 501, 520, 524, areas that have not attained the national throu- and 525 gh ambient air quality standards (NAAQS). D. Recission of 36 Rules 519 First, EPA proposes to approve the E. 1982 NSR SIP Conditional Approval 521 following rules into State II. Rule 523 Deficiencies
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B. Limited Approval and Limited the issuance of permits. In addition to credits can be obtained by new sources Disapproval of Rule 523 these substantive requirements, the rule and used as offsets. Rule 524 satisfies EPA is proposing limited approval also contains twelve definitions and EPA criteria that all emission reductions and limited disapproval of El Dorado twelve exemptions. EPA has reviewed used as offsets be real, surplus, County Air Pollution Control District the submitted rule for consistency with quantifiable, enforceable and (EDCAPCD) Rule 523, New Source applicable requirements of the Act. The permanent. Rule 525, Priority Reserve, is a Review into the California SIP. This rule standards and definitions in the rule are mechanism to provide loans of emission consists of definitions and standards, consistent with the CAA and EPA regulations, and the rule does not reductions for essential public services including applicability, major source exempt any stationary sources that are (publicly owned and operated sources and major modification definitions, subject to federal review under the Act. such as sewage treatment plants). The offsets, and Best Available Control Therefore, EPA proposes to approve rule requires, pursuant to Rule 524 Technology. EPA is proposing Rule 501 into the SIP. (Emission Reduction Credits), that all simultaneous limited approval and Rule 501 contains a provision that offsets in the Priority Reserve bank be limited disapproval of this rule because, states that an Authority to Construct real, enforceable, quantifiable, and while it strengthens the SIP, it also does (ATC) permit ‘‘shall remain in effect permanent. Therefore Rule 525 is not fully meet the CAA provisions until a permit to operate the equipment consistent with CAA requirements and regarding plan submissions and is granted or denied or the application EPA policy and EPA proposes approval requirements for nonattainment areas. is cancelled.’’ The expiration of ATC into the SIP. The deficiencies that are the basis for permits upon issuance of permits to D. Recission of 36 Rules our action are identified in section II operate (PTO) appears to conflict with below. A detailed discussion of the rule EPA policy, which requires that terms On April 26, 1994, EDCAPCD deficiencies is included in the and conditions of ATCs remain in effect repealed 43 rules and adopted four new Technical Support Document (TSD) for for the life of a facility. While the rules to replace them. Thirty-six of the this rulemaking. EDCAPCD provision is not the approach repealed rules remained federally If our final action remains a limited favored by EPA, we believe the District’s enforceable because they are still in the approval and limited disapproval, the rule is approvable because PTOs will El Dorado County SIP. In its May 24, action would constitute a disapproval contain the same permanent, 1994 submittal to EPA, the California under section 179(a)(2) of the Act (see enforceable conditions that were in the Air Resources Board (CARB) requested 57 FR 13566–13567). As provided under ATCs. EPA interprets the rule to mean that EPA rescind the repealed rules from section 179(a) of the Act, the District that when a PTO is issued, all the SIP. The repealed rules, which are would have up to 18 months after a final substantive terms and conditions of the no longer enforced by the District, SIP disapproval to correct the ATC permit must be incorporated into constituted EDCAPCD’s stationary deficiencies that are the subject of the the PTO. This includes, but is not source permitting program at the time disapproval before EPA is required to limited to, emission limits, and all they were approved into the SIP in 1982 impose sanctions. If the District does monitoring, record-keeping, and and 1983. After the 1990 CAA not correct its SIP deficiencies within 18 reporting necessary to verify amendments, however, the District months, then section 179(a)(4) requires compliance. substantially revised its rules to include the immediate application of sanctions. Since EPA views ATC terms and the substantive nonattainment new According to section 179(b), sanctions conditions as federally enforceable (see source review requirements mandated can take the form of a loss of highway section 113(b)(1) of the CAA and 40 CFR by the 1990 amendments. The rules that funds or a two to one emissions offset 52.23), these conditions remain EPA is proposing to rescind from the ratio. Once the Administrator applies federally enforceable when they are SIP have been replaced by the more one of the section 179(b) sanctions, the incorporated into the PTO. stringent rules proposed for approval State will then have an additional six Rule 520, Enhanced Monitoring and and limited approval today. Thus, EPA months to correct any deficiencies. Compliance Certification, provides has determined that the recission of the Section 179(a)(4) requires that both standards by which compliance with 36 repealed rules is approvable because highway and offsets sanctions must be CAA requirements can be determined. they are being replaced in the SIP by applied if any deficiencies are still not The rule allows the use of any credible more stringent rules that satisfy corrected after the additional six month evidence, including but not limited to requirements mandated by the 1990 period. EPA or EPA-approved reference test amendments. A summary document In addition, a final disapproval would methods, compliance assurance that shows how the repealed rules trigger section 110(c) provisions for monitoring pursuant to 40 CFR part 64, correspond to the more stringent rules federal implementation plans. Section and periodic monitoring associated with that supercede them is included in the 110(c) requires EPA to promulgate a part 70 federal operating permits, to be docket for this rulemaking. federal implementation plan within two used to demonstrate compliance with years of disapproving a state federally enforceable permit conditions. E. 1982 NSR SIP Conditional Approval implementation plan submittal in whole This rule contains language In a 1982 final rulemaking action (47 or in part. recommended by EPA in a May 16, 1994 FR 29536, July 7, 1982), EPA SIP-call. Since the rule submittal was conditionally approved the C. Full Approval of Rules 501, 520, 524, responsive to the SIP-call and satisfies nonattainment area plan (NAP) for the and 525 the requirements of sections 110, 113, Mountain Counties Air Basin, which EPA is proposing to approve rules and 114 of the CAA, EPA proposes includes El Dorado County. As a result 501, 520, 524, and 525 into the approval into the SIP. of that action, 40 CFR 52.232 was California SIP. Rule 501, General Permit Rule 524, Emission Reduction Credits, amended to require El Dorado County to Requirements, contains procedures for allows the District to quantify, adjust, revise its NSR rules by October 30, 1985 the review of new stationary sources of and certify surplus emission reductions in order to correct deficiencies air pollution and the modification and for later use as offsets. This rule relates identified at the time. Today, we operation of existing sources through to new source review because these propose to delete from 40 CFR part 52
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00024 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53975 the requirement that the District correct demonstrates that such limitations are the reader should refer to the General NSR rule deficiencies identified when not achievable.’’ (40 CFR 51.165(a)(xiii)) Preamble for a more detailed discussion. EPA finalized the District’s NSR rules in This provision must be added to the The Act requires States to observe 1982 for the following reasons: definition. certain procedural requirements in • The current rules will, upon final D. Exemption for Regulatory developing implementation plans and approval, supercede the rules submitted Compliance plan revisions for submission to EPA. in 1981. Section 110(a)(2) and section 110(l) of • EPA has not taken action on any Section 523.1.G: This section allows the Act provide that each revisions to EDCAPCD NSR rules. an exemption from NSR for implementation plan or revision to an • EPA has not done a final modifications that are necessary to implementation plan submitted by a rulemaking to correct the deficiencies of comply with District prohibitory rules. State must be adopted after reasonable EDCAPCD NSR rules discussed in the This exemption for regulatory notice and public hearing. Section July 7, 1982 final rulemaking. compliance, as written, is not allowed • The District has revised and by the Clean Air Act. This provision 172(c)(7) of the Act provides that plan submitted new NSR rules to comply must be either deleted or revised to be provisions for nonattainment areas shall with the 1990 CAA amendments. consistent with EPA policy that allows meet the applicable provisions of Section 110(a)(2). II. Rule 523 Deficiencies exemptions for pollution control projects if certain substantive and Rules 501, 523, 524, and 525 were A. Offset Ratio for Severe Ozone procedural criteria are satisfied. (The adopted by the District Board of Nonattainment Area policy is described in a July 1, 1994 Directors on April 26, 1994. On that Section 523.3.C: This section allows memorandum entitled ‘‘Pollution date, the District also repealed 36 rules an offset ratio of 1.2 to 1.0 for Control Projects and New Source that are in the EDCAPCD SIP. The nonattainment pollutants if the offset is Review (NSR) Applicability’’, included newly adopted rules, along with a located within a 15-mile radius and in the docket for this rulemaking.) request to rescind the repealed rules within the District. Most of El Dorado Under this policy, the District could from the SIP, were subsequently County was designated as severe exempt such projects, provided that submitted by CARB to EPA as proposed nonattainment for ozone in 1995. they are environmentally beneficial and revisions to the California SIP on May Section 182(d)(2) of the CAA requires do not cause or contribute to a violation 24, 1994. Rule 520 was adopted by the offset ratios of at least 1.3 to 1.0 for such of a national ambient air quality District on June 27, 1995, and submitted areas, unless the SIP requires all standard, or PSD increment, or by CARB to EPA as a SIP revision on existing major sources in the adversely affect an air quality related October 13, 1995. The submitted rules, nonattainment area to apply Best value in a Class 1 area. which are new additions to the SIP, Available Control Technology (BACT). E. Interpollutant Trading constitute the District’s New Source Since the EDCAPCD SIP does not Review permitting regulations. contain such a provision, the District Section 523.3.D: This section allows interpollutant offsets (trading among Most of El Dorado County, except for must revise the ratio to comply with the that portion within the Lake Tahoe CAA requirement. different precursors to the same secondary pollutant), and must either be basin, is included in the Sacramento B. Offsetting Total Emissions removed or revised. There are no Metro Area, which is currently Section 523.3.B: This section contains provisions addressing interpollutant designated as severe nonattainment for offset thresholds, and requires new or trading in the CAA or EPA regulations. ozone. For all other pollutants, the modified sources to offset emissions The CAA and EPA regulations provide County is designated as attainment or that exceed these thresholds. Section only for trading (offsets) of the same unclassifiable with respect to the 173(c)(1) of the CAA requires that the pollutant. EPA has considered the NAAQS. District NSR rules therefore total tonnage of increased emissions be approvability of interpollutant trading if apply to all new or modified stationary offset, not just the amount of emissions certain criteria are met. If the District sources proposing to emit VOC or NOx that exceed the threshold. Accordingly, wishes to retain this provision, the in the nonattainment area. The the District must revise the rule to District must revise the rule to require nonattainment provisions must also satisfy this federal requirement. The adequate modeling to determine the apply to any source which would District could do this by either revising appropriate offset ratio, public contribute to a violation of the NAAQS. the rule to require that all new and notification, and EPA concurrence for The Clean Air Act requirements are modified sources that exceed federal all interpollutant trades. found at sections 172 and 173 for nonattainment NSR permitting. With offset thresholds offset down to zero, or III. How Did EPA Arrive at the certain exceptions, described in section by tracking offsets and demonstrating on Proposed Action? an on-going basis that the II above, the District’s submittal satisfies implementation of Rule 523 creates a The air quality planning requirements these requirements. For a detailed quantity of offsets that meets or exceeds for nonattainment NSR are set out in description of how the submitted rule CAA requirements. part D of title I of the Clean Air Act. EPA meets the applicable requirements, has issued a ‘‘General Preamble’’ please refer to EPA’s technical support C. Incomplete BACT Definition describing EPA’s preliminary views on document (TSD). Section 523.2.G: The definition of how EPA intends to review SIPs and SIP BACT in this section does not include revisions submitted under part D, IV. Administrative Requirements the most stringent emissions limitation including those State submittals A. Executive Order 12866 ‘‘which is contained in the containing nonattainment NSR SIP implementation plan of any State for requirements (see 57 FR 13498 (April The Office of Management and Budget such class or category of stationary 16, 1992) and 57 FR 18070 (April 28, (OMB) has exempted this regulatory source, unless the owner or operator of 1992)). Because EPA is describing its action from Executive Order (E.O.) the proposed stationary source interpretations here only in broad terms, 12866, Regulatory Planning and Review.
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B. Executive Order 12875 uniquely affects the communities of 427 U.S. 246, 255–66 (1976); 42 U.S.C. Under Executive Order 12875, Indian tribal governments, and that 7410(a)(2). imposes substantial direct compliance Enhancing the Intergovernmental F. Unfunded Mandates Partnership, EPA may not issue a costs on those communities, unless the Federal government provides the funds Under section 202 of the Unfunded regulation that is not required by statute Mandates Reform Act of 1995 and that creates a mandate upon a State, necessary to pay the direct compliance costs incurred by the tribal (‘‘Unfunded Mandates Act’’), signed local or tribal government, unless the into law on March 22, 1995, EPA must Federal government provides the funds governments, or EPA consults with those governments. If EPA complies by prepare a budgetary impact statement to necessary to pay the direct compliance accompany any proposed or final rule costs incurred by those governments, or consulting, Executive Order 13084 requires EPA to provide to the Office of that includes a Federal mandate that EPA consults with those governments. If may result in estimated annual costs to EPA complies by consulting, Executive Management and Budget, in a separately identified section of the preamble to the State, local, or tribal governments in the Order 12875 requires EPA to provide to aggregate; or to private sector, of $100 the Office of Management and Budget a rule, a description of the extent of EPA’s prior consultation with representatives million or more. Under section 205, description of the extent of EPA’s prior EPA must select the most cost-effective consultation with representatives of of affected tribal governments, a summary of the nature of their concerns, and least burdensome alternative that affected State, local and tribal achieves the objectives of the rule and governments, the nature of their and a statement supporting the need to issue the regulation. In addition, is consistent with statutory concerns, copies of any written requirements. Section 203 requires EPA communications from the governments, Executive Order 13084 requires EPA to develop an effective process permitting to establish a plan for informing and and a statement supporting the need to advising any small governments that issue the regulation. In addition, elected officials and other representatives of Indian tribal may be significantly or uniquely Executive Order 12875 requires EPA to impacted by the rule. develop an effective process permitting governments ‘‘to provide meaningful and timely input in the development of EPA has determined that the approval elected officials and other action promulgated does not include a representatives of State, local and tribal regulatory policies on matters that significantly or uniquely affect their Federal mandate that may result in governments ‘‘to provide meaningful estimated annual costs of $100 million and timely input in the development of communities.’’ Today’s rule does not significantly or uniquely affect the or more to either State, local, or tribal regulatory proposals containing governments in the aggregate, or to the significant unfunded mandates.’’ communities of Indian tribal governments. private sector. This Federal action Today’s rule does not create a mandate approves pre-existing requirements Accordingly, the requirements of on State, local or tribal governments. under State or local law, and imposes section 3(b) of E.O. 13084 do not apply The rule does not impose any no new requirements. Accordingly, no to this rule. enforceable duties on these entities. additional costs to State, local, or tribal Accordingly, the requirements of E. Regulatory Flexibility Act governments, or to the private sector, section 1(a) of E.O. 12875 do not apply result from this action. to this rule. The Regulatory Flexibility Act (RFA) generally requires an agency to conduct List of Subjects in 40 CFR Part 52 C. Executive Order 13045 a regulatory flexibility analysis of any Environmental protection, Air Protection of Children from rule subject to notice and comment pollution control, Intergovernmental Environmental Health Risks and Safety rulemaking requirements unless the relations, Nitrogen dioxide, Particulate Risks (62 FR 19885, April 23, 1997), agency certifies that the rule will not matter, Carbon monoxide, Reporting applies to any rule that: (1) is have a significant economic impact on and recordkeeping requirements, Sulfur determined to be ‘‘economically a substantial number of small entities. dioxide, Volatile organic compounds. significant’’ as defined under E.O. Small entities include small businesses, Dated: September 17, 1999. 12866, and (2) concerns an small not-for-profit enterprises, and environmental health or safety risk that small governmental jurisdictions. This Laura Yoshii, EPA has reason to believe may have a final rule will not have a significant Acting Regional Administrator, Region IX. disproportionate effect on children. If impact on a substantial number of small [FR Doc. 99–25835 Filed 10–4–99; 8:45 am] the regulatory action meets both criteria, entities because SIP approvals under BILLING CODE 6560±50±P the Agency must evaluate the section 110 and subchapter I, part D of environmental health or safety effects of the Clean Air Act do not create any new the planned rule on children, and requirements but simply approve ENVIRONMENTAL PROTECTION explain why the planned regulation is requirements that the State is already AGENCY imposing. Therefore, because the preferable to other potentially effective 40 CFR Part 258 and reasonably feasible alternatives Federal SIP approval does not create considered by the Agency. This rule is any new requirements, I certify that this [FRL±6451±8] not subject to E.O. 13045 because it is action will not have a significant does not involve decisions intended to economic impact on a substantial Rhode Island: Determination of mitigate environmental health or safety number of small entities. Moreover, due Adequacy for the State's Municipal risks. to the nature of the Federal-State Solid Waste Permit Program relationship under the Clean Air Act, D. Executive Order 13084 AGENCY: Environmental Protection preparation of flexibility analysis would Agency. Under Executive Order 13084, constitute Federal inquiry into the ACTION: Proposed rule. Consultation and Coordination with economic reasonableness of state action. Indian Tribal Governments, EPA may The Clean Air Act forbids EPA to base SUMMARY: The Environmental Protection not issue a regulation that is not its actions concerning SIPs on such Agency (EPA) proposes to issue a required by statute, that significantly or grounds. Union Electric Co. v. U.S. EPA, determination of adequacy for the State
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00026 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53977 of Rhode Island’s municipal solid waste capability of owners and operators of 40 CFR part 258 criteria. In addition, the landfill (MSWLF) permit program. MSWLFs while ensuring that these State must have the authority to issue a Under the Resource Conservation and facilities are designed and managed in permit or other notice of prior approval Recovery Act, as amended by the a manner that is protective of human and conditions to all new and existing Hazardous and Solid Waste health and the environment. MSWLFs in its jurisdiction. The State Amendments, States may develop and Section 4005(c)(1)(B) of Subtitle D of also must provide for public implement permit programs for the Resource Conservation and participation in permit issuance and MSWLFs for review and an adequacy Recovery Act (RCRA), as amended by enforcement, as required in RCRA determination by EPA. This proposed the Hazardous and Solid Waste Section 7004(b). Finally, the State must rule would document EPA’s Amendments of 1984, requires States to demonstrate that it has sufficient determination that Rhode Island’s develop and implement permit compliance monitoring and MSWLF permit program is adequate to programs to ensure that MSWLFs will enforcement authorities to take specific ensure compliance with Federal comply with the 40 CFR part 258 action against any owner or operator MSWLF requirements. criteria. RCRA Section 4005(c)(1)(C) that fails to comply with an approved DATES: Submit comments and requests requires EPA to determine whether the permit program. EPA expects States to for public hearing on or before permit programs that States develop and meet all of these requirements for all November 4, 1999. See the implement for these facilities are elements of a permit program before it SUPPLEMENTARY INFORMATION section for adequate. gives full approval to a State’s program. additional information. To fulfill this requirement to determine whether State permit II. State of Rhode Island ADDRESSES: Mail all comments and programs that implement the 40 CFR On March 18, 1994, Rhode Island requests for public hearing concerning part 258 criteria are adequate, EPA submitted a complete application for a this proposed rule to Michael Hill, promulgated the State Implementation determination of adequacy of its United States Environmental Protection Rule (SIR) (63 FR 57025, Oct. 23, 1998). MSWLF permit program to EPA. EPA Agency, Region 1, One Congress Street, The SIR, which established Part 239 of reviewed the application and requested Suite 1100, Mail Code CHW, Boston, Title 40 of the CFR (40 CFR part 239), additional information about program MA 02114. Copies of Rhode Island’s has the following four purposes: (1) It implementation. Rhode Island provided application for a determination of spells out the requirements that State this information. As a result of the adequacy are available at the following programs must satisfy to be determined review process, Rhode Island identified locations for inspection and copying: (1) adequate; (2) it confirms the process for certain deficiencies in its MSWLF During the hours of 8:00 a.m. to 4:00 EPA approval or partial approval of permit program regulations, and it p.m., Rhode Island Department of State permit programs for MSWLFs; (3) proposed revisions to make the program Environmental Management, 235 it provides the procedures for consistent with the Federal minimum Promenade Street, Providence, RI, Attn: withdrawal of such approvals; and (4) it criteria under 40 CFR part 258. On Mr. Christopher Shafer, telephone establishes a flexible framework for March 23, 1995, EPA provided Rhode number: (401) 222–2797, ext. 7511; and modifications of approved programs. Island with its comments regarding the (2) during the hours of 8:00 a.m. to 5:00 Only those owners and operators application and acknowledged that p.m., United States Environmental located in States with approved permit Rhode Island had proposed to revise the Protection Agency, Region 1, One programs for MSWLFs can use the site- MSWLF permit program regulations. Congress Street, Suite 1100, Boston, MA specific flexibility provided by 40 CFR Rhode Island provided EPA with these 02203, Attn: Ellen Culhane, telephone part 258, to the extent the State permit proposed revisions, subject to public number: (617) 918–1225. program allows such flexibility. Every comment, on August 28, 1995. On FOR FURTHER INFORMATION CONTACT: standard in the 40 CFR part 258 criteria September 25, 1995, EPA informed Michael Hill, United States is designed to be implemented by the Rhode Island that it had (1) completed Environmental Protection Agency, owner or operator with or without its review of the proposed revisions, and Region 1, One Congress Street, Suite oversight or participation by EPA or the (2) determined that upon their adoption 1100, Mail Code CHW, Boston, MA State regulatory agency. States with as written, EPA would publish a 02114; telephone number: (617) 918– approved programs may choose to tentative full determination of adequacy 1398. require facilities to comply with the 40 for the State’s MSWLF permit program SUPPLEMENTARY INFORMATION: CFR part 258 criteria exactly, or they in the Federal Register. Before may choose to allow owners and publication of this notice, however, I. Background operators to use site-specific alternative Rhode Island further amended its On October 9, 1991, the approaches to meet the Federal criteria. MSWLF permit program regulations. It Environmental Protection Agency (EPA) The flexibility that an owner or operator made these amendments in order to promulgated the ‘‘Solid Waste Disposal may be allowed under an approved satisfy certain State law requirements Facility Criteria: Final Rule’’ (56 FR State program can provide a significant and conform the regulations to certain 50978, Oct. 9, 1991). That rule reduction in the burden associated with Rhode Island Department of established Part 258 of Title 40 of the complying with the 40 CFR part 258 Environmental Management (RIDEM) Code of Federal Regulations (CFR) (40 criteria. Regardless of the approval recycling requirements, and because of CFR part 258). The criteria set out in 40 status of a State and the permit status of a RIDEM reorganization. The revised CFR part 258 include location any facility, the 40 CFR part 258 criteria MSWLF permit program regulations restrictions and standards for design, shall apply to all permitted and became effective on January 30, 1997. operation, groundwater monitoring, unpermitted MSWLFs. EPA reviewed these regulations and corrective action, financial assurance To receive a determination of requested additional information about and closure and post-closure care for adequacy for a MSWLF permit program program implementation, which Rhode municipal solid waste landfills under the SIR, a State must have Island provided. (MSWLFs). The 40 CFR part 258 criteria enforceable standards for new and Based on its review, EPA has establish minimum Federal standards existing MSWLFs. These State standards tentatively determined that all portions that take into account the practical must be technically comparable to the of Rhode Island’s MSWLF permit
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00027 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53978 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules program meet all the requirements wishes to learn whether the hearing will officials and other representatives of necessary to qualify for full program be held may call the EPA representative State, local and tribal governments ‘‘to approval and ensure compliance with listed in the CONTACTS section above. provide meaningful and timely input in the 40 CFR part 258 criteria. The State will participate in the public the development of regulatory proposals By finding that Rhode Island’s hearing if it is held. containing significant unfunded MSWLF permit program is adequate, Copies of Rhode Island’s application mandates.’’ EPA does not intend to affect the rights are available for inspection and copying Today’s action implements of Federally recognized Indian Tribes in at the location indicated in the requirements specifically set forth by Rhode Island, nor does it intend to limit ADDRESSES section of this proposed rule. the Congress in Sections 4005(c)(1)(B) the existing rights of the State of Rhode and (c)(1)(C) of Subtitle D of RCRA, as Island. In addition, nothing in this IV. Regulatory Assessments amended, without the exercise of any action should be construed as making A. Compliance With Executive Order discretion by EPA. Accordingly, the any determinations or expressing any 12866: Regulatory Planning and Review requirements of Section 1(a) of E.O. position with regard to Rhode Island’s 12875 do not apply to today’s action. audit law (R.I. Gen. Laws §§ 42–17.8–1 Under Executive Order (E.O.) 12866 C. Compliance With E.O. 13045— to 8–8). The action taken here does not (58 FR 51735, Oct. 4, 1993), EPA must Children’s Health Protection express or imply any viewpoint on the determine whether any proposed or question of whether there are legal final regulatory action is ‘‘significant’’ E.O. 13045, entitled ‘‘Protection of deficiencies in this or any other and therefore subject to Office of Children from Environmental Health Federally authorized, delegated, or Management and Budget (OMB) review Risks and Safety Risks’’ (62 FR 19885, approved program resulting from the and the requirements of the Executive Apr. 23, 1997) applies to any rule that effect of Rhode Island’s audit law. Order. The order defines ‘‘significant (1) is determined to be ‘‘economically RCRA Section 4005(a) provides that regulatory action’’ as one that is likely significant’’ as defined under E.O. citizens may use the citizen suit to result in a rule that may: 12866, and (2) concerns an provisions of RCRA Section 7002 to (1) Have an annual effect on the environmental health or safety risk that enforce the 40 CFR part 258 criteria economy of $100 million or more, or EPA has reason to believe may have a independent of any State enforcement adversely affect in a material way the disproportionate effect on children. If program. EPA expects that any owner or economy, a sector of the economy, the regulatory action meets both criteria, operator complying with provisions in a productivity, competition, jobs, the EPA must evaluate the environmental State program approved by EPA should environment, public health or safety, or health or safety effects of the planned be considered to be in compliance with State, local, or tribal governments or rule on children, and explain why the the 40 CFR Part 258 criteria. communities; planned regulation is preferable to other (2) create a serious inconsistency or potentially effective and reasonably III. Public Comments and Public otherwise interfere with an action taken feasible alternatives considered by EPA. Hearing or planned by another Agency; EPA interprets E.O. 13045 as applying The public may submit written (3) materially alter the budgetary only to those regulatory actions that are comments on this proposed rule. The impact of entitlements, grants, user fees, based on health or safety risks, such that deadline for submitting written or loan programs, or the rights and the analysis required under Section 5– comments is in the DATES section of obligations of recipients thereof; or 501 of the Order has the potential to this proposed rule. EPA will consider (4) raise novel legal or policy issues influence the regulation. Today’s action all public comments on this proposed arising out of legal mandates, the is not subject to E.O. 13045 because it rule that it receives during the public President’s priorities, or the principles does not establish an environmental comment period and during any public set forth in the Executive Order. standard intended to mitigate health or hearing, if held. Issues raised by those OMB has exempted today’s action safety risks. comments may be the basis for a from E.O. 12866 review. determination of inadequacy for Rhode D. Compliance With E.O. 13084— B. Compliance With E.O. 12875— Island’s program. EPA will make a final Consultation and Coordination With Enhancing the Intergovernmental decision on approval of the State of Indian Tribal Governments Partnership Rhode Island’s program and will Under E.O. 13084, EPA may not issue publish the final rule in the Federal Under E.O. 12875, EPA may not issue a regulation that is not required by Register. The final rule shall include a a regulation that is not required by statute, that significantly or uniquely summary of the reasons for the final statute and that creates a mandate upon affects the communities of Indian tribal determination and responses to all a State, local or tribal government, governments, and that imposes significant comments. unless the Federal government provides substantial direct compliance costs on Although RCRA does not require EPA the funds necessary to pay the direct those communities, unless the Federal to hold a public hearing on a tentative compliance costs incurred by those government provides the funds determination to approve any State’s governments, or EPA consults with necessary to pay the direct compliance MSWLF permit program, EPA will hold those governments. If EPA complies by costs incurred by the tribal a public hearing on this determination consulting, E.O. 12875 requires EPA to governments, or EPA consults with if enough persons express interest by provide to OMB a description of the those governments. If EPA complies by either writing to EPA at the address in extent of EPA’s prior consultation with consulting, E.O. 12875 requires EPA to the ADDRESSES section above or calling representatives of affected State, local provide to OMB, in a separately the EPA representative listed in the and tribal governments, the nature of identified section of the preamble to CONTACTS section above within thirty their concerns, any written today’s action, a description of the (30) days of the date of publication of communications from the governments, extent of EPA’s prior consultation with this proposed rule. EPA will notify all and a statement supporting the need to representatives of affected tribal persons who submit comments on this issue the regulation. In addition, E.O. governments, a summary of the nature notice if there is public interest in a 12875 requires EPA to develop an of their concerns, and a statement hearing. In addition, anyone who effective process permitting elected supporting the need to issue the
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00028 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 53979 regulation. In addition, E.O. 13084 States prior to publication of the rule in of $100 million or more to State, local, requires EPA to develop an effective the Federal Register. This action is not and tribal governments in the aggregate, process permitting elected and other a ‘‘major rule’’ as defined by 5 U.S.C. or to the private sector, in any one year. representatives of Indian tribal 804(2). This is due to the additional flexibility governments ‘‘to provide meaningful that the State can generally exercise G. Compliance With the Unfunded and timely input in the development of (which will reduce, not increase, Mandates Reform Act regulatory policies on matters that compliance costs). Moreover, this significantly or uniquely affect their Title II of the Unfunded Mandates tentative determination will not communities.’’ Reform Act of 1995 (UMRA), Public significantly or uniquely affect small Today’s action implements Law 104–4, establishes requirements for governments including Tribal small requirements specifically set forth by Federal agencies to assess the effects of governments. As to the applicant, the Congress in Sections 4005(c)(1)(B) and their regulatory actions on State, local, State has received notice of the (c)(1)(C) of Subtitle D of RCRA, as and tribal governments and the private requirements of an approved program, amended, without the exercise of any sector. Under section 202 of the UMRA, has had meaningful and timely input discretion by EPA. Accordingly, the EPA generally must prepare a written into the development of the program requirements of Section 3(b) of E.O. statement, including a cost-benefit requirements, and is fully informed as 13084 do not apply to today’s action. analysis, for proposed and final rules to compliance with the approved with ‘‘Federal mandates’’ that may program. Thus, any applicable E. Compliance With the Regulatory result in expenditures to State, local, Flexibility Act requirements of section 203 of the Act and tribal governments, in the aggregate, have been satisfied. EPA has determined that this or to the private sector, of $100 million tentative determination of adequacy will or more in any one year. Before H. Compliance With E.O. 12898— not have a significant adverse economic promulgating an EPA rule for which a Environmental Justice impact on a substantial number of small written statement is needed, section 205 EPA is committed to addressing entities. The MSWLF revised criteria in of UMRA generally requires EPA to environmental justice concerns and is 40 CFR part 258 provide directors of identify and consider a reasonable assuming a leadership role in States with approved programs the number of regulatory alternatives and environmental justice initiatives to authority to exercise discretion and to adopt the least costly, most cost- enhance environmental quality for all modify various Federal requirements. effective, or least burdensome residents of the United States. The Directors of approved States may alternative that achieves the objectives Agency’s goals are to ensure that no modify certain of these Federal of the rule. The provisions of UMRA segment of the population, regardless of requirements to make them more section 205 do not apply when they are race, color, national origin, or income flexible on either a site-specific or State- inconsistent with applicable law. bears disproportionately high and wide basis. In many cases, exercise of Moreover, UMRA section 205 allows adverse human health and this flexibility results in a decrease in EPA to adopt an alternative other than environmental effects as a result of burden or economic impact upon the least costly, most cost-effective or EPA’s policies, programs, and activities, owners or operators of MSWLFs. Thus, least burdensome alternative, if the and all people live in clean and with EPA’s determination that the Administrator publishes with the final sustainable communities. EPA does not Rhode Island MSWLF permitting rule an explanation of why that believe that today’s proposed rule will program is adequate, the burden on alternative was not adopted. Before EPA have a disproportionately high and MSWLF owners and operators in that establishes any regulatory requirements adverse environmental or economic State that are also small entities should that may significantly or uniquely affect impact on any minority or low-income be reduced. Moreover, because small small governments, including tribal group, or on any other type of affected entities that own or operate MSWLFs governments, it must have developed, community. are already subject to the requirements under section 203 of UMRA, a small I. Compliance With the National in 40 CFR part 258 (although some government agency plan. The plan must Technology Transfer and Advancement small entities may already be exempted provide for notifying potentially Act from certain of these requirements, such affected small governments, enabling as the groundwater monitoring and officials of affected small governments Section 12(d) of the National design provisions (40 CFR 258.1(f)(1)), to have meaningful and timely input in Technology Transfer and Advancement today’s action does not impose any the development of EPA regulatory Act of 1995 (‘‘NTTAA’’), Public Law additional burdens on them. proposals with significant Federal 104–113, section 12(d) (15 U.S.C. 272 intergovernmental mandates, and note) directs EPA to use voluntary F. Compliance With the Congressional informing, educating, and advising consensus standards in its regulatory Review Act small governments on compliance with activities unless to do so would be The Congressional Review Act, 5 the regulatory requirements. inconsistent with applicable law or U.S.C. 801 et seq., as added by the Small Today’s action contains no Federal otherwise impractical. Voluntary Business Regulatory Enforcement mandates (under the regulatory consensus standards are technical Fairness Act of 1996, generally provides provisions of Title II of the UMRA) for standards (e.g., materials specifications, that before a rule may take effect, the State, local or tribal governments or the test methods, sampling procedures, and agency promulgating the rule must private sector. It implements mandates business practices) that are developed or submit a rule report, which includes a specifically and explicitly set forth by adopted by voluntary consensus copy of the rule, to each House of the the Congress in Sections 4005(c)(1)(B) standards bodies. The NTTAA directs Congress and to the Comptroller General and (c)(1)(C) of Subtitle D of RCRA, as EPA to provide Congress, through OMB, of the United States. EPA will submit a amended, without the exercise of any explanations when the Agency decides report containing this rule and other policy discretion by EPA. In any event, not to use available and applicable required information to the U.S. Senate, EPA does not believe that this tentative voluntary consensus standards. This the U.S. House of Representatives, and determination of the State program’s proposed rulemaking does not involve the Comptroller General of the United adequacy will result in estimated costs technical standards. Therefore, EPA is
VerDate 22-SEP-99 19:11 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00029 Fmt 4702 Sfmt 4702 E:\FR\FM\05OCP1.XXX pfrm08 PsN: 05OCP1 53980 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules not considering the use of any voluntary ADDRESSES: The proposed base flood Regulatory Flexibility Act consensus standards. elevations for each community are The Associate Director for Mitigation available for inspection at the office of List of Subjects in 40 CFR Part 258 certifies that this proposed rule is the Chief Executive Officer of each exempt from the requirements of the Environmental protection, Adequacy, community. The respective addresses Regulatory Flexibility Act because Administrative practice and procedure, are listed in the following table. proposed or modified base flood Municipal solid waste landfills, Non- FOR FURTHER INFORMATION CONTACT: elevations are required by the Flood hazardous solid waste, State permit Matthew B. Miller, P.E., Chief, Hazards Disaster Protection Act of 1973, 42 program approval. Study Branch, Mitigation Directorate, U.S.C. 4104, and are required to Authority: 42 U.S.C. 6912, 6945, 6949(a). 500 C Street SW., Washington, DC establish and maintain community Dated: September 23, 1999. 20472, (202) 646–3461, or (e-mail) eligibility in the NFIP. No regulatory John P. DeVillars, [email protected]. flexibility analysis has been prepared. Regional Administrator, Region I. SUPPLEMENTARY INFORMATION: The Regulatory Classification [FR Doc. 99–25839 Filed 10–4–99; 8:45 am] Federal Emergency Management Agency This proposed rule is not a significant BILLING CODE 6560±50±P proposes to make determinations of base regulatory action under the criteria of flood elevations and modified base Section 3(f) of Executive Order 12866 of flood elevations for each community September 30, 1993, Regulatory listed below, in accordance with Section FEDERAL EMERGENCY Planning and Review, 58 FR 51735. MANAGEMENT AGENCY 110 of the Flood Disaster Protection Act of 1973, 42 U.S.C. 4104, and 44 CFR Executive Order 12612, Federalism 44 CFR Part 67 67.4(a). This proposed rule involves no These proposed base flood and [Docket No. FEMA±7298] policies that have federalism modified base flood elevations, together implications under Executive Order Proposed Flood Elevation with the floodplain management criteria 12612, Federalism, dated October 26, Determinations required by 44 CFR 60.3, are the 1987. minimum that are required. They AGENCY: Federal Emergency should not be construed to mean that Executive Order 12778, Civil Justice Management Agency (FEMA). the community must change any Reform ACTION: Proposed rule. existing ordinances that are more This proposed rule meets the stringent in their floodplain applicable standards of Section 2(b)(2) SUMMARY: Technical information or management requirements. The of Executive Order 12778. comments are requested on the community may at any time enact proposed base (1% annual chance) flood stricter requirements of its own, or List of Subjects in 44 CFR Part 67 elevations and proposed base flood pursuant to policies established by other Administrative practice and elevation modifications for the Federal, State, or regional entities. procedure, Flood insurance, Reporting communities listed below. The base These proposed elevations are used to and recordkeeping requirements. flood elevations and modified base meet the floodplain management Accordingly, 44 CFR Part 67 is flood elevations are the basis for the requirements of the NFIP and are also proposed to be amended as follows: floodplain management measures that used to calculate the appropriate flood the community is required either to insurance premium rates for new PART 67Ð[AMENDED] adopt or to show evidence of being buildings built after these elevations are already in effect in order to qualify or made final, and for the contents in these 1. The authority citation for Part 67 remain qualified for participation in the buildings. continues to read as follows: National Flood Insurance Program Authority: 42 U.S.C. 4001 et seq.; (NFIP). National Environmental Policy Act Reorganization Plan No. 3 of 1978, 3 CFR, DATES: The comment period is ninety This proposed rule is categorically 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, (90) days following the second excluded from the requirements of 44 3 CFR, 1979 Comp., p. 376. § 67.4. publication of this proposed rule in a CFR Part 10, Environmental 2. The tables published under the newspaper of local circulation in each Consideration. No environmental authority of § 67.4 are proposed to be community. impact assessment has been prepared. amended as follows:
#Depth in feet above ground. *Elevation in feet. State City/town/county Source of flooding Location (NGVD) Existing Modified
Colorado ...... Breckenridge Blue River Middle Branch Approximately 1,160 feet upstream of None *9,350 (Town) Summit County Road 3. County. Approximately 1,800 feet upstream of None *9,631 South Park Drive. Cucumber Gulch ...... Approximately 100 feet upstream of con- None *9,457 fluence with Blue River Middle Branch. Approximately 50 feet upstream of Airport None *9,469 Road. Illinois Gulch ...... At confluence with Blue River Middle *9,615 *9,615 Branch.
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#Depth in feet above ground. *Elevation in feet. State City/town/county Source of flooding Location (NGVD) Existing Modified
Approximately 200 feet upstream of None *9,743 Boreas Pass Road. Jones Gulch ...... Approximately 1,250 feet upstream from None *9,623 confluence with Blue River. Approximately 2,300 feet upstream from None *9,665 confluence with Blue River. Maps are available for inspection at the Engineering Office, 150 Ski Hill Road, Breckenridge, Colorado. Send comments to The Honorable Steve West, Mayor, Town of Breckenridge, P.O. Box 588, Breckenridge, Colorado 80424.
Nevada ...... Washoe County Mogul Creek ...... At intersection with Interstate 80 Frontage None *4,680 and Incorporated Road. Areas. Approximately 1,050 feet None *4,737 upstream from Cliff View Court. Maps are available for inspection at Washoe County Engineering, 1001 East 9th Street, Reno, Nevada. Send comments to The Honorable Jim Galloway, Chairman, Washoe County Commission, P.O. Box 11130, Reno, Nevada 89520. Maps are available for inspection at the Community Development Office, 450 Sinclair Street, Reno, Nevada. Send comments to The Honorable Jeff Griffin, Mayor, City of Reno, P.O. Box 1900, Reno, Nevada 89505.
Texas ...... Harris County and White Oak Bayou (E±100± At confluence with Buffalo Bayou (W100± *38 *38 Incorporated 00±00). 00±00). Areas. Just upstream of West 18th Street ...... *50 *59 Just upstream of Lakeview Drive ...... *106 *107 Approximately 300 feet upstream of *133 *133 Huffmeister Road. Little White Oak Bayou At confluence with White Oak Bayou (E± *41 *43 E(±101±00±00). 100±00±00). Just upstream of West Rittenhouse ...... *82 *86 Brickhouse Gully (E115± At confluence with White Oak Bayou (E± *61 *68 00±00). 100±00±00). *89 *90 Just upstream of Campbell Road Ap- *101 *101 proximately 700 feet upstream of Talina Way. Cole Creek (E117±00±00) At confluence with White Oak Bayou (E± *67 *73 100±00±00). Approximately 1,300 feet upstream of None *104 Sommermeyer Road. Vogel Creek (E121±00± At confluence with White Oak Bayou (E± *77 *77 00). 100±00±00). Just upstream of West Gulf Bank Road ... *86 *85 Just upstream of Silentwood Lane ...... *105 *108 Approximately 2,500 feet upstream of *115 *115 FairBanks-Fallbrook Road. Ditch (E141±00±00) ...... At confluence with White Oak Bayou (E± None *103 100±00±00). Approximately 9,200 feet upstream of None *108 Windfern Forest. Maps are available for inspection at Harris County Permits Division, 9900 North West Freeway, Houston, Texas. Send comments to The Honorable Robert Eckels, Harris County Judge, 1001 Preston Street, Suite 911, Houston, Texas 77002. Maps are available for inspection at the Planning and Development Office, 611 Walker, 6th Floor, Houston, Texas. Send comments to The Honorable Lee P. Brown, Mayor, City of Houston, P.O. Box 1562, Houston, Texas 77251. Maps are available for inspection at the Public Works Department, 16501 Jersey Drive, Houston, Texas. Send comments to The Honorable Steve Schneider, Mayor, City of Jersey Village, 16501 Jersey Drive, Houston, Texas 77040.
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(Catalog of Federal Domestic Assistance No. FOR FURTHER INFORMATION CONTACT: rule is exempt from the requirements of 83.100, ‘‘Flood Insurance’’) Matthew B. Miller, P.E., Chief, Hazards the Regulatory Flexibility Act because Dated: September 27, 1999. Study Branch, Mitigation Directorate, proposed or modified base flood Michael J. Armstrong, Federal Emergency Management elevations are required by the Flood Associate Director for Mitigation. Agency, 500 C Street SW., Washington, Disaster Protection Act of 1973, 42 [FR Doc. 99–25806 Filed 10–4–99; 8:45 am] DC 20472, (202) 646–3461, or (email) U.S.C. 4104, and are required to BILLING CODE 6718±04±P [email protected]. establish and maintain community SUPPLEMENTARY INFORMATION: The eligibility in the National Flood Federal Emergency Management Agency Insurance Program. As a result, a FEDERAL EMERGENCY (FEMA or Agency) proposes to make regulatory flexibility analysis has not MANAGEMENT AGENCY determinations of base flood elevations been prepared. and modified base flood elevations for Regulatory Classification. This 44 CFR Part 67 each community listed below, in proposed rule is not a significant [Docket No. FEMA±7295] accordance with section 110 of the regulatory action under the criteria of Flood Disaster Protection Act of 1973, section 3(f) of Executive Order 12866 of Proposed Flood Elevation 42 U.S.C. 4104, and 44 CFR 67.4(a). September 30, 1993, Regulatory Determinations These proposed base flood and Planning and Review, 58 FR 51735. modified base flood elevations, together Executive Order 12612, Federalism. AGENCY: Federal Emergency with the floodplain management criteria This proposed rule involves no policies Management Agency, FEMA. required by 44 CFR 60.3, are the that have federalism implications under ACTION: Proposed rule. minimum that are required. They Executive Order 12612, Federalism, should not be construed to mean that dated October 26, 1987. SUMMARY: Technical information or the community must change any comments are requested on the Executive Order 12778, Civil Justice existing ordinances that are more proposed base (1% annual chance) flood Reform. This proposed rule meets the stringent in their floodplain elevations and proposed base flood applicable standards of section 2(b)(2) of management requirements. The elevation modifications for the Executive Order 12778. community may at any time enact communities listed below. The base stricter requirements of its own, or List of Subjects in 44 CFR Part 67 flood elevations are the basis for the pursuant to policies established by other floodplain management measures that Administrative practice and Federal, state or regional entities. These the community is required either to procedure, Flood insurance, Reporting proposed elevations are used to meet adopt or to show evidence of being and recordkeeping requirements. the floodplain management already in effect in order to qualify or Accordingly, 44 CFR part 67 is requirements of the NFIP and are also remain qualified for participation in the proposed to be amended as follows: used to calculate the appropriate flood National Flood Insurance Program insurance premium rates for new (NFIP). PART 67Ð[AMENDED] buildings built after these elevations are DATES: The comment period is ninety made final, and for the contents in these 1. The authority citation for part 67 (90) days following the second buildings. continues to read as follows: publication of this proposed rule in a National Environmental Policy Act. newspaper of local circulation in each Authority: 42 U.S.C. 4001 et seq.; This proposed rule is categorically Reorganization Plan No. 3 of 1978, 3 CFR, community. excluded from the requirements of 44 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, ADDRESSES: The proposed base flood CFR Part 10, Environmental 3 CFR, 1979 Comp., p. 376. elevations for each community are Consideration. No environmental available for inspection at the office of impact assessment has been prepared. § 67.4 [Amended] the Chief Executive Officer of each Regulatory Flexibility Act. The 2. The tables published under the community. The respective addresses Associate Director, Mitigation authority of § 67.4 are proposed to be are listed in the following table. Directorate, certifies that this proposed amended as follows:
#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Alabama ...... Northport (City), ...... Twomile Creek ...... Approximately 100 feet upstream of con- *183 *184 fluence with Twomile Creek. Tuscaloosa County .. Tributary No. 5 ...... Approximately 710 feet upstream of con- *185 *186 fluence with Twomile Creek. Maps available for inspection at the City of Northport City Hall, 3500 McFarland Boulevard, Northport, Alabama. Send comments to The Honorable Wayne Rose, Mayor of the City of Northport, P.O. Box 569, Northport, Alabama 35476.
Alabama ...... Tuscaloosa (City), Bee Branch ...... At confluence with Hurricane Creek ...... None *214 Tuscaloosa Coun- Approximately 1,600 feet downstream of ty. westbound Route 59. Approximately 1,600 feet downstream of None *278 westbound Route 59. Cottondale Creek ..... At confluence with Cottondale Creek ...... *248 *249 Tributary No. 1 ...... Approximately 1,600 feet upstream of None *298 56th Street East Dam.
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Cottondale Creek At confluence with Cottondale Creek Trib- *267 *268 Tributary No. 1A. utary No. 1. Approximately 2,450 feet upstream of *289 *288 center point of Interstate 59 and 20/ QVC Road culvert. Cypress Creek ...... Approximately 2,400 feet downstream of *147 *148 Kauloosa Avenue. Approximately 800 feet downstream of *300 *301 Springshill Drive. Cribbs Mill Creek ..... Approximately 1,000 feet downstream of *180 *187 2nd Avenue East. Approximately 630 feet upstream of East *258 *259 17th Street. Moody Swamp Trib- Approximately 660 feet downstream of *141 *142 utary No. 2. 31st Street. Approximately 525 feet downstream of *163 *159 25th Street. Moody Swamp Trib- Approximately 175 feet downstream of *140 *141 utary No. 3. Martin Luther King Jr. Boulevard. Approximately 200 feet upstream of 10th *180 *179 Avenue. Maps available for inspection at the City of Tuscaloosa Planning Office, City Hall, 2201 University Boulevard, Tuscaloosa, Alabama. Send comments to The Honorable Alvin P. DuPont, Mayor of the City of Tuscaloosa, P.O. Box 2089, Tuscaloosa, Alabama 35403.
Alabama ...... Tuscaloosa County Bee Branch ...... Approximately 1,600 feet downstream of None *278 (Unincorporated Westbound Route 59. Areas) Approximately 400 feet downstream of None *284 Westbound Route 59. Maps available for inspection at the Tuscaloosa County Planning Department, 2902 6th Street, Tuscaloosa, Alabama. Send comments to The Honorable W. Hardy McCollum, Tuscaloosa County Probate Judge, P.O. Box 20067, Tuscaloosa, Alabama 35402± 0067.
Florida ...... Gulf County (Unin- Gulf of Mexico ...... Approximately 0.47 mile southeast of *6 *8 corporated Areas). intersection of State Route 30 and Sunset Avenue. Approximately 500 feet southwest of *10 *16 intersection of I±98 and Fourth Street. Approximately 250 feet east along High- None *7 way 30 of crossing of Highway 30 over Money Bayou. St. Joseph Bay ...... Approximately 1,000 feet east along Air- *7 *8 port Road from its intersection with Highway 30. At intersection of Jackson and Madison None *8 Streets. Approximately 500 feet east of intersec- *9 *12 tion of State Route 30 and Country Club Road. Maps available for inspection at the Gulf County Courthouse, 1000 Fifth Street, Room 147, Port St. Joe, Florida. Send comments to Mr. Tommy Knox, Chairman of the Gulf County Board of Commissioners, 1000 Fifth Street, Port St. Joe, Florida 32456.
Florida ...... Port St. Joe (City), St. Joseph Bay ...... At intersection of 11th Street and Palm None *8 Gulf County. Boulevard. Approximately 250 feet west of intersec- *10 *12 tion of Constitution Drive and 14th Street. At intersection of 16th Street and Long *7 *8 Avenue. Shallow Flooding ..... Approximately 200 feet southeast of inter- *10 *8 section of Fourth Street and Woodward Avenue. Maps available for inspection at the Port St. Joe Chamber of Commerce Office, 105 West 4th Street, Port St. Joe, Florida. Send comments to The Honorable Frank Pate, Jr., Mayor of the City of Port St. Joe, 305 Cecil G. Costin, Sr., Boulevard, Port St. Joe, Florida 32456.
Georgia ...... Blue Ridge (City), Mineral Springs Approximately 2,400 feet upstream of None *1,669 Fannin County. Creek. Pine Ridge Road.
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Approximately 2,500 feet upstream of None *1,671 Pine Ridge Road. Maps available for inspection at the Fannin County Land Development Office, 171 Church Street, Blue Ridge, Georgia. Send comments to The Honorable Robert Green, Mayor of the City of Blue Ridge, P.O. Box 2349, Blue Ridge, Georgia 30513.
Georgia ...... Fannin County (Un- Wilscot Creek ...... Approximately 580 feet downstream of None *1,726 incorporated Old Dial Road. Areas). Approximately 0.73 mile upstream of None *1,920 State Route 60. Sugar Creek ...... Approximately 50 feet downstream of None *1,509 CSX Transportation. At Maxwell Road ...... None *1,830 Stanley Creek ...... Approximately 200 feet downstream of None *1,764 Aska Road. Approximately 0.64 mile upstream of None *1,816 Stanley Creek Road. Big Creek ...... At confluence with Toccoa River ...... None *1,820 Approximately 1.53 miles upstream of Big None *1,943 Creek Road. Noontootla Creek ..... At confluence with Toccoa River ...... None *1,838 Approximately 1.04 miles upstream of None *2,025 Doublehead Gap Road. Fightingtown Creek .. Approximately 0.21 mile downstream of None *1,460 West Tennessee Avenue. Approximately 1.57 miles upstream of None *1,804 Old Highway 2. Cooper Creek ...... Approximately 0.51 mile downstream of None *2,004 Georgia Highway 60. Approximately 3.54 miles upstream of None *2,087 Georgia Highway 60. Hothouse Creek ...... Approximately 2.61 miles downstream of None *1,502 Georgia Highway 60. Approximately 1.35 miles upstream of None *1,681 Laurel Springs Road. Middle Reach Approximately 3.01 miles downstream of None *1,721 Toccoa River. Shallowford Road. Approximately 1.1 miles upstream of None *1,880 Doublehead Gap Road. Upper Reach Toccoa At confluence with Cooper Creek ...... None *2,002 River. Approximately 0.53 mile upstream of Pri- None *2,041 vate Drive (2nd). Hemptown Creek ..... Approximately 300 feet downstream of None *1,563 Cutcane Road. Approximately 0.87 mile upstream of None *1,804 Holly Ridge Lane. Lower Reach Toccoa Approximately 400 feet upstream from None *1,468 River. CSX Transportation. Approximately 600 feet upstream from None *1,468 CSX Transportaiton. Maps available for inspection at the Fannin County Land Development Office, 171 Church Street, Blue Ridge, Georgia. Send comments to Mr. Clive Bowers, Jr., Chairman of the Fannin County Board of Commissioners, 171 Church Street, Blue Ridge, Georgia 30513.
Georgia ...... McCaysville (City) Toccoa River ...... Approximately 200 feet south of intersec- None *1,468 Fannin County. tion of Hill Road and River Road. Maps available for inspection at the McCaysville City Hall, 223 Blue Ridge Drive, McCaysville, Georgia. Send comments to The Honorable Donney Dockery, Mayor of the City of McCaysville, P.O. Box 6, McCaysville, Georgia 30555.
Minnesota ...... Becker (City) Mississippi River ...... Approximately 1.875 miles upstream of None *913 Sherburne County. State Highway 25. Approximately 6.56 miles upstream of None *936 State Highway 25. Elk River ...... Approximately 900 feet upstream of None *947 County Highway 4. Approximately 2.56 miles upstream of None *951 County Highway 4.
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Maps available for inspection at the Becker City Hall, 12060 Sherburne Avenue, Becker, Minnesota. Send comments to The Honorable Judy Bowatz, Mayor of the City of Becker, P.O. Box 337, Becker, Minnesota 55308.
Minnesota ...... Elk River (City) Trott Brook ...... Approximately 0.75 mile downstream of None *880 Sherburne County. divergence of East Channel Trott Brook. Approximately 0.4 mile upstream of diver- None *887 gence of East Channel Trott Brook. Maps available for inspection at the Elk River City Hall, 13065 Orono Parkway, Elk River, Minnesota. Send comments to The Honorable Stephanie Klinging, Mayor of the City of Elk River, P.O. Box 490, Elk River, Minnesota 55330.
Minnesota ...... Sherburne County Mississippi River ...... Approximately 4.1 miles downstream of None *856 (Unincorporated U.S. Route 101. Areas). Approximately 0.51 mile downstream of None *971 St. Cloud Dam. Elk River ...... Approximately 1,000 feet upstream of None *947 County Highway 4. At Big Elk Lake ...... None *968 Maps available for inspection at the Sherburne County Planning and Zoning Department, 13880 Highway 10, Elk River, Minnesota. Send comments to Mr. Terry Nagorski, Chairperson of the Sherburne County Board of Commissioners, 13880 Highway 10, Elk River, Min- nesota 55330.
New Jersey ...... Morris Plains (Bor- Watnong Brook ...... Approximately 40 feet downstream of *370 *371 ough). West Hanover Avenue. Morris County ...... Approximately 780 feet upstream of Con- *448 *450 rail. Maps available for inspection at the Morris Plains Borough Clerks Office, 531 Speedwell Avenue, Morris Plains, New Jersey. Send comments to The Honorable Frank Dreutzler, Mayor of the Borough of Morris Plains, P.O. Box 305, 531 Speedwell Avenue, Morris Plains, New Jersey 07950.
New York ...... Cold Brook (Village) Cold Brook ...... Approximately 80 feet downstream of None *797 U.S. Route 8 where it crosses just up- stream of the downstream corporate limits. Herkimer County ...... Approximately 75 feet upstream of U.S. None *1,012 Route 8 where it crosses just down- stream of the upstream corporate limits. Maps available for inspection at the Cold Brook Village Hall, 457 Main Street, Cold Brook, New York. Send comments to The Honorable Juan Butera, Mayor of the Village of Cold Brook, P.O. Box 215, Cold Brook, New York 13324.
New York ...... Cooperstown (Vil- Otsego Lake ...... Entire shoreline within community ...... None *1,194 lage). Otsego County. Maps available for inspection at the Cooperstown Village Hall, 22 Main Street, Cooperstown, New York. Send comments to The Honorable Wendell Tripp, Mayor of the Village of Cooperstown, P.O. Box 346, Cooperstown, New York, 13326.
New York ...... Greenwich (Village) Batten Kill ...... Approximately 1,185 feet downstream of None *314 Golden Fleece Dam. Washington County Approximately 2,160 feet upstream of the None *343 most upstream dam. Maps available for inspection at the Greenwich Village Hall, 6 Academy Street, Greenwich, New York. Send comments to The Honorable Christopher McCormick, Mayor of the Village of Greenwich, Village Hall, 6 Academy Street, Greenwich, New York 12834.
New York ...... Lloyd (Town) Ulster Black Creek ...... Approximately 100 feet downstream of None *317 County. Pancake Hollow Road. Approximately 1.07 miles upstream of None *518 State Route 44. Twaalfskill Creek ..... Approximately 140 feet downstream of None *249 Van Wagner Road. Approximately 1 mile upstream of Tillison None *337 Avenue. Maps available for inspection at the Lloyd Town Hall, 12 Church Street, New York. Send comments to Mr. Raymond J. Constantino, Town of Lloyd Supervisor, 12 Church Street, Highland, New York 12528.
New York ...... New Bremen (Town) Black River ...... Approximately 100 feet downstream of None *737 State Route 410.
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Lewis County ...... Approximately 0.95 mile upstream of None *743 Lowville and Beaver River Railroad. Maps available for inspection at the New Bremen Town Hall, RR 3, Lowville, New York. Send comments to Mr. Frederick J. Schneider, New Bremen Town Supervisor, RR 1 Box 85, Castorland, New York 13620.
New York ...... Painted Post (Vil- Chemung River ...... At the downstream corporate limits ...... *942 *934 lage). Steuben County ...... At confluence of Cohocton and Tioga *943 *935 Rivers. Cohocton River ...... At confluence with Chemung and Tioga *943 *935 Rivers. Approximately 1,600 feet upstream of *945 *938 Conrail. Tioga River ...... At confluence with Chemung and *943 *935 Cohocton Rivers. Approximately 0.9 mile upstream of con- *947 *938 fluence with Chemung River. Maps available for inspection at the Painted Post Village Hall, Corner of Steuben & West High Street, Painted Post, New York. Send comments to The Honorable Roswell Crozier, Jr., Mayor of the Village of Painted Post, P.O. Box 110, Painted Post, New York 14870.
New York ...... Watson (Town) Black River ...... At approximately 140 feet downstream of None *743 Lewis County. downstream corporate limits. Lewis County ...... At upstream corporate limits ...... None *747 Maps available for inspection at the Watson Town Hall, Clerk's Office, Star Route, Lowville, New York. Send comments to Mr. Virgil E. Taylor, Watson Town Supervisor, Star Route, Box 158, Lowville, New York 13367.
North Carolina ...... Cumberland County Tank Creek ...... Approximately 100 feet downstream of None *174 (Unincorporated Seaboard Coast Line Railroad. Areas). Approximately 1,800 feet downstream of None *171 Seaboard Coast Line Railroad. Maps available for inspection at the Cumberland County Old Courthouse, Engineering Department, 130 Gillespie Street, Room 214, Fayette- ville, North Carolina. Send comments to Mr. Clifford Strassenburg, Cumberland County Manager, Cumberland County Administrative Offices, P.O. Box 1829, Fay- etteville, North Carolina 28302.
North Carolina ...... Durham (City) ...... Rocky Creek ...... At confluence with Third Fork Creek ...... *289 *283 Durham County ...... Approximately 150 feet upstream of *336 *330 Briggs Avenue. Third Fork Creek ..... Approximately 0.83 mile downstream of *252 *251 South Roxboro Road. Approximately 30 feet upstream of East *310 *309 Forest Hills Boulevard. Third Fork Creek Approximately 900 feet upstream of *252 *251 Tributary A. Abandoned Road. Approximately 780 feet upstream of *286 *285 Rollingwood Drive. Third Fork Creek Approximately 800 feet downstream of *254 *251 South Roxboro Road. Tributary C Approximately 30 feet upstream of *317 *316 Princeton Avenue. Third Fork Creek ..... At confluence with Third Fork Creek ...... *255 *252 Tributary D ...... Approximately 60 feet upstream of *289 *286 Morningside Drive. Third Fork Creek ..... At confluence with Third Fork Creek ...... *291 *289 Tributary E ...... Approximately 420 feet downstream of *322 *323 Ward Street. Third Fork Creek ..... At confluence with Third Fork Creek Trib- *276 *275 utary C. Tributary ...... Approximately 125 feet downstream of *307 *306 Archdale Road. Maps available for inspection at the Durham City Hall, Public Works Department, 101 City Hall Plaza, Durham, North Carolina. Send comments to The Honorable Nicholas J. Tennyson, Mayor of the City of Durham, 101 City Hall Plaza, Durham, North Carolina 27701.
North Carolina ...... Spring Lake (Town) Tank Creek ...... At confluence with Tank Creek ...... *167 None Cumberland County Tributary A ...... At CSX Transportation ...... None *222
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Maps available for inspection at the Spring Lake Town Hall, Inspection's Department, 300 Ruth Street, Spring Lake, North Carolina. Send comments to The Honorable Marvin Lucas, Mayor of the Town of Spring Lake, P.O. Box 617, Spring Lake, North Carolina 28390.
North Carolina ...... Warren County (Un- Lake Gaston ...... Entire shoreline within county ...... None *205 incorporated Areas). Maps available for inspection at the Warren County Planning and Zoning Office, 720 West Ridgeway Street, Warrenton, North Carolina. Send comments to Ms. Loria Williams, Warren County Manager, P.O. Box 619, Warrenton, North Carolina 27589.
Ohio ...... Harbor View (Village) Maumee Bay ...... Approximately 300 feet east of the inter- None *579 Lucas County. section of Autokee Street and Lakeview Avenue. Maps available for inspection at the Harbor View Village Hall, 327 Lakeview Drive, Harbor View, Ohio. Send comments to The Honorable Linda Sue Byrd, Mayor of the Village of Harbor View, P.O. Box 96, Harbor View, Ohio 43434.
Ohio ...... Holland (Village) ...... Drennan Ditch ...... At confluence with Wolf Creek ...... None *619 Lucas County ...... At Village corporate limits ...... None *634 Maps available for inspection at the Village of Holland Municipal Building, 1245 Clarion, Holland, Ohio. Send comments to The Honorable Michael Yunker, Mayor of the Village of Holland, 1245 Clarion Street, Holland, Ohio 43528.
Ohio ...... Lucas County (Unin- Ottawa River ...... At the State boundary ...... *579 *580 corporated Areas). Approximately 0.5 mile upstream of Sum- *579 *580 mit Street. Maumee Bay ...... At Grassy Island ...... *579 *580 Lake Erie ...... At the intersection of Decant Road and *578 *579 Arquette Road. Sautter Ditch ...... At Cedar Point Road ...... *578 *579 Approximately 60 feet downstream of the *578 *579 confluence of Wolf Ditch. Berger Ditch ...... At mouth at Maumee Bay ...... *578 *579 Just downstream of Cedar Point Road .... *578 *579 Cedar Creek ...... At the confluence with Reno Side Cut *578 *579 and Wards Canal. Just downstream of Lyon Road ...... *578 *579 Drennan Ditch ...... An area approximately 1,350 feet west of None *634 the intersection of Columbus Street and Kipling Drive. Zaleski Ditch ...... At the confluence with Cairl Ditch ...... None *641 At Whitehouse-Spencer Road ...... None *667 Haefner Ditch ...... Approximately 650 feet downstream of I± None *638 475. At the confluence of Vanderpool Ditch ..... None *641 Vanderpool Ditch ..... At the confluence with Haefner Ditch ...... None *641 Approximately 75 feet downstream of None *658 North King Road. Hill Ditch ...... Approximately 60 feet upstream of I±475 *637 *638 Approximately 50 feet upstream of Cen- None *652 tral Avenue. Maps available for inspection at the Lucas County Engineering Office, One Government Center, Suite 801, Toledo, Ohio. Send comments to Ms. Sandy Isenburg, President of the Lucas County Board of Commissioners, One Government Center, Suite 800, To- ledo, Ohio 43604.
Ohio ...... Oregon (City) Lucas Maumee Bay ...... Approximately 1,300 feet northwest of the *579 *580 County. intersection of Alabama Street and Mis- sissippi Street. At the intersection of Norden Road and *578 *579 Jacobs Road. Maps available for inspection at the City of Oregon Building and Zoning Inspection Department, 5330 Seaman Road, Oregon, Ohio. Send comments to The Honorable James A. Haley, Mayor of the City of Oregon, 5330 Seaman Road, Oregon, Ohio 43616.
Ohio ...... Toledo (City) Lucas Ottawa River ...... At the City of Toledo corporate limits ...... *579 *580 County. At CSX Transportation ...... *579 *580 Swan Creek ...... At the confluence with Maumee River ..... *579 *580 Approximately 105 feet upstream of Mon- *579 *580 roe Street. Maumee River ...... At the confluence with Maumee Bay ...... *579 *580
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Approximately 0.6 mile downstream of *580 *581 the corporate limits. Maumee Bay ...... Entire coastline within the City of Toledo *579 *580 Maps available for inspection at the City of Toledo Division of Building Inspection, One Government Center, Suite 1600, Toledo, Ohio. Send comments to The Honorable Carleton Finkbeiner, Mayor of the City of Toledo, One Government Center, Suite 2200, Toledo, Ohio 43604.
Ohio ...... Whitehouse (Village) Lone Oak Ditch ...... Just downstream of Whitehouse-Spencer None *645 Lucas County. Road. Just upstream of Waterville Street ...... None *655 Maps available for inspection at the Village of Whitehouse Zoning and Building Department, 6655 Providence Street, Whitehouse, Ohio. Send comments to Mr. Randy Bukas, Whitehouse Village Administrator, 6655 Providence Street, Whitehouse, Ohio 43571.
Pennsylvania ...... Allegheny (Town- Allegheny River ...... Approximately 4,100 feet of upstream *765 *764 ship) Westmore- side of Lock and Dam #4. land County. Approximately 920 feet downstream of *771 *770 confluence with Kiskimentos River. Maps available for inspection at the Allegheny Township Supervisor's Office, 136 Community Building Road, Leechburg, Pennsylvania. Send comments to Mr. Thomas Iseman, Chairman of the Allegheny Township Board of Supervisors, 136 Community Building Road, Leechburg, Pennsylvania 15656.
Pennsylvania ...... Arnold (City) West- Allegheny River ...... Approximately 2,300 feet upstream of *754 *753 moreland County. New Kensington Highway. Approximately 4,300 feet upstream of *755 *754 New Kensington Highway. Maps available for inspection at the Arnold City Hall, 1829 Fifth Avenue, Arnold, Pennsylvania. Send comments to The Honorable William DeMao, Mayor of the City of Arnold, 1829 Fifth Avenue, Arnold, Pennsylvania 15068.
Pennsylvania ...... Aspinwall (Borough) Allegheny River ...... Approximately 650 feet downstream of *738 *739 Allegheny County. Conrail Bridge. Approximately 1,050 feet upstream of *738 *739 Conrail Bridge. Maps available for inspection at the Aspinwall Borough Municipal Building, 217 Commercial Avenue, Aspinwall, Pennsylvania. Send comments to Mr. Edward Warchol, Aspinwall Borough Manager, 217 Commercial Avenue, Aspinwall, Pennsylvania 15215.
Pennsylvania ...... Brackenridge (Bor- Allegheny River ...... Approximately 3,690 feet upstream of *757 *756 ough) Allegheny Ross Street (New Tarentum Bridge). County. Approximately 1.23 miles upstream of *757 *756 Ross Street (New Tarentum Bridge). Maps available for inspection at the Brackenridge Borough Office, 1000 Brackenridge Avenue, Brackenridge, Pennsylvania. Send comments to Mr. Ronald Dunlap, Sr., President of the Borough of Brackenridge Council, 1000 Brackenridge Avenue, Brackenridge, Pennsylvania 15014.
Pennsylvania ...... Cheswick (Borough) Allegheny River ...... Approximately 0.75 mile upstream of *748 *749 Lock and Dam No. 3. Allegheny County .... Approximately 1.1 miles upstream of *748 *749 Lock and Dam No. 3 (at upstream corporated limits). Maps available for inspection at the Cheswick Borough Office, 220 South Atlantic Avenue, Cheswick, Pennsylvania. Send comments to Mr. Andrew Bock, Cheswick Borough Secretary, 220 South Atlantic Avenue, Cheswick, Pennsylvania 15024.
Pennsylvania ...... East Deer (Town- Allegheny County .... Approximately 1,375 feet upstream of *754 *753 ship). New Kensington Highway. Allegheny River ...... Approximately 2,925 feet downstream of *756 *755 Ross Street (New Tarentum Bridge) (at upstream corporate limits). Maps available for inspection at the Township of East Deer Municipal Building, 927 Freeport Road, Creighton, Pennsylvania. Send comments to Mr. Anthony Taliani, Chairman of the Township of East Deer Board of Commissioners, 927 Freeport Road, Creighton, Pennsylvania 15030.
Pennsylvania ...... Etna (Borough) ...... Allegheny River ...... At confluence of Pine Creek ...... *735 *736 Allegheny County .... Approximately 1,750 feet downstream of *735 *736 Sixty Second Street Bridge. Pine Creek ...... At confluence with Allegheny River ...... *735 *736 Just upstream of Poplar Street ...... *735 *736
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Maps available for inspection at the Etna Borough Office, 437 Butler Street, Pittsburgh, Pennsylvania. Send comments to Mr. Peter Ramage, President of the Etna Borough Council, 437 Butler Street, Pittsburgh, Pennsylvania 05223.
Pennsylvania ...... Harmar (Township) .. Allegheny River ...... Approximately 0.56 mile downstream of *742 *743 Oakmont-Hulton Highway. Allegheny County .... Approximately 500 feet upstream of Lock *747 *748 and Dam No. 3. Maps available for inspection at the Township of Harmar Municipal Building, 701 Freeport Road, Cheswick, Pennsylvania. Send comments to Mr. Donald R. Muse, Chairman of the Township of Harmar Board of Supervisors, 701 Freeport Road, Cheswick, Pennsyl- vania 15024.
Pennsylvania ...... Harrison (Township) Allegheny River ...... Approximately 0.85 mile downstream *758 *757 Lock and Dam No. 2. Allegheny County .... Upstream side of Freeport Bridge ...... *769 *768 Maps available for inspection at the Township of Harrison Municipal Building, Municipal Drive, Natrona Heights, Pennsylvania. Send comments to Mr. George E. Conroy, President of the Harrison Township Board of Commissioners, P.O. Box 376, Natrona Heights, Pennsylvania 15065±0376.
Pennsylvania ...... Lower Burrell (City) .. Allegheny River ...... Approximately 1,600 feet upstream of *757 *759 Stevenson Boulevard. Westmoreland Coun- Approximately 1,300 feet downstream of *759 *758 ty. Lock and Dam #4. Maps available for inspection at the City of Lower Burrell Engineer's Office, 2800 Bethel Street, Lower Burrell, Pennsylvania. Send comments to The Honorable Dennis L. Kowalski, Mayor of the City of Lower Burrell, 2800 Bethel Street, Lower Burrell, Pennsylvania 15068±3227.
Pennsylvania ...... Millvale (Borough) .... Allegheny River ...... Approximately 1,200 feet downstream of *733 *734 Fortieth Street. Allegheny County .... Approximately 65 feet downstream of *733 *734 Fortieth Street. Allegheny River At downstream corporate limits ...... *733 *734 (Herr's Island Black Channel). Approximately 1,400 feet upstream of *733 *734 CSX Transportation. Maps available for inspection at the Millvale Borough Hall, 501 Lincoln Avenue, Millvale, Pennsylvania. Send comments to The Honorable Jim Burn, Mayor of the Borough of Millvale, 501 Lincoln Avenue, Millvale, Pennsylvania 15209.
Pennsylvania ...... New Kensington Allegheny River ...... Approximately 1,400 feet upstream of *754 *753 (City). New Kensington Highway. Westmoreland Coun- Approximately 1,600 feet upstream of *757 *756 ty. Sterenson Boulevard. Maps available for inspection at the New Kensington Municipal Building, 301 11th Street, New Kensington, Pennsylvania. Send comments to The Honorable Patrick Petit, Mayor of the City of New Kensington, New Kensington Municipal Building, 301 11th Street, New Kensington, Pennsylvania 15068.
Pennsylvania ...... Oakmont (Borough) Allegheny River ...... Approximately 0.56 mile downstream of *742 *743 Oakmont-Hulton Highway. Allegheny County .... Approximately 0.92 mile downstream of *743 *744 Pennsylvania Turnpike. Maps available for inspection at the Borough of Oakmont Municipal Building, Fifth Street and Virginia Avenue, Oakmont, Pennsylvania. Send comments to Ms. Adeline Brown, Oakmont Borough Manager, Municipal Building, Fifth Street and Virginia Avenue, Oakmont, Pennsyl- vania 15139.
Pennsylvania ...... O'Hara (Township) .. Allegheny River ...... Downstream side of Lock and Dam No. 2 *737 *738 Allegheny County .... Approximately 0.56 mile downstream of *742 *743 Oakmont-Hulton Highway. Maps available for inspection at the O'Hara Township Office, 325 Fox Chapel Road, Pittsburgh, Pennsylvania. Send comments to Mr. Douglas Arndt, O'Hara Township Manager, 325 Fox Chapel Road, Pittsburgh, Pennsylvania, 15238.
Pennsylvania ...... Penn Hills (Munici- Allegheny River ...... Approximately 1.1 miles upstream of *739 *740 pality). Conrail Bridge. Allegheny County .... At upstream corporate limits ...... *741 *742
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Maps available for inspection at the Municipality of Penn Hills Planning Department, 12245 Frankstown Road, Penn Hills, Pennsylvania. Send comments to Mr. John C. Brennan, Penn Hills Municipal Manager, 12245 Frankstown Road, Penn Hills, Pennsylvania 15235.
Pennsylvania ...... Pittsburgh (City) ...... Allegheny River ...... Approximately 900 feet upstream of Ninth *731 *730 Street. Allegheny County .... Approximately 1.1 miles upstream of *739 *740 Conrail Bridge. Allegheny River Just upstream of Conrail Bridge ...... *732 *733 (Herr's Island Back Channel). Approximately 1,400 feet upstream of *733 *734 CSX Transportation. Maps available for inspection at the Pittsburgh City Planning Office, 200 Ross Street, Pittsburgh, Pennsylvania. Send comments to The Honorable Thomas Murphy, Mayor of the City of Pittsburgh, 414 Grant Street, Fifth Floor City/County Building, Pitts- burgh, Pennsylvania 15219.
Pennsylvania ...... Plum (Borough) ...... Allegheny River ...... At Pennsylvania Turnpike ...... *744 *745 Allegheny County .... Approximately 2,200 feet downstream of *751 *752 confluence of Pucketa Creek. Maps available for inspection at the Plum Borough Planning and Zoning Office, 4575 New Texas Road, Pittsburgh, Pennsylvania. Send comments to Ms. Denise Herceg, Plum Borough Manager/Secretary, 4575 New Texas Road, Pittsburgh, Pennsylvania 15239.
Pennsylvania ...... Shaler (Township) ... Allegheny River ...... Approximately 0.80 mile upstream of For- *734 *735 tieth Street. Allegheny County .... Approximately 1.4 miles upstream of For- *735 *736 tieth Street. Maps available for inspection at the Shaler Township Hall, 300 Wetzel Road, Glenshaw, Pennsylvania. Send comments to Mr. Thomas McElhone, President of the Township of Shaler Board of Commissioners, 300 Wetzel Road, Glenshaw, Pennsylvania 15116.
Pennsylvania ...... Sharpsburg (Bor- Allegheny River ...... Approximately 1,200 feet downstream of *736 *737 ough). Lock and Dam No. 2. Allegheny County .... Approximately 300 feet downstream of *735 *736 Sixty Second Street Bridge. Maps available for inspection at the Sharpsburg Borough Office, 10611 Main Street, Pittsburgh, Pennsylvania. Send comments to The Honorable Donald Schubert, Jr., Mayor of the Borough of Sharpsburg, 10611 Main Street, Pittsburgh, Pennsylvania 05215±2609.
Pennsylvania ...... Springdale (Borough) Allegheny River ...... Approximately 1.1 miles upstream of *748 *749 Lock and Dam No. 3. Allegheny County .... Approximately 2,200 feet downstream of *751 *752 confluence of Pucketa Creek (at up- stream corporate limits). Maps available for inspection at the Borough of Springdale Municipal Building, 325 School Street, Springdale, Pennsylvania. Send comments to Mr. David Watts, Borough of Springdale Council President, P.O. Box 153, Springdale, Pennsylvania 15144±0153.
Pennsylvania ...... Springdale (Town- Allegheny River ...... Approximately 2,200 feet downstream of *751 *753 ship). confluence of Pucketa Creek (at down- stream corporate limits). Allegheny County .... Approximately 1,790 feet downstream of *752 *753 New Kensington Highway. Maps available for inspection at the Springdale Township Hall, 800 Plate Drive, Harwick, Pennsylvania. Send comments to Mr. Terry Sullivan, President of the Township of Springdale Board of Commissioners, P.O. Box 177, Harwick, Pennsyl- vania 15049.
Pennsylvania ...... Tarentum (Borough) Allegheny River ...... Approximately 2,925 feet downstream of *756 *755 Ross Street (New Taretum Bridge) (at downstream corporate limits). Allegheny County .... Approximately 3,690 feet upstream of *757 *756 Ross Street (New Tarentum Bridge) (at upstream corporated limits). Maps available for inspection at the Borough of Tarentum Municipal Building, 318 Second Avenue, Tarentum, Pennsylvania. Send comments to Mr. Tim Corunet, Tarentum Borough President, 318 Second Avenue, Tarentum, Pennsylvania 15084. Pennsylvania ...... Verona (Borough) .... Allegheny River ...... Approximately 4,400 feet downstream of *741 *742 confluence with Plum Creek (at down- stream corporate limits).
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Allegheny County .... Approximately 300 feet downstream of *741 *742 confluence with Plum Creek. Maps available for inspection at the Borough of Verona Municipal Building, 736 East Railroad Avenue, Verona, Pennsylvania. Send comments to The Honorable Leonard Brennan, Mayor of the Borough of Verona, 736 East Railroad Avenue, Verona, Pennsylvania 15147.
South Carolina ...... Camden (City) ...... Bolton Branch ...... Approximately 40 feet upstream of Wilder None *172 Street. Kershaw County ...... Approximately 300 feet upstream of Wylie None *175 Street. Unnamed Tributary Approximately 200 feet downstream of None *167 to Bolton Branch. Wylie Street. Downstream side of Campell Street ...... None *178 Maps available for inspection at the City of Camden Building Department, City Hall, Camden, South Carolina. Send comments to The Honorable Phil Minges, Mayor of the City of Camden, P.O. Box 7002, Camden, South Carolina 29020.
South Carolina ...... Colleton County (Un- Ashepoo River ...... Approximately 2.38 miles downstream of None *8 incorporated CSX Transportation. Areas). Approximately 225 feet upstream of Ritter None *12 Road. Chessey Creek ...... At confluence with Horseshoe Creek ...... None *8 Approximately 75 feet upstream of None *10 Charleston Highway. Edisto River ...... Approximately 1,750 feet downstream of *8 *12 U.S. Route 17. Approximately 400 feet upstream of up- None *92 stream corporate limits (Bamburg/ Colleton). Great Swamp ...... Approximately 3.84 miles downstream of None *21 South Jeffries Boulevard. Approximately 335 feet upstream of I±95 None *38 southbound. Horseshoe Creek ..... At confluence with Ashepoo River ...... None *8 Approximately 40 feet upstream of None *12 Charleston Highway (State Route 64). Ireland Creek ...... Approximately 500 feet upstream of *34 *32 South Jeffries Boulevard. Approximately 75 feet upstream of Indus- *52 *50 trial Boulevard. Wolf Creek ...... At confluence with Jones Swamp Creek .. None *42 Approximately 180 feet upstream of Quail None *65 Drive. Maps available for inspection at the Colleton County Building Inspector's Office, Benson Street, Walterboro, South Carolina. Send comments to Mr. Arthur Williams, Colleton County Administrator, 31 Kleine Street, Walterboro, South Carolina 29488.
South Carolina ...... Edisto Beach (Town) Atlantic Ocean ...... Approximately 450 feet southeast of inter- *17 *20 Colleton County. section of Nancy Street and Palmatto Boulevard. Approximately 200 feet south of intersec- *15 *13 tion of King Cotton Road and Gun Bluff Road. Approximately 1,150 feet north, northwest *15 *20 of intersection of Yatch Club Road and Bay Point Drive. Approximately 1,600 feet north of inter- *14 *16 section of Jungle Road and Mary Street. Maps available for inspection at the Edisto Beach Town Hall, 2414 Myrtle Street, Edisto Beach, South Carolina. Send comments to The Honorable Burley L. Lyons, Mayor of the Town of Edisto Beach, 2414 Murray Street, Edisto Beach, South Carolina 29438.
South Carolina ...... Kershaw County Bolton Branch ...... Approximately 330 feet downstream of *153 *152 (Unincorporated Old Chestnut Ferry Road. Areas). Approximately 40 feet upstream of Wilder None *172 Street. Flat Branch ...... At confluence with Twentyfive Mile Creek None *182
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#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Approximately 245 feet upstream of Wild- None *271 wood Lane. Gilles Creek ...... Approximately 150 feet of the confluence *144 *145 with Gilles Ditch. Approximately 0.81 mile upstream of None *225 Gilles Creek Road. Haig Creek ...... At confluence with Spears Creek ...... None *155 Approximately 865 feet upstream of Fort None *178 Jackson Road. Horsepen Creek ...... At confluence with Twentyfive Mile Creek None *188 Approximately 300 feet upstream of High- None *292 way 1. McCaskill Creek ...... At U.S. Route 601 ...... None *142 Approximately 1.3 miles upstream of con- None *237 fluence of Rununder Branch. Rununder Branch .... At confluence with McCaskill Creek ...... None *186 Approximately 0.37 mile upstream of None *246 Spring Creek Road. Sandy Branch ...... At confluence with Twentyfive Mile Creek None *235 Approximately 1.14 miles upstream of None *261 Watson Street (At county boundary). Sloan Branch ...... At confluence with Spears Creek ...... None *166 Approximately 320 feet upstream of None *203 Tower Road. Spears Creek ...... At U.S. Route 601 ...... None *143 Approximately 1.3 miles upstream of Fort None *189 Jackson Road. Tributary to Haig At confluence with Haig Creek ...... None *178 Creek 1. Approximately 1.6 miles upstream of None *246 Whiting Way. Tuppler Branch ...... At confluence with Sandy Branch ...... None *243 Approximately 105 feet upstream of Ses- None *305 sions Road. Twentyfive Mile Approximately 1.4 miles downstream of *158 *159 Creek. Pine Grove Road. At upstream county boundary ...... None *261 Unnamed Tributary At confluence with Bolton Branch ...... *160 *158 to Bolton Branch. Approximately 200 feet downstream of None *167 Wylie Street. Yankee Branch ...... At confluence with Twentyfive Mile Creek None *203 Approximately 0.68 mile upstream of None *287 Chestnut Road. Maps available for inspection at the Kershaw County Planning and Zoning Office, County Courthouse, 1121 Broad Street, Camden, South Carolina. Send comments to Mr. Gordon Hartwig, Kershaw County Administrator, 1121 Broad Street, Camden, South Carolina 29020.
South Carolina ...... Walterboro (City) Great Swamp ...... Approximately 1.76 miles downstream of *25 *26 Colleton County. South Jeffries Boulevard. Approximately 200 feet upstream of *34 *32 South Jeffries Boulevard. Ireland Creek ...... At confluence with Great Swamp ...... *32 *31 Approximately 0.66 mile upstream of *43 *40 North Jeffries Boulevard. Maps available for inspection at the City of Walterboro Building, Official's Office, 242 Hampton Street, Walterboro, South Carolina. Send comments to The Honorable W. Harry Core, Jr., Mayor of the City of Walterboro, Box 709, Walterboro, South Carolina 29488±0709.
Wisconsin ...... Crawford County Wisconsin River ...... At confluence with the Mississippi River .. *629 *628 (Unincorporated Areas). At upstream county boundary ...... *660 *662 Mississippi River ...... Approximately 4 miles downstream of *629 *628 U.S. Highway 18. Approximately 0.7 mile downstream of *630 *629 U.S. Highway 18. Maps available for inspection at the Crawford County Zoning Department, 111 West Dunn Street, Prairie Du Chien, Wisconsin. Send comments to Mr. Robert Dillman, Chairman of Crawford County Board, 220 North Beaumont Road, Prairie Du Chien, Wisconsin 53821.
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(Catalog of Federal Domestic Assistance No. 83.100, ‘‘Flood Insurance’’) Dated: September 27, 1999. Michael J. Armstrong, Associate Director for Mitigation. [FR Doc. 99–25801 Filed 10–4–99; 8:45 am] BILLING CODE 6718±04±P
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Notices Federal Register Vol. 64, No. 192
Tuesday, October 5, 1999
This section of the FEDERAL REGISTER ADDRESSES: Send written comments to: Affected Public: U.S. companies or contains documents other than rules or Jerry Reese, Forest Supervisor, Caribou industries that suspect the presence of proposed rules that are applicable to the National Forest, 250 South 4th Avenue, unfair competition from foreign firms public. Notices of hearings and investigations, Pocatello, Idaho 83201. selling merchandise in the United States committee meetings, agency decisions and below fair value. rulings, delegations of authority, filing of FOR FURTHER INFORMATION CONTACT: petitions and applications and agency Paul Oakes, Planning Team Leader, Frequency: On occasion. statements of organization and functions are Caribou National Forest (208) 236–7500. Respondent’s Obligation: Required to examples of documents appearing in this Responsible official: Jack Blackwell, obtain or retain a benefit, voluntary. section. Intermountain Regional Forester, at 324 OMB Desk Officer: David Rostker, 25th Street, Ogden, UT 84401. (202) 395–7340. Dated: September 28, 1999. Copies of the above information DEPARTMENT OF AGRICULTURE Jerry B. Reese, collection can be obtained by calling or Forest Supervisor, Caribou National Forest. writing Linda Engelmeier, Department Forest Service Forms Clearance Officer, (202) 482– [FR Doc. 99–25785 Filed 10–4–99; 8:45 am] 3272, email [email protected]., Revised Land and Resource BILLING CODE 3410±11±M Department of Commerce, Room 5027, Management Plan, Caribou National 14th and Constitution Avenue, NW, Forest, ID Washington, DC 20230. DEPARTMENT OF COMMERCE AGENCY: Forest Service. Written comments and recommendations for the proposed ACTION: Revised notice of intent to Submission for OMB Review: Comment Request information collection should be sent to prepare an environmental impact David Rostker, OMB Desk Officer, Room statement in conjunction with revision DOC has submitted to the Office of 10202, New Executive Office Building, of the Land and Resource Management Management and Budget (OMB) for Washington DC 20503 within 30 days of Plan for Caribou National Forest, clearance the following proposal for the publication of this notice in the located in Bannock, Bear Lake, collection of information under the Federal Register. Bingham, Bonneville, Caribou, Franklin, provisions of the Paperwork Reduction Dated: September 29, 1999. Oneida, and Power counties, Idaho; Box Act of 1995, Public Law 104–13. Elder and Cache counties, Utah; and Bureau: International Trade Linda Engelmeier, Lincoln County, Wyoming. Administration. Department Forms Clearance Officer, Office Title: Antidumping and of the Chief Information Officer. SUMMARY: On August 9, 1999, the Countervailing Duties, Procedures for [FR Doc. 99–25753 Filed 10–4–99; 8:45 am] Department of Agriculture, Forest Initiation of Downstream Product BILLING CODE 3510±DA±P Service filed notice of intent (Federal Monitoring. Register Vol. 64, No. 152, page 43142) Agency Form Number: ITA–4119P. to prepare an Environmental Impact OMB Number: 0625–0200. DEPARTMENT OF COMMERCE Statement in conjunction with a Type of Request: Regular Submission. revision of the Land and Resource Burden: 15 hours. International Trade Administration Management Plan (hereinafter referred Number of Respondents: 1. [A±412±810, C±412±811] to as Forest Plan) for the Caribou Avg. Hours Per Response: 15 hours. National Forest. Needs and Uses: The International Certain Hot-Rolled Lead and Bismuth Trade Administration’s (ITA), Import The August 9 notice described the Carbon Steel Products From the Administration, AD/CVD Enforcement, ‘‘needs for change’’ identified in the United Kingdom: Initiation and implements the U.S. antidumping and current Forest Plan to be revised, Preliminary Results of Changed- countervailing duty law. Under section Circumstances Antidumping and environmental issues considered, 1320 of the Omnibus Trade and estimated dates for filing the Countervailing Duty Administrative Competitiveness Act of 1988, a domestic Reviews Environmental Impact Statement, producer of an article that is like a information concerning public component part of a downstream AGENCY: Import Administration, participation, and the names and product may petition the Department of International Trade Administration, addresses of the agency officials who Commerce to designate the downstream Department of Commerce. can provide additional information. The product for monitoring. Section 1320, ACTION: Notice of initiation and purpose of the notice was to begin the and the Department’s rule 19 CFR scoping phase of public involvement in preliminary results of changed- 351.223, requires that the petition circumstances antidumping and the revision process, with a due date for identify the downstream product to be comments of October 2, 1999. countervailing duty administrative monitored, the relevant component part, reviews. This notice extends the comment and the likely diversion of foreign period for the scoping from October 2 to exports of the component part into SUMMARY: The Department of Commerce October 17, 1999. increased exports of the downstream has received information sufficient to DATES: Comments concerning the intent product to the United States. ITA will warrant initiation of a changed- to prepare a revised Forest Plan should evaluate the petition and will issue circumstances administrative review of be received in writing by October 17, either an affirmative or negative the antidumping and countervailing 1999. ‘‘monitoring’’ determination. duty orders on hot-rolled lead and
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Excluded from the scope of this to Glynwed for purposes of determining determining antidumping and review are other alloy steels (as defined antidumping and countervailing duty countervailing duty liability. Interested by the Harmonized Tariff Schedule of liability with respect to the subject parties are invited to comment on these the United States (HTSUS) Chapter 72, merchandise. In making such a preliminary results. note 1 (f)), except steels classified as successor-in-interest determination, the EFFECTIVE DATE: October 5, 1999. other alloy steels by reason of Department examines several factors containing by weight 0.4 percent or FOR FURTHER INFORMATION CONTACT: including, but not limited to, changes more of lead, or 0.1 percent or more of Rebecca Trainor or Kate Johnson in: (1) management; (2) production bismuth, tellurium, or selenium. Also (Antidumping) or Dana Mermelstein facilities; (3) supplier relationships; and excluded are semi-finished steels and (Countervailing), Office of AD/CVD (4) customer base. See, e.g., Brass Sheet flat-rolled products. Most of the Enforcement, Import Administration, and Strip from Canada: Final Results of products covered in this review are International Trade Administration, Antidumping Duty Administrative provided for under subheadings U.S. Department of Commerce, 14th Review, 57 FR 20460 (May 13, 1992) 7213.20.00.00 and 7214.30.00.00 of the (Canadian Brass). While no single or Street and Constitution Avenue, N.W., HTSUS. Small quantities of these Washington, D.C. 20230; telephone several of these factors will necessarily products may also enter the United provide a dispositive indication, the (202) 482–4007, (202) 482–4929, or States under the following HTSUS (202) 482–3208, respectively. Department will generally consider the subheadings: 7213.31.30.00; new company to be the successor to the SUPPLEMENTARY INFORMATION: 7213.31.60.00; 7213.39.00.30; previous company if its resulting The Applicable Statute 7213.39.00.60; 7213.39.00.90; operation is not materially dissimilar to 7213.91.30.00; 7213.91.45.00; that of its predecessor. See, e.g., Unless otherwise indicated, all 7213.91.60.00; 7213.99.00; citations to the Tariff Act of 1930, as Industrial Phosphoric Acid from Israel: 7214.40.00.10, 7214.40.00.30, Final Results of Changed Circumstances amended (the Act), are references to the 7214.40.00.50; 7214.50.00.10; provisions effective January 1, 1995, the Review, 59 FR 6944 (February 14, 1994), 7214.50.00.30, 7214.50.00.50; Canadian Brass, and Fresh and Chilled effective date of the amendments made 7214.60.00.10; 7214.60.00.30; to the Act by the Uruguay Round Atlantic Salmon from Norway: Initiation 7214.60.00.50; 7214.91.00; 7214.99.00; and Preliminary Results of Changed Agreements Act (URAA). In addition, 7228.30.80.00; and 7228.30.80.50. unless otherwise indicated, all citations Circumstances Antidumping Duty HTSUS subheadings are provided for Administrative Review, 63 FR 50880 to the Department of Commerce’s (the convenience and customs purposes. The Department’s) regulations are to the (September 23, 1998). Thus, if the written description of the scope of this evidence demonstrates that, with regulations at 19 CFR Part 351 (April proceeding is dispositive. 1999). respect to the production and sale of the Initiation and Preliminary Results of subject merchandise, the new company Background Review operates as the same business entity as On March 22, 1993, the Department In a letter dated August 18, 1999, the former company, the Department published in the Federal Register the Niagara LaSalle UK advised the will accord the new company the same antidumping duty order on certain hot- Department that, effective May 21, 1999, antidumping and countervailing duty rolled lead and bismuth carbon steel it had acquired Glynwed’s steelmaking treatment as its predecessor. products from the United Kingdom (58 businesses, including two that are We preliminarily determine that FR 15324). Also, on March 22, 1993, the involved in manufacturing leaded steel Niagara LaSalle UK is the successor-in- Department published in the Federal subject to the antidumping and interest to Glynwed, following its Register the companion countervailing countervailing duty orders: Dudley Port acquisition of Glynwed. Niagara LaSalle duty order (58 FR 15327). On August 18, Rolling Mills (Dudley Port), and George UK submitted documentation 1999, Niagara LaSalle (UK) Limited Gadd & Company (George Gadd). supporting its claims that its acquisition (Niagara LaSalle UK) submitted a letter According to the submission, Niagara of Glynwed’s steelmaking businesses stating that it is the successor-in-interest LaSalle UK was created as a subsidiary resulted in no significant changes in to Glynwed Metals Processing Limited of Niagara Corporation, for the purpose either production facilities, supplier (Glynwed), and requested that the of acquiring the assets of Glynwed’s relationships, customer base, or Department conduct a changed- steel bar businesses. Niagara management. This documentation circumstances review to determine Corporation, a U.S. company, also owns consisted of: (1) A letter from Niagara whether Niagara LaSalle UK should Niagara LaSalle Corporation, a U.S. Corporation’s president to all employees receive the same antidumping and manufacturer of cold-finished steel bar. of the Steel Bar Businesses emphasizing countervailing duty treatment as is In its submission, Niagara LaSalle UK the intended continuity in employment accorded Glynwed with respect to the states that it purchased Glynwed’s steel and operations; (2) the Sale of Business subject merchandise. Niagara LaSalle bar businesses as operating business Agreement, stating that the business is UK requested that the result of the units, and that all personnel, operations being sold as a going concern; (3) a letter Department’s changed-circumstances and facilities remain essentially from Gadd Dudley Port to its suppliers review be retroactive to May 21, 1999, unchanged. According to Niagara shortly after the change in ownership, the date of its acquisition of Glynwed. LaSalle UK, the only difference is that, assuring suppliers of its continued on May 22, 1999, George Gadd and business; (4) charts comparing the Scope of the Review Dudley Port were combined to form a production facilities, billet suppliers, The products covered by this review single business unit called Gadd Dudley and customers, both before and after the are hot-rolled bars and rods of nonalloy Port Steel (Gadd Dudley Port). acquisition; and (5) a chart comparing
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00002 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.123 pfrm08 PsN: 05OCN1 53996 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices the companies’ management structures including the results of its analysis of Countervailing Duty Orders, 63 FR and employees both before and after the issues raised in any written comments. 13516 (March 20, 1998) (‘‘Sunset acquisition. These documents We are issuing and publishing this Regulations’’). Guidance on demonstrate that Glynwed’s determination and notice in accordance methodological or analytical issues consolidated leaded steel bar business with sections 751(b)(1) and 777(i)(1) of relevant to the Department’s conduct of was purchased as a going concern, and the Act and section 351.216 of the sunset reviews is set forth in the its acquisition by Niagara LaSalle UK Department’s regulations. Department’s Policy Bulletin 98:3 resulted in little or no change in Dated: September 29, 1999. ‘‘Policies Regarding the Conduct of Five- production operations, facilities, year (‘‘Sunset’’) Reviews of Robert S. LaRussa, personnel, supplier relationships and Antidumping and Countervailing Duty customer base, and that Niagara LaSalle Assistant Secretary for Import Orders; Policy Bulletin, 63 FR 18871 Administration. UK’s management team consists entirely (April 16, 1998) (‘‘Sunset Policy of former Glynwed managers. Because [FR Doc. 99–25873 Filed 10–4–99; 8:45 am] Bulletin’’). Niagara LaSalle UK has presented BILLING CODE 3510±DS±P Scope evidence to establish a prima facie case of its successorship status, we find it The merchandise subject to this order DEPARTMENT OF COMMERCE appropriate to issue the preliminary includes drafting machines that are finished, unfinished, assembled, or results in combination with the notice International Trade Administration of initiation in accordance with 19 CFR unassembled, and drafting machine kits. 351.221(c)(3)(ii). [A±588±811] The term ‘‘drafting machine’’ refers to Thus, we preliminarily determine that ‘‘track’’ or ‘‘elbow-type’’ drafting Niagara LaSalle UK should receive the Final Results of Expedited Sunset machines used by designers, engineers, same antidumping and countervailing Review: Drafting Machines From Japan architects, layout artists, and others. Drafting machines are devices for duty treatment with respect to certain AGENCY: Import Administration, hot-rolled lead and bismuth carbon steel International Trade Administration, aligning scales (or rulers) at a variety of angles anywhere on a drawing surface, products as the former Glynwed. With U.S. Department of Commerce. regard to countervailing duties, generally a drafting board. A protractor ACTION: Glynwed is excluded from the Notice of final results of head allows angles to be read and set countervailing duty order. Thus, if these expedited sunset review: drafting and lines to be drawn. The machine is preliminary results are adopted in our machines from Japan. generally clamped to the board. Also final results of this changed SUMMARY: On June 1, 1999, the included within the scope are parts of circumstances review, we will instruct Department of Commerce (‘‘the drafting machines. Parts include, but are the Customs Service to liquidate, Department’’) initiated a sunset review not limited to, horizontal and vertical without regard to countervailing duties, of the antidumping duty order on tracks, parts of horizontal and vertical all entries entered, or withdrawn from drafting machines from Japan pursuant tracks, band and pulley mechanisms, warehouse, for consumption on or after to section 751(c) of the Tariff Act of protractor heads, and parts of protractor heads, destined for use in drafting May 21, 1999, the date of Niagara 1930, as amended (‘‘the Act’’). On the machines. Accessories, such as parallel LaSalle UK’s acquisition of Glynwed. basis of a notice of intent to participate rulers, lamps and scales are not subject With regard to antidumping duties, a and adequate substantive response filed to this order. This merchandise is cash deposit rate of 7.69 percent will be on behalf of a domestic interested party, currently classifiable under the effective for all shipments of the subject and inadequate response (in this case, Harmonized Tariff Schedule (‘‘HTS’’) merchandise entered, or withdrawn no response) from respondent interested item numbers 9017.10.00 and from warehouse, for consumption on or parties, the Department determined to 9017.90.00. (This merchandise was after the publication date of the final conduct an expedited sunset review. As previously classified under item number results of this changed circumstances a result of this review, the Department 710.8025 of the Tariff Schedule of the review. finds that revocation of the antidumping United States.) The HTS item numbers Public Comment duty order would be likely to lead to are provided for convenience and continuation or recurrence of dumping Any interested party may request a customs purposes only. The written at the levels indicated in the Final hearing within 10 days of publication of description remains dispositive. this notice. Any hearing, if requested, Results of Review section of this notice. will be held no later than 21 days after FOR FURTHER INFORMATION CONTACT: History of the Order the date of publication of this notice, or Martha V. Douthit or Melissa G. On November 8, 1989, the Department the first workday thereafter. Case briefs Skinner, Office of Policy for Import issued a final determination of sales at from interested parties may be Administration, International Trade less than fair value on imports of submitted not later than 7 days after the Administration, U.S. Department of drafting machines from Japan.1 On date of publication of this notice. Commerce, 14th St. & Constitution Ave., December 29, 1989, the antidumping Rebuttal briefs, limited to the issues NW, Washington, DC 20230; telephone duty order on the subject merchandise raised in those comments, may be filed (202) 482–5050 or (202) 482–1560, was published in the Federal Register.2 not later than 14 days after the date of respectively. In the antidumping duty order the publication of this notice. All written EFFECTIVE DATE: October 5, 1999. Department established an estimated comments shall be submitted in weighted-average dumping margin of accordance with 19 CFR 351.303. Statute and Regulations 90.87 percent for (one respondent) Persons interested in attending the This review was conducted pursuant hearing, if one is requested, should to sections 751(c) and 752 of the Act. 1 See Drafting Machines and Parts Thereof From contact the Department for the date and The Department’s procedures for the Japan; Final Determination of Sales at Less Than Fair Value, 54 FR 46961 (November 8, 1989). time of the hearing. The Department conduct of sunset reviews are set forth 2 See Drafting Machines and Parts Thereof From will publish the final results of this in Procedures for Conducting Five-year Japan; Antidumping Duty Order, 54 FR 53671 changed circumstances review, (‘‘Sunset’’) Reviews of Antidumping and (December 29, 1989).
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Mutoh Industries, Ltd. (‘‘Mutoh’’), and addressed within the respective sections the U.S. were substantial (see Vemco’s an ‘‘all others’’ rate of 90.87 percent. Id. below. Substantive Response, July 1, 1999 at 7), There have been no administrative and that after the imposition of the Continuation or Recurrence of reviews of this order, and no order, Mutoh America, ceased its Dumping investigations of duty absorption by the imports of drafting machines from Department. Drawing on the guidance provided in Japan.3 Because the applicable HTS item The order remains in effect for Mutoh, the legislative history accompanying the numbers cover imports in addition to and all other producers and exporters of Uruguay Round Agreements Act the subject merchandise, (i.e., cover a drafting machines from Japan. (‘‘URAA’’), specifically the Statement of basket category) in further support of its Administrative Action (‘‘the SAA’’), assertion that sales ceased to the U.S., Background H.R. Doc. No. 103–316, vol. 1 (1994), the Vemco submitted an affidavit from Mr. On June 1, 1999, the Department House Report, H.R. Rep. No. 103–826, Paul McManigal Vemco’s Vice President initiated a sunset review of the pt.1 (1994), and the Senate Report, S. (see Attachment 1 of Vemco’s antidumping duty order on drafting Rep. No. 103–412 (1994), the Substantive Response). In the affidavit, machines from Japan pursuant to Department issued its Sunset Policy Mr. Paul McManigal states that since the section 751(c) of the Act. On June 16, Bulletin providing guidance on imposition of the order he has closely 1999 we received a Notice of Intent to methodological and analytical issues, monitored imports of drafting machines. Participate on behalf of Vemco Drafting including the basis for likelihood Mr. McManigal notes that in the year Products Corporation (‘‘Vemco’’), within determinations. The Department following the issuance of the order the deadline specified in section clarified that determinations of imports declined in negligible amounts. likelihood will be made on an order- 351.218(d)(1)(i) of the Sunset With regard to the existence of Regulations. We received a complete wide basis (see section II.A.2 of the Sunset Policy Bulletin). Additionally, dumping margins, Vemco notes that in substantive response from the domestic the Department normally will determine the Department’s final determination of interested party on July 1, 1999, within that revocation of an antidumping order sales at less than fair value, the the deadline specified in section is likely to lead to continuation or Department assigned a dumping margin 351.218(d)(3)(i) of the Sunset recurrence of dumping where (a) to Mutoh and ‘‘all others’’ of 90.87 Regulations. Vemco claimed interested dumping continued at any level above percent; the duty deposit rate of 90.87 party status under section 771(9)(C) of de minimis after the issuance of the percent still exists. the Act as a U.S. manufacturer of a order, (b) imports of the subject In conclusion, Vemco argues that a domestic like product. Vemco was the merchandise ceased after the issuance of decline in import volume after the petitioner in the original investigation. the order, or (c) dumping was issuance of the order, coupled with the We did not receive any response from eliminated after the issuance of the continuation of dumping margins above respondent interested parties in this order and import volumes for the the de minimis level, is probative that review. As a result, and in accordance subject merchandise declined producers and exporters of drafting with our regulations (19 CFR significantly (see section II.A.3 of the machines from Japan will continue to 351.218(e)(1)(ii)(C)(2)) we determined to Sunset Policy Bulletin). dump if the order were revoked. conduct an expedited sunset review of In addition to considering the Therefore, Vemco maintains that the this order. guidance on likelihood cited above, Department should determine that there Determination section 751(c)(4)(B) of the Act provides is a likelihood of the continuation of that the Department shall determine that dumping of drafting machines from In accordance with section 751(c)(1) revocation of an order is likely to lead Japan if the order were revoked. of the Act, the Department conducted to continuation or recurrence of As discussed in section II.A.3 of the this review to determine whether dumping where a respondent interested Sunset Policy Bulletin, the SAA at 890, revocation of the antidumping order party waives its participation in the and the House Report at 63–64, would be likely to lead to continuation sunset review. In the instant review, the existence of dumping margins after the or recurrence of dumping. Section Department did not receive a response order is issued is highly probative of the 752(c)(1) of the Act provides that, in from any respondent interested party. likelihood of continuation or recurrence making this determination, the Pursuant to section 351.218(d)(2)(iii) of of dumping. If companies continue to Department shall consider the weighted- the Sunset Regulations, this constitutes dump with the discipline of an order in average dumping margins determined in a waiver of participation. place, the Department may reasonably the investigation and subsequent In its substantive response, Vemco infer that dumping would continue if reviews and the volume of imports of argues that dumping is likely to the discipline of the order were revoked. the subject merchandise for the period continue or recur if the antidumping We agree with Vemco that dumping before and the period after the issuance duty order on drafting machines from margins above the de minimis level of the antidumping order. Pursuant to Japan were revoked because sales of the continue to exist for Mutoh, the only section 752(c)(3) of the Act, the subject merchandise to the United respondent reviewed in the original Department shall provide to the States declined to negligible amounts investigation. International Trade Commission (‘‘the after the Department imposed the Commission’’) the magnitude of the Although Vemco asserts at various antidumping duty order. Therefore, points in its argument that imports of margin of dumping likely to prevail if Vemco asserts that this action serves as the order is revoked. drafting machines from Japan ceased evidence that producers and exporters entirely after the imposition of the The Department’s determinations of the subject merchandise cannot sell order, the import statistics do not concerning continuation or recurrence in any significant quantities in the conclusively support a finding of of dumping and magnitude of the United States without dumping. margin are discussed below. In addition, Specifically, with regard to imports of 3 Vemco variously asserts that imports of drafting Vemco’s comments with respect to the the subject merchandise, Vemco asserts machines from Japan have declined significantly, continuation or recurrence of dumping that prior to the imposition of this order, on the one hand, and ceased altogether, on the and the magnitude of the margin are import volumes of drafting machines to other.
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00004 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 53998 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices cessation of imports. As noted above, With respect to the magnitude of the DEPARTMENT OF COMMERCE imports of the subject merchandise margin likely to prevail if the order were enter the United States under an HTS revoked, in its substantive response, International Trade Administration basket category (i.e., entries of non- Vemco urged the Department to follow [A±533±809] subject merchandise are also reported the guidance of the SAA and its stated under the same item number). After policy and provide to the Commission Certain Forged Stainless Steel Flanges examining the Department’s import the margins from the original From India; Rescission of Antidumping trade statistics, we find that imports investigation. Duty Administrative Review declined significantly after the issuance of the order. We are unable to determine We agree with Vemco’s assertion that AGENCY: Import Administration, from the statistics however whether the we should report to the Commission the International Trade Administration, negilible imports under the HTS item rate from the original investigation. Department of Commerce. number are of subject or non-subject Consistent with the Sunset Policy ACTION: Notice of rescission of merchandise. Bulletin, the Department, in this case, antidumping duty administrative As noted in the SAA, declining finds that the rates from the original review. import volumes, accompanied by the investigation are the most probative of SUMMARY: The Department of Commerce continued existence of dumping the behavior of Japanese producers and margins after the issuance of the order is rescinding the February 1, 1998 exporters of drafting machines if the through January 31, 1999 antidumping may provide a strong indication that, order were to be revoked. Therefore, absent an order, dumping would be duty administrative review of certain absent information and argument to the stainless steel flanges from India likely to continue, because the evidence contrary, we see no reason to deviate would indicate that the exporter needs manufactured by Echjay Forgings Ltd. from our stated policy, and we will EFFECTIVE DATE: October 5, 1999. to dump to sell at pre-order volumes. report to the Commission the margins Therefore it is reasonable to conclude FOR FURTHER INFORMATION CONTACT: Tom contained in the Final Results of Review that Japanese producers and exporters of Killiam or Mike Heaney, Import of this notice. the subject merchandise cannot sell in Administration, International Trade the United States without dumping. Final Results of Review Administration, U.S. Department of Given that dumping above de minimis Commerce, 14th Street and Constitution continued over the life of the order, As a result of this review, the Avenue, NW, Washington DC 20230; imports decreased significantly after the Department finds that revocation of the telephone (202) 482–3019 and 482– issuance of the order, respondent antidumping order would be likely to 4475, respectively. interested parties waived their right to lead to continuation or recurrence of The Applicable Statute and Regulations participate in the instant review, and dumping at the levels indicated below. absent argument and evidence to the Unless otherwise indicated, all citations to the Tariff Act of 1930, as contrary, the Department determines Manufacturer/exporter Margin that dumping would likely continue or (percent) amended (‘‘the Act’’), are references to recur if the order on drafting machines the provisions effective January 1, 1995, from Japan were revoked. Mutoh Industries, Ltd. (Mutoh) 90.87 the effective date of the amendments All Others ...... 90.87 made to the Act by the Uruguay Round Magnitude of the Margin Agreements Act. In addition, all In the Sunset Policy Bulletin, the This notice serves as the only references to the Department of Department stated that, consistent with reminder to parties subject to Commerce’s (‘‘the Department’s’’) the SAA and House Report, the administrative protective order (‘‘APO’’) regulations are to 19 CFR part 351 (April Department will provide to the of their responsibility concerning the 1998). Commission the company-specific disposition of proprietary information Scope of Review margin from the investigation because disclosed under APO in accordance The merchandise subject to this that is the only calculated rate that with 19 CFR 351.305 of the reflects the behavior of exporters review is certain forged stainless steel Department’s regulations. Timely without the discipline of an order. flanges, both finished and not finished, notification of return/destruction of Further, for companies not specifically generally manufactured to specification investigated, or for companies that did APO materials or conversion to judicial ASTM A–182, and made in alloys such not begin shipping until after the order protective order is hereby requested. as 304, 304L, 316, and 316L. The scope was issued, the Department normally Failure to comply with the regulations includes five general types of flanges. will provide a margin based on the ‘‘all and the terms of an APO is a They are weld neck, used for butt-weld others’’ rate from the investigation. (See sanctionable violation. line connection; threaded, used for section II.B.1 of the Sunset Policy This five-year (‘‘sunset’’) review and threaded line connections; slip-on and Bulletin.) Exceptions to this policy notice are in accordance with sections lap joint, used with stub-ends/butt-weld include the use of a more recently 751(c), 752, and 777(i)(1) of the Act. line connections; socket weld, used to calculated margin, where appropriate, fit pipe into a machined recession; and Dated: September 29, 1999. and consideration of duty absorption blind, used to seal off a line. The sizes determinations. (See sections II.B.2 and Robert S. LaRussa, of the flanges within the scope range 3 of the Sunset Policy Bulletin.) Assistant Secretary for Import generally from one to six inches; The Department, in its final Administration. however, all sizes of the above- affirmative determination of sales at less [FR Doc. 99–25874 Filed 10–4–99; 8:45 am] described merchandise are included in than fair value, published a weighted- BILLING CODE 3510±DS±P the scope. Specifically excluded from average dumping margin of 90.87 the scope of this order are cast stainless percent for one Japanese producer/ steel flanges. Cast stainless steel flanges exporter of the subject merchandise, and generally are manufactured to an ‘‘all others’’ rate of 90.87 percent. specification ASTM A–351. The flanges
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.121 pfrm08 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 53999 subject to this order are currently 1999)). Therefore, pursuant to section to section 751(d)(2) of the Act and 19 classifiable under subheadings 751(d)(2) of the Act and 19 CFR CFR 351.222(i)(1) is revoking the 7307.21.1000 and 7307.21.5000 of the 351.222(i)(1), the Department of antidumping duty order on nitrile HTSUS. Commerce (‘‘the Department’’) is rubber from Japan. Pursuant to section revoking the antidumping duty order on 751(c)(6)(A)(iv) of the Act and 19 CFR Rescission of 1997/98 Antidumping nitrile rubber from Japan. Pursuant to 351.222(i)(2), this revocation is effective Duty Administrative Review section 751(c)(6)(A)(iv) of the Act and January 1, 2000. The Department will On March 29, 1999, in response to a 19 CFR 351.222(i)(2) the effective date instruct the U.S. Customs Service to request from Echjay Forgings, Ltd. of revocation is January 1, 2000. discontinue suspension of liquidation (Echjay), the Department published a FOR FURTHER INFORMATION CONTACT: Eun and collection of cash deposit rates on Notice of Initiation of Antidumping and W. Cho or Melissa G. Skinner, Office of entries of the subject merchandise Countervailing Administrative Reviews Policy for Import Administration, entered or withdrawn from warehouse (64 FR 14860). Echjay was the only International Trade Administration, on or after January 1, 2000 (the effective party who requested a review. U.S. Department of Commerce, 14th date). The Department will complete Subsequently, we received information Street and Constitution Ave., NW, any pending administrative reviews of from respondent Echjay which Washington, DC 20230; telephone: (202) this order and will conduct indicated that the company made no 482–1698 or (202) 482–1560, administrative reviews of subject sales or consumption entries of subject respectively. merchandise entered prior to the merchandise in the United States during EFFECTIVE DATE: January 1, 2000. effective date of revocation in response the period of review. On May 25, 1999, to appropriately filed requests for the Department forwarded a no- Background review. shipment inquiry to the U.S. Customs On April 1, 1999, the Department Dated: September 29, 1999. Service (Customs) for circulation to all initiated, and the Commission Robert S. LaRussa, Customs ports. Customs did not indicate instituted, a sunset review (63 FR 15727 to the Department that there was any and 64 FR 15788, respectively) of the Assistant Secretary for Import Administration. record of consumption entries of subject antidumping duty order on nitrile merchandise by Echjay during the POR. rubber from Japan pursuant to section [FR Doc. 99–25875 Filed 10–4–99; 8:45 am] We are therefore rescinding this review 751(c) of the Act. As a result of the BILLING CODE 3510±DS±P in its entirety in accordance with review, the Department found that section(a)(1) of the Tariff Act (19 U.S.C. revocation of the antidumping duty DEPARTMENT OF COMMERCE 1675(a)(1)) and section 351.213(d)(3) of order would likely lead to continuation our regulations. or recurrence of dumping and notified International Trade Administration This notice is published in the Commission of the magnitude of the accordance with section 777(i)(1) of the margin likely to prevail were the order Application for Duty-Free Entry of Act. to be revoked (see Final Results of Scientific Instrument Dated: September 27, 1999. Expedited Sunset Review: Nitrile Rubber From Japan, 64 FR 42668 (August 5, Pursuant to Section 6(c) of the Edward Yang, Educational, Scientific and Cultural Acting Deputy Assistant Secretary for Import 1999). On September 23, 1999, the Materials Importation Act of 1966 (Pub. Administration. L. 89–651; 80 Stat. 897; 15 CFR part [FR Doc. 99–25752 Filed 10–4–99; 8:45 am] Commission determined, pursuant to section 751(c) of the Act, that revocation 301), we invite comments on the BILLING CODE 3510±DS±P of the antidumping duty order on nitrile question of an instrument of equivalent rubber from Japan would not likely lead scientific value, for the purposes for which the instrument shown below is DEPARTMENT OF COMMERCE to continuation or recurrence of material injury to an industry in the United intended to be used, is being International Trade Administration States within a reasonably foreseeable manufactured in the United States. time (see Nitrile Rubber From Japan, 64 Comments must comply with 15 CFR [A±588±706] FR 51557 (September 23, 1999), and 301.5(a)(3) and (4) of the regulations and be filed within 20 days with the Revocation of Antidumping Duty USITC Pub. 3233, Inv. No. 731-TA–384 (Review) (September 1999)). Statutory Import Programs Staff, U.S. Order: Nitrile Rubber From Japan Department of Commerce, Washington, AGENCY: Import Administration, Scope D.C. 20230. Application may be International Trade Administration, The merchandise covered by this examined between 8:30 a.m. and 5:00 Department of Commerce. order is nitrile rubber from Japan. p.m. in Room 4211, U.S. Department of ACTION: Notice of revocation of Nitrile rubber from Japan is currently Commerce, 14th Street and Constitution antidumping duty order: nitrile rubber classifiable under item number Avenue, N.W., Washington, D.C. from Japan. 4002.59.0000 of the Harmonized Tariff Docket Number: 99–022. Applicant: Schedule (‘‘HTS’’). The HTS item Massachusetts Institute of Technology, SUMMARY: Pursuant to section 751(c) of number is provided for convenience and Center for Cancer Research, 77 the Tariff Act of 1930, as amended (‘‘the customs purposes. The written Massachusetts Avenue, Cambridge, MA Act’’), the United States International description remains dispostive. 02139. Instrument: Fish Tank System, Trade Commission (‘‘the Commission’’) replacement parts for existing tank determined that revocation of the Determination system, and fish breeding accessories. antidumping duty order on nitrile As a result of the determination by the Manufacturer: Klaus-Jurgen Schwarz, rubber from Japan is not likely to lead Commission that revocation of this Germany. Intended Use: The instrument to continuation or recurrence of material antidumping duty order is not likely to will be used to house a large number of injury to an industry in the United lead to continuation or recurrence of genetically different strains of fish for States within a reasonably foreseeable material injury to an industry in the research to identify and clone the genes time (64 FR 51557 (September 23, United States, the Department, pursuant that are required to make a normal
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00006 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.018 pfrm08 PsN: 05OCN1 54000 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices living zebra fish embryo. The may also be included under this (64 FR 13543). Follow-up comments instrument will also be used to train NVCASE activity. from the public were accepted through graduate students and postdoctoral Sub-program requirements have been May 30, 1999. fellows to carry out genetic research on developed in accordance with NCVASE NIST will apply the generic early vertebrate development using the Regulations and with public requirements contained in the zebra fish as an experimental model consultation. Public input was obtained International Organization for system. Application accepted by at two open meetings on April 27 and Standardization/International Commissioner of Customs: September 9, April 28, 1999 and from comments Electrotechnical Commission (ISO/IEC) 1999. received through May 30, 1999. Guide 61—‘‘General Requirements for Frank W. Creel, DATES: Applications will be accepted Assessment and Accreditation of Director, Statutory Import Programs Staff. beginning September 30, 1999. Certification/Registration Bodies,’’ to all applicant accreditation bodies. [FR Doc. 99–25872 Filed 10–4–99; 8:45 am] ADDRESSES: Applications for recognition Certification bodies applying to BILLING CODE 3510±DS±P may be obtained from, and returned to, Robert L. Gladhill, NVCASE Program recognized accreditation bodies are to Manager, NIST, 100 Bureau Drive, be assessed against the requirements of DEPARTMENT OF COMMERCE Mailstop 2100, Gaithersburg, MD ISO/IEC Guide 65—‘‘General 20899–2100, by fax (301) 975–5414, or Requirements for Bodies Operating National Institute of Standards and email at [email protected]. Product Certification Systems.’’ These generic requirements will be Technology FOR FURTHER INFORMATION CONTACT: supplemented by specific requirements Robert L. Gladhill, NVCASE Program contained in individual NVCASE [Docket No. 990927265±9265±01] Manager, at NIST, 100 Bureau Drive, program handbooks, available on Mailstop 2100, Gaithersburg, MD National Voluntary Conformity request from NIST. Assessment System Evaluation 20899–2100, telephone: (301) 975–4273, For the FCC Telecommunications (NVCASE) Program telefax: (301) 975–5414, email: Certification Body (TCB) program, [email protected]. established in FCC Docket 98–68, NIST AGENCY: National Institute of Standards SUPPLEMENTARY INFORMATION: The will apply requirements contained in and Technology, Commerce. NVCASE sub-program to recognize the Docket and information published ACTION: Notice. bodies that accredit certification bodies subsequently by the FCC. The FCC TCB to certify telecommunications programs requires that TCBs be SUMMARY: The National Institute of equipment is being established in accredited to both ISO/IEC Guide 65— Standards and Technology (NIST) accordance with the NVCASE ‘‘General Requirements for the hereby announces the establishment of Regulations (15 CFR 286.2(b)(3)(ii)) and Competence of Testing and Calibration a sub-program under the National in response to requirements as Laboratories.’’ The FCC has determined Voluntary Conformity Assessment described in FCC GEN Docket 98–68 that a prospective TCB which is already System Evaluation (NVCASE) program (FCC 98–338), adopted on December 17, accredited to ISO/IEC Guide 25 by to recognize bodies that accredit 1998, and FCC Public Notice DA 99– NIST’s National Voluntary Laboratory certification bodies to certify products 1640, released August 17, 1999. This Accreditation Program (NVLAP), the related to telecommunications sub-program also supports NIST’s American Association for Laboratory equipment. The sub-program is being responsibilities as a designating Accreditation (A2LA), or another established in accordance with NVCASE authority for the United States in both recognized body will not have to obtain regulations in response to a request from the Telecommunication Equipment another Guide 25 accreditation, a Federal Agency, the Federal Sectoral Annex of the U.S./EU MRA provided that the equipment it certifies Communications Commission. (which may be located at http:// is covered by the scope of its Accreditation bodies recognized by www.iep.doc.gov/mra/mra.htm) and the accreditation. NIST may then accredit certification APEC MRA for Conformity Assessment Organizations seeking to operate as bodies to certify that specified of Telecommunications Equipment Conformity Assessment Bodies (CABs) telecommunications equipment satisfies (which may be located at http:// for the purposes of certifying products designated foreign or domestic www.apii.or.kr/telwg/mraTG/mraTG- relating to telecommunications government regulatory (i.e.,mandated) frame.html). equipment covered under the provisions requirements. As referenced in this notice, of the U.S.–EU MRA and APEC MRA The action taken under this notice telecommunications equipment covers must be accredited to ISO/IEC Guide 65; addresses both generic and specific network terminal attachment and other however, they are not presently required NVCASE requirements pursuant to U.S. equipment subject to to be accredited to ISO/IEC Guide 25. Federal Communications Commission telecommunications regulations, Both the U.S.–EU MRA and APEC MRA (FCC) requirements under FCC Docket including wire and wireless equipment, (Phase I) also provide for a separate role 98–68, requirements relating to the transmitters, and terrestrial and satellite for testing laboratories accredited to telecommunications sector specified in equipment, whether or not connected to ISO/IEC Guide 25 for specific test the U.S.-European Union (EU) Mutual a Public Telecommunications Network. methods. A separate NVCASE sub- Recognition Agreement (MRA), and Generic and specific requirements for program to recognize accreditors of requirements specified in the Asia this NVCASE sub-program have been testing laboratories is also being Pacific Economic Cooperation (APEC) established in accordance with NVCASE established to meet this requirement. Mutual Recognition Arrangement for the regulations (15 CFR 286.5). Public input As stated in the NVCASE regulations Conformity Assessment of on the establishment of sub-program (15 CFR 286.4), the NVCASE program is Telecommunications Equipment. If requirements was received during two operated on a cost reimbursable basis. It MRSs covering telecommunications workshops held at the Department of is open for voluntary participation by equipment are negotiated between the Commerce on April 27 and 28, 1999. any U.S.-based body that conducts United States and another country or These workshops were announced in activities relating to conformity region, additional specific requirements the Federal Register on March 19, 1999 assessment falling within the program’s
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00007 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.125 pfrm08 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54001 scope. Pursuant to this notice, NIST will Dated: September 29, 1999. resolutions and will receive an overview accept applications from accreditation Karen H. Brown, of implementation of recommendations bodies that are interested in being Deputy Director. for research and management resulting recognized to accredit certification [FR Doc. 99–25748 Filed 10–4–99; 8:45 am] from its Spring 1999 Species Working bodies under the FCC TCB program, the BILLING CODE 3510±13±M Group meeting. Both sessions will be telecommunications equipment sectoral open to the public; however, the annex of the U.S./EU MRA or the APEC October 24, 1999, session will be the MRA if they meet the above criteria. DEPARTMENT OF COMMERCE only opportunity for public comment. Prospective accreditation bodies must Written comments are encouraged and, submit a complete application and National Oceanic and Atmospheric if mailed, should be received by October required fees by October 30, 1999 in Administration 20, 1999 (see ADDRESSES). Written order to be included in the initial group [I.D. 092499O] to be evaluated. comments can also be submitted during Accreditation bodies seeking the open sessions of the Advisory Advisory Committee to the U.S. Committee meeting. recognition for the purposes of the FCC Section of the International TCB program may begin accepting Commission for the Conservation of The Advisory Committee will go into applications from candidate TCBs Atlantic Tunas (ICCAT); Fall Meeting executive session for the afternoon immediately. To ensure fairness in the session of October 25, 1999, and for the process, initial applications to become a AGENCY: National Marine Fisheries entire October 26 session to discuss TCB will be handled as a group. All Service (NMFS), National Oceanic and sensitive information. These sessions such applications filed and accepted by Atmospheric Administration (NOAA), are not open to the public. November 15, 1999 by an accreditation Commerce. The public is reminded that NMFS body which has applied to NIST for ACTION: Notice of public meeting. recognition will be handled in the first expects members of the public to group of TCBs. Applications received SUMMARY: The Advisory Committee to conduct themselves appropriately for subsequently will be considered on an the U.S. Section to ICCAT will hold its the duration of the meeting. At the as-received basis for evaluation after the annual fall meeting on October 24–26, beginning of the public comment initial group of applicants has been 1999. session, an appropriate representative considered. DATES: The open sessions will be held will explain the ground rules (e.g., The evaluation of the first group of on October 24, 1999, from 12:15 p.m. to alcohol in the meeting room is accreditation bodies applying for 6:00 p.m. and October 25, 1999, from prohibited, attendees will be called to NVCASE recognition will begin on or 8:30 a.m. to 12:00 p.m. Closed sessions give their comments in the order in about November 15, 1999. All will be held on October 25, 1999, from which they registered to speak, each accreditation bodies that have submitted 2:00 p.m. to 6:30 p.m. and on October attendee will have an equal amount of a complete application and required 26, 1999, from 8:00 a.m. to 1:30 p.m. time to speak, and attendees should not fees to NIST by October 30, 1999, will Written comments should be received interrupt one another). The appropriate be included in this initial group. no later than October 20, 1999. representative will attempt to structure Applications received subsequently will ADDRESSES: The meeting will be held at the session so that all attending be considered on an as-received basis the Holiday Inn, 8777 Georgia Avenue, members of the public are able to for evaluation after the initial group of Silver Spring, MD. Written comments comment, if they so choose, regardless applicants has been considered. should be sent to Kim Blankenbeker, NIST expects to announce recognition of the degree of controversy of the Executive Secretary to the Advisory of qualified accreditation bodies on or subject(s). Attendees are expected to Committee, NOAA - Fisheries/SF4, 1315 about March 1, 2000. At about the same respect the ground rules, and if they do East-West Highway, Silver Spring, MD time, NIST also expects to identify and not, they will be asked to leave the 20910. list an initial group of qualified meeting. certifiers for each of the areas noted. FOR FURTHER INFORMATION CONTACT: Special Accommodations Certifiers listed under the provisions of Patrick E. Moran, (301) 713-2276. the telecommunications equipment SUPPLEMENTARY INFORMATION: The The meeting locations are physically sectoral annex of the U.S./EU MRA or Advisory Committee to the U.S. Section accessible to people with disabilities. under the APEC MRA will be to ICCAT will meet in two open Requests for sign language sessions to consider information on designated by NIST as conformity interpretation or other auxiliary aids stock status of highly migratory species assessment bodies. Certifiers listed should be directed to Patrick E. Moran under the provisions of FCC Docket 98– and 1999 management at (301) 713–2276 at least 7 days prior 68 will be nominated to the FCC for recommendations of ICCAT’s Standing to the meeting date. designation as TCBs. Committee on Research and Statistics. Notwithstanding any other provision Also in the open sessions, the Advisory Dated: September 30, 1999. of law, no person is required to respond Committee will review the results of Bruce C. Morehead, nor shall a person be subject to a recent meetings including: ICCAT Acting Director, Office of Sustainable penalty for failure to comply with a working group meetings on allocation Fisheries, National Marine Fisheries Service. collection of information subject to the criteria, the precautionary approach, [FR Doc. 99–25866 Filed 10–4–99; 8:45 am] requirements of the Paperwork and bycatch; Advisory Committee Reduction Act unless that collection of regional meetings; and the Committee’s BILLING CODE 3510±22±F information displays a currently valid 1999 minimum size workshop. The Office of Management and Budget Committee will also discuss other (OMB) Control Number. This notice ICCAT-related activities. Furthermore, involves a collection of information the Committee will review the approved under OMB Control No. 0693– implementation of 1998 and prior 0019. ICCAT recommendations and
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DEPARTMENT OF COMMERCE Conservation and Management Act, Comments may also be submitted by provided the public has been notified of facsimile at (301) 713–0376, provided National Oceanic and Atmospheric the Council’s intent to take final action the facsimile is confirmed by hard copy Administration to address the emergency. submitted by mail and postmarked no [I.D. 092999A] Special Accommodations later than the closing date of the comment period. Please note that New England Fishery Management This meeting is physically accessible comments will not be accepted by e- Council; Public Meeting to people with disabilities. Requests for mail or other electronic media. sign language interpretation or other AGENCY: National Marine Fisheries auxiliary aids should be directed to Paul FOR FURTHER INFORMATION CONTACT: Service (NMFS), National Oceanic and J. Howard (see ADDRESSES) at least 5 Ruth Johnson, 301/713–2289. Atmospheric Administration (NOAA), days prior to the meeting dates. Commerce. SUPPLEMENTARY INFORMATION: The Dated: September 29, 1999. subject amendment to Permit No. 1024, ACTION: Public meeting. Richard W. Surdi, issued on December 30, 1997 (62 FR SUMMARY: The New England Fishery Acting Director, Office of Sustainable 1875) is requested under the authority Management Council (Council) is Fisheries, National Marine Fisheries Service. of the Marine Mammal Protection Act of scheduling a public meeting of its [FR Doc. 99–25755 Filed 10–4–99; 8:45 am] 1972, as amended (16 U.S.C. 1361 et Herring Oversight Committee in October BILLING CODE 3510±22±F seq.)and the Regulations Governing the 1999. Recommendations from the Taking and Importing of Marine committee will be brought to the full Mammals (50 CFR part 216). DEPARTMENT OF COMMERCE Council for formal consideration and Permit No. 1024 authorizes the permit action, if appropriate. This will be a National Oceanic and Atmospheric holder to take Antarctic fur seals and joint meeting with the Atlantic States Administration other Antarctic pinnipeds by capture, Marine Fisheries Commission Atlantic handle, tag and attach satellite Herring Section. [I.D. 092899H] transmitters. The permit holder requests DATES: The meeting will held on an increase take of 200 adult female Thursday, October 21, 1999, at 10:00 Marine Mammals; File No. 772#69 Antarctic fur seals (100 each year for a.m. AGENCY: National Marine Fisheries two years) for tooth extraction. Animals ADDRESSES: The meeting will be held at Service (NMFS), National Oceanic and will be anesthetized using isoflurane the Sheraton Ferncroft Hotel, 50 Atmospheric Administration (NOAA), delivered with oxygen to the mask via Ferncroft Road, Danvers, MA 01923; Commerce. a portable vaporizer. Also, to minimize telephone ACTION: Receipt of application for (978)777–2500. stress the animals, 2–3mg (dependent amendment. on body size) of benzo9diazepines is FOR FURTHER INFORMATION CONTACT: Paul administered intravenously during J. Howard, Executive Director, New SUMMARY: Notice is hereby given that induction of isoflurane anesthesia. The England Fishery Management Council Southwest Fisheries Science Center, area of the tooth extraction will be (781) 231–0422. Requests for special National Marine Fisheries Service, 8604 accommodations should be addressed to La Jolla Shores Dr., La Jolla, CA 92037, cleansed with antiseptic solution during the New England Fishery Management has requested an amendment to and after extraction. Council, 5 Broadway, Saugus, scientific research Permit No. 1024. In compliance with the National Massachusetts 01906–1036; telephone: DATES: Written or telefaxed comments Environmental Policy Act of 1969 (42 (781) 231–0422. must be received on or before November U.S.C. 4321 et seq.), an initial SUPPLEMENTARY INFORMATION: The 4, 1999. determination has been made that the committee will discuss various options ADDRESSES: The amendment request activity proposed is categorically for developing a controlled access and related documents are available for excluded from the requirement to program for the Atlantic herring fishery. review upon written request or by prepare an environmental assessment or The committee also may discuss other appointment in the following office(s): environmental impact statement. herring management issues, including Permits and Documentation Division, Concurrent with the publication of spawning area closures, gear Office of Protected Resources, NMFS, this notice in the Federal Register, competition and interactions in the Gulf 1315 East-West Highway, Room 13705, NMFS is forwarding copies of this of Maine, management area Total Silver Spring, MD 20910 (301/713– application to the Marine Mammal Allowable Catches (TACs), and 2289); and Commission and its Committee of changing the start date of the fishing Regional Administrator, Southwest year. There will be a brief closed session Region, NMFS, 501 West Ocean Blvd., Scientific Advisors. to discuss appointments to the Herring Suite 4200, Long Beach, CA 90802–4213 Dated: September 28, 1999. Advisory Panel. (562/980–4001). Ann D. Terbush, Although non-emergency issues not Written comments or requests for a Chief, Permits and Documentation Division, contained in this agenda may come public hearing on this request should be Office of Protected Resources, National before this Council for discussion, those submitted to the Chief, Permits and Marine Fisheries Service. issues may not be the subject of formal Documentation Division, F/PR1, Office [FR Doc. 99–25754 Filed 10–4–99; 8:45 am] Council action during this meeting. of Protected Resources, NMFS, 1315 BILLING CODE 3510±22±F Council action will be restricted to those East-West Highway, Room 13130, Silver issues specifically listed in this notice Spring, MD 20910. Those individuals and any issues arising after publication requesting a hearing should set forth the of this notice that require emergency specific reasons why a hearing on this action under section 305(c) of the particular amendment request would be Magnuson-Stevens Fishery appropriate.
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COMMITTEE FOR THE on January 1, 1999 and extends through 5 Category 666±P: only HTS numbers December 31, 1999. 6302.22.1010, 6302.22.1020, 6302.22.2010, IMPLEMENTATION OF TEXTILE 6302.32.1010, 6302.32.1020, 6302.32.2010 AGREEMENTS Effective on October 5, 1999, you are directed to adjust the limits for the following and 6302.32.2020. 6 Category 666±S: only HTS numbers Adjustment of Import Limits for Certain categories, as provided for under the Uruguay 6302.22.1030, 6302.22.1040, 6302.22.2020, Cotton and Man-Made Fiber Textile Round Agreement on Textiles and Clothing: 6302.32.1030, 6302.32.1040, 6302.32.2030 Products Produced or Manufactured in and 6302.32.2040. Category Adjusted twelve-month Pakistan limit 1 The Committee for the Implementation of Textile Agreements has determined that September 30, 1999. Specific limits these actions fall within the foreign affairs AGENCY: Committee for the 226/313 ...... 139,721,594 square exception of the rulemaking provisions of 5 Implementation of Textile Agreements meters. U.S.C. 553(a)(1). (CITA). 237 ...... 143,950 dozen. Sincerely, D. Michael Hutchinson, ACTION: Issuing a directive to the 331/631 ...... 3,145,096 dozen pairs. Commissioner of Customs adjusting 334/634 ...... 357,773 dozen. Acting Chairman, Committee for the Implementation of Textile Agreements. limits. 335/635 ...... 431,447 dozen. 338 ...... 6,342,757 dozen. [FR Doc. 99–25877 Filed 10–4–99; 8:45 am] 339 ...... 1,820,243 dozen. EFFECTIVE DATE: October 5, 1999. BILLING CODE 3510±DR±F 347/348 ...... 1,108,795 dozen. FOR FURTHER INFORMATION CONTACT: Ross 359±C/659±C 2 ...... 1,014,442 kilograms. Arnold, International Trade Specialist, 360 ...... 6,374,146 numbers. COMMITTEE FOR THE Office of Textiles and Apparel, U.S. 361 ...... 7,411,797 numbers. IMPLEMENTATION OF TEXTILE Department of Commerce, (202) 482– 363 ...... 52,498,126 numbers. AGREEMENTS 4212. For information on the quota 369±F/369±P 3 ...... 2,913,089 kilograms. status of these limits, refer to the Quota 369±S 4 ...... 866,255 kilograms. 613/614 ...... 27,180,846 square Adjustment of Import Restraint Limits Status Reports posted on the bulletin for Certain Cotton, Wool and Man- boards of each Customs port, call (202) meters 615 ...... 28,674,693 square Made Fiber Textiles and Textile 927–5850, or refer to the U.S. Customs meters. Products Produced or Manufactured in website at http:// 625/626/627/628/629 71,095,682 square Thailand www.customs.ustreas.gov. For meters of which not information on embargoes and quota re- more than September 30, 1999. openings, call (202) 482–3715. 41,929,654 square AGENCY: Committee for the meters shall be in Implementation of Textile Agreements SUPPLEMENTARY INFORMATION: Category 625; not (CITA). Authority: Section 204 of the Agricultural more than ACTION: Issuing a directive to the Act of 1956, as amended (7 U.S.C. 1854); 41,929,654 square Executive Order 11651 of March 3, 1972, as meters shall be in Commissioner of Customs adjusting amended. Category 626; not limits. more than The current limits for certain EFFECTIVE DATE: 41,929,654 square October 6, 1999. categories are being adjusted, variously, meters shall be in FOR FURTHER INFORMATION CONTACT: Ross for swing, special shift and Category 627; not Arnold, International Trade Specialist, carryforward. more than 8,675,101 Office of Textiles and Apparel, U.S. A description of the textile and square meters shall Department of Commerce, (202) 482– apparel categories in terms of HTS be in Category 628; 4212. For information on the quota numbers is available in the and not more than status of these limits, refer to the Quota CORRELATION: Textile and Apparel 41,929,654 square Status Reports posted on the bulletin meters shall be in Categories with the Harmonized Tariff boards of each Customs port, call (202) Schedule of the United States (see Category 629. 638/639 ...... 138,149 dozen. 927–5850, or refer to the U.S. Customs Federal Register notice 63 FR 71096, 647/648 ...... 915,419 dozen. website at http:// published on December 23, 1998). Also 666±P 5 ...... 869,333 kilograms. www.customs.ustreas.gov. For see 63 FR 59946, published on 666±S 6 ...... 4,782,383 kilograms. information on embargoes and quota re- November 6, 1998. openings, call (202) 482–3715. 1 The limits have not been adjusted to ac- D. Michael Hutchinson, count for any imports exported after December SUPPLEMENTARY INFORMATION: Acting Chairman, Committee for the 31, 1998. Authority: Section 204 of the Agricultural Implementation of Textile Agreements. 2 Category 359±C: only HTS numbers 6103.42.2025, 6103.49.8034, 6104.62.1020, Act of 1956, as amended (7 U.S.C. 1854); Committee for the Implementation of Textile 6104.69.8010, 6114.20.0048, 6114.20.0052, Executive Order 11651 of March 3, 1972, as Agreements 6203.42.2010, 6203.42.2090, 6204.62.2010, amended. September 30, 1999. 6211.32.0010, 6211.32.0025 and The current limits for certain Commissioner of Customs, 6211.42.0010; Category 659±C: only HTS numbers 6103.23.0055, 6103.43.2020, categories are being adjusted, variously, Department of the Treasury, Washington, DC 6103.43.2025, 6103.49.2000, 6103.49.8038, for swing, carryforward, carryforward 20229. 6104.63.1020, 6104.63.1030, 6104.69.1000, used and re-crediting of unused Dear Commissioner: This directive 6104.69.8014, 6114.30.3044, 6114.30.3054, carryforward. amends, but does not cancel, the directive 6203.43.2010, 6203.43.2090, 6203.49.1010, 6203.49.1090, 6204.63.1510, 6204.69.1010, A description of the textile and issued to you on November 3, 1998, by the apparel categories in terms of HTS Chairman, Committee for the Implementation 6210.10.9010, 6211.33.0010, 6211.33.0017 and 6211.43.0010. of Textile Agreements. That directive numbers is available in the 3 Category 369±F: only HTS number CORRELATION: Textile and Apparel concerns imports of certain cotton and man- 6302.91.0045; Category 369±P: only HTS made fiber textile products, produced or numbers 6302.60.0010 and 6302.91.0005. Categories with the Harmonized Tariff manufactured in Pakistan and exported 4 Category 369±S: only HTS number Schedule of the United States (see during the twelve-month period which began 6307.10.2005. Federal Register notice 63 FR 71096,
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.083 pfrm08 PsN: 05OCN1 54004 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices published on December 23, 1998). Also 2 Category 301±O: only HTS numbers United States for consumption or see 63 FR 58369, published on October 5205.21.0020, 5205.21.0090, 5205.22.0020, withdrawal from warehouse for 5205.22.0090, 5205.23.0020, 5205.23.0090, 30, 1998. 5205.24.0020, 5205.24.0090, 5205.26.0020, consumption under quota and visa D. Michael Hutchinson, 5205.26.0090, 5205.27.0020, 5205.27.0090, requirements are exempt from visa and 5205.28.0020, 5205.28.0090, 5205.41.0020, Acting Chairman, Committee for the quota requirements upon re-entry into 5205.41.0090, 5205.42.0020, 5205.42.0090, the United States if entered under HTS Implementation of Textile Agreements. 5205.43.0020, 5205.43.0090, 5205.44.0020, heading 9801.00.26. Committee for the Implementation of Textile 5205.44.0090, 5205.46.0020, 5205.46.0090, Agreements 5205.47.0020, 5205.47.0090, 5205.48.0020 D. Michael Hutchinson, and 5205.48.0090. Acting Chairman, Committee for the September 30, 1999. 3 Category 314±O: all HTS numbers except Implementation of Textile Agreements. Commissioner of Customs, 5209.51.6015. 4 Department of the Treasury, Washington, DC Category 369±D: only HTS numbers Committee for the Implementation of Textile 6302.60.0010, 6302.91.0005 and Agreements 20229. 6302.91.0045. Dear Commissioner: This directive 5 Category 604±A: only HTS number September 30, 1999. amends, but does not cancel, the directive 5509.32.0000. Commissioner of Customs, issued to you on October 27, 1998, by the Department of the Treasury, Washington, DC The Committee for the Implementation of 20229. Chairman, Committee for the Implementation Textile Agreements has determined that of Textile Agreements. That directive these actions fall within the foreign affairs Dear Commissioner: This directive concerns imports of certain cotton, wool, exception to the rulemaking provisions of 5 amends, but does not cancel, all import man-made fiber, silk blend and other U.S.C. 553(a)(1). control directives issued to you by the Chairman, Committee for the vegetable fiber textiles and textile products, Sincerely, Implementations of Textile Agreements. This produced or manufactured in Thailand and D. Michael Hutchinson, exported during the period which began on directive also amends, but does not cancel, Acting Chairman, Committee for the January 1, 1999 and extends through all visa requirements for all countries for Implementation of Textile Agreements. which visa arrangements are in place with December 31, 1999. the United States. Effective on October 6, 1999, you are [FR Doc. 99–25876 Filed 10–4–99; 8:45 am] Effective on October 8, 1999, you are BILLING CODE 3510±DR±F directed to reduce the limits for the following directed to exempt from visa and quota categories, as provided for under the Uruguay requirements, upon re-entry into the United Round Agreement on Textiles and Clothing: States, textile and apparel products entered COMMITTEE FOR THE under HTS heading 9801.00.26 which are IMPLEMENTATION OF TEXTILE Category Adjusted twelve-month produced or manufactured in various limit 1 AGREEMENTS countries and have previously been entered into the United States for consumption or Levels in Group I Amendment of Export Visa and Quota withdrawal from warehouse for consumption 300 ...... 4,841,738 kilograms. Requirements for Certain Textile under quota and visa requirements. 301±O 2 ...... 1,105,545 kilograms. Products Produced or Manufactured in The Committee for the Implementation of 3 314±O ...... 62,268,628 square Various Countries and Re-Imported Textile Agreements has determined that this meters. action falls within the foreign affairs 363 ...... 24,494,704 numbers. September 30, 1999. exception of the rulemaking provisions of 5 4 369±D ...... 269,213 kilograms. AGENCY: Committee for the U.S.C. 553(a)(1). 603 ...... 2,443,598 kilograms. Implementation of Textile Agreements Sincerely, 604 ...... 862,199 kilograms of (CITA). D. Michael Hutchinson, which not more than Acting Chairman, Committee for the ACTION: Issuing a directive to the 516,609 kilograms Implementation of Textile Agreements. shall be in Category Commissioner of Customs amending [FR Doc. 99–25878 Filed 10–4–99; 8:45 am] 604±A 5. visa and quota requirements for goods 607 ...... 3,685,143 kilograms. re-imported. BILLING CODE 3510±DR±F 613/614/615 ...... 46,481,556 square meters of which not EFFECTIVE DATE: October 8, 1999. more than FOR FURTHER INFORMATION CONTACT: Lori DEPARTMENT OF DEFENSE 30,307,739 square E. Mennitt, International Trade meters shall be in Specialist, Office of Textiles and Office of the Secretary Categories 613/615 Apparel, U.S. Department of Commerce, Submission for OMB review; comment and not more than (202) 482–3400. 30,307,739 square request meters shall be in SUPPLEMENTARY INFORMATION: AGENCY: Category 614. Authority: Section 204 of the Agricultural Office of the Secretary, DoD. 619 ...... 8,007,894 square me- Act of 1956, as amended (7 U.S.C. 1854); ACTION: Notice. ters. Executive Order 11651 of March 3, 1972, as 620 ...... 7,899,539 square me- amended. The Department of Defense has ters. submitted to OMB for clearance, the Sublevels in Group II Harmonized Tariff Schedule of the following proposal for collection of 336/636 ...... 389,178 dozen. United States (HTS) heading 9801.00.26 information under the provisions of the 338/339 ...... 2,193,680 dozen. provides that certain previously Paperwork Reduction Act (44 U.S.C. 340 ...... 350,262 dozen. imported articles that were exported to Chapter 35). 345 ...... 326,098 dozen. individuals for personal use and are re- Title, Form Number, and OMB 347/348/847 ...... 975,880 dozen. imported without having been advanced Number: Army ROTC 4-Year 442 ...... 23,347 dozen. in value or improved in condition may Scholarship Application; ROTC Cadet 638/639 ...... 2,274,280 dozen. be imported duty-free. Effective on Command Form 114; OMB Number 647/648 ...... 1,199,383 dozen. October 8, 1999, textile and apparel 0702–0073. 1 The limits have not been adjusted to ac- products which are produced or Type of Request: Reinstatement. count for any imports exported after December manufactured in various countries and Number of Respondents: 7,500. 31, 1998. have previously been entered into the Responses per Respondent: 1.
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Annual Responses: 7,500. Annual Burden Hours: 750. costs for preparation and final Average Burden per Response: 45 Need and Uses: The DD Form 2339 is disposition of remains. DD Form 1375 minutes. used in support of international military provides next-of-kin with an instrument Annual Burden Hours: 5,625. students who are attending training in to apply for reimbursement of funeral/ Needs and Uses: The ROTC the United States with the Military interment expenses. This information is scholarship provides the Army with Departments as part of the security used to adjudicate claims for highly qualified men and women who assistance training program. The DD reimbursement of these expenses. desire to pursue a commission in the Form 2339 is utilized in gathering Affected Public: Individuals or U.S. Army. The application and information on the international student Households. information provides the basis for the prior to their arrival in the United States Frequency: On occasion. scholarship award. The education, in order that civilian and military Respondent’s Obligation: Required to physical, and academic potential are sponsors can be assigned to assist the Obtain or Retain Benefits. critical factors in an applicant’s overall student during training. OMB Desk Officer: Mr. Edward C. evaluation. Completed applications are Affected Public: Individuals or Springer. submitted to Headquarters, Cadet Households. Written comments and Command for review, screening, and Frequency: On occasion. recommendations on the proposed selection of scholarship recipients. Respondents Obligation: Voluntary. information collection should be sent to Affected Public: Individuals or OMB Desk Officer: Mr. Edward C. Mr. Springer at the Office of Households. Springer. Written comments and Management and Budget, Desk Officer Frequency: On occasion. recommendations on the proposed for DoD, Room 10236, New Executive Respondent’s Obligation: Required to information collection should be sent to Office Building, Washington, DC 20503. obtain or retain benefits. Mr. Springer, at the Office of DOD Clearance Officer: Mr. Robert OMB Desk Officer: Mr. Edward C. Management and Budget, Desk Officer Cushing. Springer. Written comments and for DoD, Room 10236, New Executive Written requests for copies of the recommendations on the proposed Office Building, Washington, DC 20503. information collection proposal should information collection should be sent to DoD Clearance Officer: Mr. Robert be sent to Mr. Cushing, WHS/DIOR, Mr. Springer at the Office of Cushing. Written requests for copies of 1215 Jefferson Davis Highway, Suite Management and Budget, Desk Officer the information collection proposal 1204, Arlington, VA 22202–4302. for DoD, Room 10236, New Executive should be sent to Mr. Cushing, WHS/ Office Building, Washington, DC 20503. DIOR, 1215 Jefferson Davis Highway, Dated: September 28, 1999. DOD Clearance Officer: Mr. Robert Suite 1204, Arlington, VA 22202–4302. Patricia L. Toppings, Cushing. Written requests for copies of Alternate OSD Federal Register, Liaison Dated: September 28, 1999. the information collection proposal Officer, Department of Defense. Patricia L. Toppings, should be sent to Mr. Cushing, WHS/ [FR Doc. 99–25760 Filed 10–4–99; 8:45 am] Alternate OSD Federal Register Liaison DIOR, 1215 Jefferson Davis Highway, BILLING CODE 5001±10±M Suite 1204, Arlington, VA 22202–4302. Officer, Department of Defense. [FR Doc. 99–25759 Filed 10–4–99; 8:45 am] Dated: September 28, 1999. BILLING CODE 5001±10±M DEPARTMENT OF DEFENSE Patricia L. Toppings, Alternate OSD Federal Register Liaison Office of the Secretary Officer, Department of Defense. DEPARTMENT OF DEFENSE [FR Doc. 99–25758 Filed 10–4–99; 8:45 am] Submission for OMB Review; BILLING CODE 5001±10±M Office of the Secretary Comment Request
Submission for OMB Review; ACTION: Notice. DEPARTMENT OF DEFENSE Comment Request The Department of Defense has ACTION: Office of the Secretary Notice. submitted to OMB for clearance, the following proposal for collection of The Department of Defense has information under the provisions of the Submission for OMB review; Comment submitted to OMB for clearance, the Paperwork Reduction Act (44 U.S.C. Request following proposal for collection of Chapter 35). information under the provisions of the AGENCY: Office of the Secretary, DoD. Title and OMB Number: TRICARE Paperwork Reduction Act (44 U.S.C. ACTION: Notice. Enrollment Application Form; OMB Chapter 35). The Department of Defense has Title, Form Number, and OMB Number 0720–0008. submitted to OMB for clearance, the Number: Disposition of Remains— Type of Request: Reinstatement. following proposal for collection of Reimbursable Basis Request for Payment Number of Respondents: 575,210. Responses per Respondent: 1. information under the provisions of the of Funeral and/or Interment Expenses; Annual Responses: 575,210. Paperwork Reduction Act (44 U.S.C. DD Forms 2065 and 1375; OMB Number Average Burden per Response: 15 Chapter 35). 0704–0030. Title, Form Number, and OMB Type of Request: Reinstatement. minutes. Number: International Military Student Number of Respondents: 2,450. Annual Burden Hours: 143,802. Information; DD Form 2339; OMB Responses per Respondent: 1. Needs and Uses: The form serves as Number 0702–0064. Annual Responses: 2,450. an application form for enrollment in Type of Request: Reinstatement. Average Burden per Response: 20 the TRICARE Health Care Delivery Number of Respondents: 3,000. minutes (DD 2065); 10 minutes (DD Program established in accordance with Responses per Respondents: 1. 1375). 10 U.S.C. 1099. The Department of Annual Response: 3,000. Annual Burden Hours: 425. Defense established TRICARE to povide Average Burden per Response: 15 Needs and Uses: The DD Form 2065 for a more cost effective program for the minutes. records disposition instructions and delivery of health care services and to
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00012 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.011 pfrm08 PsN: 05OCN1 54006 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices improve the quality and access to health regulators in the areas of environmental (Pub. L. No. 92–463, 86 Stat. 770) notice care services. The information collected restoration, waste management, and is hereby given of the following provides the private Third Party related activities. Advisory Committee meeting: Administrator, contracted to provide Environmental Management Site- Tentative Agenda administrative support services, with Specific Advisory Board (EM–SSAB), necessary data to determine beneficiary 1. The Board will receive an update Kirtland Area Office (Sandia). eligibility, other health insurance on the repository status. DATES: Wednesday, October 20, 1999: liability, premium payment, and to 2. The Board will discuss the 5:30 p.m.–9:00 p.m. (MST) identify the selection of a health care Monticello surface and groundwater. 3. The Committee will receive reports ADDRESSES: 7505 Kathryn Avenue, SE, option. Albuquerque, New Mexico 87108 (505) Affected Public: Individuals or from subcommittees on local training 256–2680. Households. and hiring, health and safety, and future Frequency: On occasion. land use. FOR FURTHER INFORMATION CONTACT: Respondent’s Obligation: Required to Please note, this will be the final Mike Zamorski, Acting Manager, Obtain or Retain Benefits. meeting of the Environmental Department of Energy Kirtland Area OMB Desk Officer: Ms. Allison Eydt. Management Site Specific Advisory Office, P.O. Box 5400, MS–0184, Written comments and Board, Monticello. Albuquerque, NM 87185 (505) 845– recommendations on the proposed Public Participation: The meeting is 4094. information collection should be sent to open to the public. Written statements SUPPLEMENTARY INFORMATION: Ms. Eydt at the Office of Management may be filed with the Committee either Purpose of the Board: The purpose of and Budget, Desk Officer for DoD Health before or after the meeting. Individuals the Board is to make recommendations Affairs, Room 10235, New Executive who wish to make oral statements to DOE and its regulators in the areas of Office Building, Washington, DC 20503. pertaining to agenda items should environmental restoration, waste DoD Clearance Officer: Mr. Robert contact Audrey Berry’s office at the management, and related activities. Cushing. address or telephone number listed Tentative Agenda: Written requests for copies of the above. Requests must be received 5 days 5:30–6:00 p.m. Corrective Action information collection proposal should prior to the meeting and reasonable be send to Mr. Cushing, WHS/DIOR, Management Unit (CAMU) Visuals provision will be made to include the with Commentary Session 1215 Jefferson Davis Highway, Suite presentation in the agenda. The Deputy 1204, Arlington, VA 22202–4302. 6:00–6:15 p.m. Check In/Minutes/ Designated Federal Officer is Agenda Approval Dated: September 28, 1999. empowered to conduct the meeting in a 6:15–6:30 p.m. CAMU Presentation Patricia L. Toppings, fashion that will facilitate the orderly 6:30–7:00 p.m. CAMU Public Alternate OSD Federal Register Liaison conduct of business. Each individual Comment Officer, Department of Defense. wishing to make public comment will 7:00–7:15 p.m. Break [FR Doc. 99–25761 Filed 10–4–99; 8:45 am] be provided a maximum of 5 minutes to 7:15–7:30 p.m. Chairs Conference BILLING CODE 5001±16±M present their comments at the end of the Report—Ted Truske, Meeting meeting. Manager Minutes: The minutes of this meeting 7:30–8:30 p.m. Stewardship, Briefing DEPARTMENT OF ENERGY will be available for public review and Kick-Off, Dialogue copying at the Freedom of Information 8:30–8:50 p.m. Work Plan Report and Environmental Management Site- Public Reading Room, 1E–190, Forrestal Task Group Reports (if time permits) Specific Advisory Board, Monticello Building, 1000 Independence Avenue, 8:50–9:00 p.m. Adjourn Site SW, Washington, DC 20585 between 8:45–8:50 p.m. Work Plan (Miles 9:00 a.m. and 4 p.m., Monday-Friday, Nelson) AGENCY: Department of Energy. except Federal holidays. Minutes will 8:50–9:00 p.m. Adjourn ACTION: Notice of open meeting. also be available by writing to Audrey Public Participation: The meeting is Berry, Department of Energy Grand SUMMARY: This notice announces a open to the public. Written statements Junction Projects Office, P.O. Box 2567, meeting of the Environmental may be filed with the Committee either Grand Junction, CO 81502, or by calling Management Site-Specific Advisory before or after the meeting. Individuals her at (303) 248–7727. Board (EM SSAB), Monticello. The who wish to make oral statements Federal Advisory Committee Act (Pub. Issued at Washington, DC on September pertaining to agenda items should L. No. 92–463, 86 Stat. 770) requires 30, 1999. contact Mike Zamorski’s office at the that public notice of these meetings be Rachel M. Samuel, address or telephone number listed announced in the Federal Register. Deputy Advisory Committee Management above. Requests must be received 5 days Date and Time: Wednesday, October Officer. prior to the meeting and reasonable 20 1999, 7:00 p.m.–9:00 p.m. [FR Doc. 99–25867 Filed 10–4–99; 8:45 am] provision will be made to include the Address: San Juan County BILLING CODE 6450±01±P presentation in the agenda. The Deputy Courthouse, 2nd Floor Conference Designated Federal Officer is Room, 117 South Main, Monticello, empowered to conduct the meeting in a Utah 84535. DEPARTMENT OF ENERGY fashion that will facilitate the orderly FOR FURTHER INFORMATION CONTACT: conduct of business. Each individual Environmental Management Site- Audrey Berry, Public Affairs Specialist, wishing to make public comment will Specific Advisory Board, Sandia Department of Energy Grand Junction be provided a maximum of 5 minutes to Projects Office, P.O. Box 2567, Grand AGENCY: Department of Energy. present their comments. Junction, CO, 81502 (303) 248–7727. ACTION: Notice of open meeting. Minutes: The minutes of this meeting SUPPLEMENTARY INFORMATION: will be available for public review and Purpose of the Board: The purpose of SUMMARY: Pursuant to the provisions of copying at the Freedom of Information the Board is to advise DOE and its the Federal Advisory Committee Act Public Reading Room, 1E–190, Forrestal
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Building, 1000 Independence Avenue, DEPARTMENT OF ENERGY FOR FURTHER INFORMATION CONTACT: Neil SW, Washington, DC 20585 between 9 Rossmeissl, Alternate Designated a.m. and 4 p.m., Monday–Friday, except Hydrogen Technical Advisory Panel; Federal Officer, Hydrogen Program Federal holidays. Minutes will also be Meeting Manager, EE–13, Office of Power Technologies, Department of Energy, available by writing to Mike Zamorski, AGENCY: Department of Energy. Manager, Department of Energy Kirtland Washington, DC 20585; Telephone: ACTION: Notice of open meeting. Area Office, P.O. Box 5400, MS–0184, 202–586–8668. Albuquerque, NM 87185, or by calling SUMMARY: This notice announces a SUPPLEMENTARY INFORMATION: (505) 845–4094. meeting of the Hydrogen Technical Purpose of the Meeting Issued at Washington, DC, on September Advisory Panel. Federal Advisory Committee Act (Public Law No. 92–463, —The major purpose of this meeting 30, 1999. will be to hold a round table Rachel M. Samuel, 86 Stat. 770, as amended), requires that public notice of these meetings be discussion on the Role of Local, State Deputy Advisory Committee Management announced in the Federal Register. and Federal Governments in Officer. Supporting and Encouraging the [FR Doc. 99–25869 Filed 10–4–99; 8:45 am] DATES: Wednesday, October 20, 1999, Transition to Hydrogen Energy BILLING CODE 6450±01±P 8:30 a.m.–6:00 p.m. Systems. ADDRESSES: California Air Resources Tentative Agenda Board, 2020 L Street, Sacramento, California 95814. Wednesday, October 20, 1999
8:30 am Introduction and Opening Comments ...... D. Nahmias 8:40 HTAP Committee Reports: —Coordination ...... H. Chum —Scenario Planning ...... H. Wedaa —Fuel Choice ...... R. Nichols 9:10 State of California—Hydrogen Activities—Today and Tomorrow: ‘‘Science, Technology and the Economy for the 21st Century’’Keynote address ...... K. Calvert (invited) —California Air Resources Board ...... A. Lloyd —California Energy Commission ...... D. Rohy 10:10 Break 10:30 State of California—Hydrogen Activities—Today and Tomorrow, continued: —South Coast Air Quality Management District ...... C. Liu —Sacramento Metropolitan Air Quality Management District ...... T. Taylor —California Hydrogen Business Council ...... D. Moard —Union of Concerned Scientists ...... J. Mark —UC Riverside ...... J. Heffel —UC Davis ...... J. Kraovoza 12:00 pm Lunch 1:00 Roundtable Discussion on Role of Local, State, and Federal Governments in Supporting and Encouraging the Transition to Hydrogen Energy Systems 2:00 DOE Program Report ...... S. Gronich 2:45 Results of 1999 Hydrogen Program Peer Review ...... N. Rossmeissl 3:00 Hydrogen: Perspectives and Prospects ...... H. Hubbard 3:30 Break 4:00 Public Comments (5 minutes maximum per speaker ...... Audience 5:00 HTAP Deliberations ...... Panel 6:00 Adjourn
Public Participation: This meeting is copying at the Freedom of Information DEPARTMENT OF ENERGY open to the public. Written statements Public Reading Room, 1E–190, Forrestal may be filed with the Committee either Building, 1000 Independence Avenue, Federal Energy Regulatory before or after the meeting. Individuals SW Washington, DC 20585 between Commission who wish to make oral statements 9:00 a.m. and 4:00 p.m., Monday pertaining to agenda items should through Friday, except Federal Notice of Application and Applicant contact Mr. Neil Rossmeissl’s office at Holidays. Minutes will also be available Prepared Environmental Assessment the address or telephone number listed by writing to Neil Rossmeissl, Accepted for Filing; Soliciting Motions To Intervene and Protests; Requesting above. Requests must be received 5 days Department of Energy, 1000 Comments, Final Terms and prior to the meeting and reasonable Independence Avenue, SW Washington, Conditions, Recommendations and provision will be made to include the DC 20585, or by calling (202) 586–8668. presentations in the agenda. The Prescriptions; and Requesting Reply Designated Federal Officer is Issued at Washington, DC, on September Comments empowered to conduct the meeting in a 30, 1999. fashion that will facilitate the orderly Rachel Samuel, September 29, 1999. conduct of business. Each individual Deputy Advisory Committee Management Take notice that the following wishing to make public comment will Officer. hydroelectric application and Applicant be provided a maximum of 5 minutes to [FR Doc. 99–25868 Filed 10–4–99; 8:45 am] Prepared Environmental Assessment present their comments. BILLING CODE 6450±01±P (APEA) has been filed with the Minutes: The minutes of this meeting Commission and is available for public will be available for public review and inspection:
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a. Type of Application: New Major Comments, as indicated above, are being located at 888 First Street, NE, Room License. requested from interested parties. Any 2A, Washington, DC 20426, or by calling b. Project No.: 2077–016. comments received will be addressed in (202) 208–1371. The application may be c. Date filed: July 29, 1999. a draft EA to be issued by the viewed on the web at www.ferc.fed.us. d. Applicant: USGen New England, Commission in early 2000. The Call (202) 208–2222 for assistance. A Inc. applicant will have 45 days following copy is also available for inspection and e. Name of Project: Fifteen Mile Falls the end of the comment period to reproduction at the address in item h Hydroelectric Project. respond to these comments, or may above. f. Location: The project is located on elect to seek a waiver of this deadline. n. Protests or Motions to Intervene— the Connecticut River, in Grafton and l. Description of Project: The project Anyone may submit a protest or a Coos Counties, New Hampshire, and consists of the following: The Moore motion to intervene in accordance with Caledonia and Essex Counties, Vermont. Development, located 283.5 miles from the requirements of the Rules of Practice The project would not utilize any the mouth of the Connecticut River, and Procedures, 18 CFR 385.210, .211, federal lands or facilities. consists of: an 11-mile-long, 3,490 and .214. In determining the appropriate g. Filed Pursuant to: Federal Power surface-acre reservoir with 114,176 acre- action to take, the Commission will Act 16 U.S.C. 791(a)–825(r). feet storage capacity at 809.0 feet mean consider all protests filed, but only h. Applicant Contact: Mr. Cleve sea level (msl); an earth and concrete those who file a motion to intervene in Kapala, USGen New England, Inc., 46 gravity dam with a length of 2,920 feet accordance with the Commission’s Centerra Parkway, Lebanon, NH 03766. and a max. height of 178 feet; a 373-foot- Rules may become a party to the i. FERC Contact: Any questions on long concrete spillway with 15-foot- proceeding. Any protests or motions to this notice should be addressed to wide by 20-foot-high sluice gate, four intervene must be received on or before William Guey-Lee, E-mail address 50-foot bays of 17-foot-high stanchions, the specified deadline data for the [email protected], or and three bays of 36-foot-wide by 30- particular application and APEA. telephone (202) 219–2808. foot high Taintor gates; four steel o. Filing and Service of Responsive j. Deadline for filing motions to penstocks each 296 feet long; and a Documents—The Commission is intervene, protests, comments, final powerhouse with four Francis type requesting comments, terms and conditions, turbines at a combined rating of 225,600 recommendations, terms and recommendations, and prescriptions: 60 hp at a design head of 150 feet, for a conditions, prescriptions, and reply days from the issuance date of this plant capability of 191,960 kilowatts comments. notice. (kW). The Comerford Development, The Commission directs, pursuant to All documents (original and eight located 275.2 miles from the mouth of 18 CFR 4.34(b) of the regulations, that copies) should be filed with: David P. the Connecticut River, consists of: an 8- all comments, recommendations, terms Boergers, Secretary, Federal Energy mile-long, 1,093 surface-acre reservoir and conditions, and prescriptions Regulatory Commission, 888 First St. with 29,356 acre-feet storage capacity at concerning the application and APEA NE, Washington, DC 20426. 650.0 feet msl; an earth and concrete be filed with the Commission within 60 The Commission’s Rules of Practice gravity dam with a length of 2,253 feet days from the issuance date of this and Procedure require all intervenors and a max. height of 170 feet; and 850- notice. All reply comments must be filing documents with the Commission foot-long concrete spillway with six filed with the Commission within 105 to serve a copy of that document on 7-foot-wide by 9-foot-high sluice gates, days from the date of this notice. each person whose name appears on the four bays of 8-foot-high flashboards and Anyone may obtain an extension of official service list for the project. seven 10-foot-high stanchion bays; four time for these deadlines from the Further, if an intervenor files comments steel penstocks each 150-feet-long; and Commission only upon a showing of or documents with the Commission a powerhouse with four Francis type good cause or extraordinary relating to the merits of an issue that turbines at combined rating of 216,800 circumstances in accordance with 18 may affect the responsibilities of a hp at a design head of 180 feet, for a CFR 385.2008. particular resource agency, the plant capability of 163,960 kW. The p. All filings must: (1) bear in all intervenor must also serve a copy of the McIndoes Development, located 268.2 capital letters the title ‘‘PROTEST,’’ document on that resource agency. miles from the mouth of the Connecticut ‘‘MOTION TO INTERVENE,’’ k. Status of Environmental Analysis: River, consists of: a 5-mile-long, 543 ‘‘COMMENTS,’’ On April 22, 1998, the Director, Office surface-acre reservoir with 4,581 acre- ‘‘RECOMMENDATIONS,’’ ‘‘TERMS of Hydropower Licensing approved feet storage capacity at 454.0 feet msl; a AND CONDITIONS,’’ USGen New England, Inc.’s use of the concrete gravity dam with a length of ‘‘PRESCRIPTIONS,’’ or ‘‘REPLY Alternative Licensing Process. National 730 feet and a max. height of 25 feet; a COMMENTS;’’ (2) set forth in the Environmental Policy Act (NEPA) 520-foot-long concrete spillway with a heading the name of the applicant and scoping for the project was conducted 12-foot-wide by 13-foot-high skimmer the project number of the application through scoping documents distributed gate, three 24-foot-wide by 25-foot-high and APEA to which the filing responds; in May and August of 1998, and in Taintor gates, a 300-foot-long spillway (3) furnish the name, address, and public scoping meetings on June 4 and flashboard section with 60-foot telephone number of the person 5, 1998. The draft license application flashboards, and two 50-foot-wide by submitting the filing; and (4) otherwise and APEA were distributed by the 18-foot-high stanchion bays; four steel comply with the requirements of 18 CFR applicant for comment on March 3, penstocks each 150-feet-long; and a 385.2001 through 385.2005. All 1999.. powerhouse with four Kaplan type comments, recommendations, terms and Commission staff has reviewed the turbines at combined rating of 3,800 hp conditions or prescriptions must set license application and APEA and has at a design head of 29 feet, for a plant forth their evidentiary basis and determined that the application is capability of 13,000 kW. otherwise comply with the requirements acceptable for processing and no m. Locations of the application: A of 18 CFR 4.34(b). Agencies may obtain additional information or studies are copy of the application is available for copies of the application and APEA needed to prepare the Commission’s inspection and reproduction at the directly from the applicant. Any of these environmental assessment (EA). Commission’s Public Reference Room, documents must be filed by providing
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54009 the original and the number of copies Abstract: This ICR calculates the information to or for a Federal agency. required by the Commission’s burden and costs associated with permit This includes the time needed to review regulations to: Secretary, Federal Energy applications for National Pollutant instructions; develop, acquire, install, Regulatory Commission, 888 First Discharge Elimination System (NPDES) and utilize technology and systems for Street, NE, Washington, DC 20426. An discharges and sewage sludge the purposes of collecting, validating, additional copy must be sent to: management activities. It is an update of and verifying information, processing Director, Division of Licensing and the ICR, and also integrates and updates and maintaining information, and Compliance, Office of Hydropower application requirements discussed in disclosing and providing information; Licensing, Federal Energy Regulatory one amendment ICR approved by OMB, adjust the existing ways to comply with ‘‘National Pollutant Discharge Commission, at the above address. Each any previously applicable instructions Elimination System Permit Application filing must be accompanied by proof of and requirements; train personnel to be Requirements—Form 2A and 2S (Final service on all persons listed on the able to respond to a collection of service list prepared by the Commission Rule),’’ OMB Control No. 2040–0086, information; search data sources; in this proceeding, in accordance with ICR No. 0226.14, approved January 13, complete and review the collection of 18 CFR 4.34(b) and 385.2010. 1999. EPA uses the data contained in information; and transmit or otherwise Linwood A. Watson, Jr., applications and supplemental disclose the information. Acting Secretary. information requests to set appropriate permit conditions, issue permits, and [FR Doc. 99–25775 Filed 10–4–99; 8:45 am] Respondents/Affected Entities: assess permit compliance. EPA BILLING CODE 6717±01±M Publicly owned treatment works maintains national applications (POTWs), privately owned treatment information in databases, which assist works, new and existing industrial permit writers in determining permit manufacturing and commercial ENVIRONMENTAL PROTECTION conditions. Depending on the AGENCY dischargers, storm water dischargers, application form they are using, treatment works treating domestic [FRL±6452±1] applicants may be required to supply sewage (TWTDS), and States and information about their facilities, territories. Agency Information Collection discharges, treatment systems, sewage Activities: Submission for OMB sludge use and disposal practices, Estimated Number of Respondents: Review; Comment Request; pollutant sampling data, or other 88,209. Applications for NPDES Permits and relevant information. In its burden and Frequency of Response: varies. the Sewage Sludge Management cost calculations, this ICR includes Permits requests for information supplemental Estimated Total Annual Hour Burden: to permit applications. Application 2,038,694 hours. AGENCY: Environmental Protection information is necessary to obtain an Estimated Total Annualized Cost Agency (EPA). NPDES or sewage sludge permit. This Burden (non-labor costs): $1,004,710. ACTION: Notice. ICR also includes the development of a Send comments on the Agency’s need SUMMARY: In compliance with the storm water pollution prevention plan for this information, the accuracy of the Paperwork Reduction Act (44 U.S.C. as part of the requirements for the multi- provided burden estimates, and any sector general permit, for industrial 3501 et seq.), this document announces suggested methods for minimizing activities. The average time for this that the following Information respondent burden, including through activity is 80 hours and there are an Collection Request (ICR) has been the use of automated collection forwarded to the Office of Management estimated 16,350 respondents. The estimated annualized burden is techniques to the following addresses. and Budget (OMB) for review and Please refer to EPA ICR No. 0226.15 and approval: Applications for NPDES 1,307,963 hours. This is a newly covered area under this ICR and OMB Control No. 2040–0086 in any Discharge Permits and the Sewage correspondence. Sludge Management Permits, OMB represents the major portion of the Control No. 2040–0086, EPA ICR No. increase in burden. Ms. Sandy Farmer, U.S. Environmental An agency may not conduct or 0226.15, which expires on November Protection Agency, Office of Policy, sponsor, and a person is not required to 30, 1999. The ICR describes the nature Regulatory Information Division respond to, a collection of information of the information collection and its (2137), 401 M Street, SW, unless it displays a currently valid OMB expected burden and cost; where control number. The OMB control Washington, DC 20460; appropriate, it includes the actual data numbers for EPA’s regulations are listed and collection instrument. in 40 CFR part 9 and 48 CFR Chapter Office of Information and Regulatory DATES: Comments must be submitted on 15. The Federal Register document or before November 4, 1999. Affairs, Office of Management and required under 5 CFR 1320.8(d), Budget, Attention: Desk Officer for FOR FURTHER INFORMATION CONTACT: soliciting comments on this collection Sandy Farmer at EPA by phone at (202) EPA, 725 17th Street, NW, of information was published on 04/23/ Washington, DC 20503. 260–2740, by email at 98 (63 FR 20182); no comments were [email protected]. You may received. Dated: September 29, 1999. download a copy of the ICR from the Burden Statement: The annual public Richard T. Westlund, Internet at http://www.epa.gov/icr and reporting and recordkeeping burden for Acting Director, Regulatory Information refer to EPA ICR No. 0226.15. this collection of information is Division. SUPPLEMENTARY INFORMATION: estimated to average 23.4 hours per [FR Doc. 99–25836 Filed 10–4–99; 8:45 am] Title: Applications for NPDES response (combining reporting and Discharge Permits and the Sewage recordkeeping). Burden means the total BILLING CODE 6560±50±P Sludge Management Permits, (OMB time, effort, or financial resources Control No. 2040–0086; EPA ICR No. expended by persons to generate, 0226.15) which expires on 11/30/99. maintain, retain, or disclose or provide
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ENVIRONMENTAL PROTECTION Section 110(a)(2)(J) of the CAA, 42 III. Call for SIP Revision AGENCY U.S.C. 7410(a)(2)(J), similarly requires The finding of SIP inadequacy SIPs to meet the visibility protection [CO±001±0036; AD±FRL±6451±7] requires Colorado to submit a SIP requirements of the CAA. revision no later than 12 months from Approval and Promulgation of State EPA promulgated regulations that the date of EPA’s letter to the Governor. Implementation Plans; Call for require affected States to, among other To ensure that the SIP deadline is met, Visibility SIP Revision for Colorado things, (1) coordinate development of EPA requested the State to submit an Class I Visibility Protection SIPs with appropriate Federal Land action plan for the development of the Managers (FLMs); (2) develop a program SIP revision within 30 days from receipt AGENCY: Environmental Protection of EPA’s letter to the Governor. Any Agency (EPA). to assess and remedy visibility impairment from new and existing control strategies adopted and ACTION: Information notice. sources; and (3) develop a long-term implemented as part of this SIP revision must provide for the remedying of SUMMARY: EPA hereby gives notice that strategy to assure reasonable progress toward the National visibility goal. See existing and the prevention of future in a September 22, 1999 letter it notified man-made visibility impairment in Mt. the Governor of Colorado that the 45 FR 80084, December 2, 1980 (codified at 40 CFR 51.300–51.307). The Zirkel Wilderness Area resulting from Colorado State Implementation Plan Craig Generating Station’s emissions. (SIP) for Class I Visibility Protection regulations provide for the remedying of (Visibility SIP) is substantially visibility impairment that is reasonably IV. EPA Action inadequate to make reasonable progress attributable to a single existing The finding of inadequacy and call for toward the National visibility goal, as stationary facility or small group of a SIP revision as set out in the specified in section 169A(a)(1) of the existing stationary facilities. September 22, 1999 letter to the Clean Air Act. Specifically, Colorado’s The Colorado SIP for Class I Visibility Governor do not constitute a final Visibility SIP is substantially inadequate Protection was approved by EPA on agency action that is ripe for judicial to remedy existing and prevent future August 12, 1988 (53 FR 30428). EPA review. EPA’s action is a preliminary man-made visibility impairment in Mt. approved subsequent revisions to this step in an ongoing administrative Zirkel Wilderness Area and must be SIP on October 11, 1994 and January 16, process. See Greater Cincinnati revised. 1997 (see 59 FR 51376 and 62 FR 2305, Chamber of Commerce v. U.S. EPA, 879 DATES: A revision to the Colorado respectively). F.2d 1379 (6th Cir. 1989). A final agency Visibility SIP is due within 12 months action will occur when EPA makes a On July 14, 1993, the U.S. Forest of the date of EPA’s letter to the binding determination regarding the Service (USFS) certified visibility Governor. State’s response to the SIP call. This impairment in Mt. Zirkel Wilderness would occur, for example, if EPA either FOR FURTHER INFORMATION CONTACT: Area, a mandatory Class I Federal area, Amy Platt, Air and Radiation Program, approves or disapproves the SIP and named the Hayden and Craig submittal or promulgates a Federal 999 18th Street, suite 500, Denver, Generating Stations in the Yampa Valley Colorado 80202–2466, (303) 312–6449. Implementation Plan if the State does of northwest Colorado as suspected not submit an adequate SIP revision. SUPPLEMENTARY INFORMATION: sources. The USFS is the FLM for Mt. (See sections 110(c) and 110(k) of the I. Background Zirkel Wilderness Area. Although the Clean Air Act.) Either action would State resolved the certification of Section 169A of the Clean Air Act become final only after EPA provides impairment with respect to Hayden public notice and an opportunity for (CAA), 42 U.S.C. 7491, establishes as a Station (see 62 FR 2305, January 16, National goal the prevention of any public comment. 1997), the State has not resolved the A technical support document (TSD) future, and the remedying of any certification for Craig Generating is available from the contact person existing, anthropogenic visibility Station. listed above. The TSD discusses in more impairment in mandatory Class I detail the Mt. Zirkel Wilderness Area Federal areas 1 (referred to herein as the II. Finding of Inadequacy certification of visibility impairment National visibility goal). Section 169A issued by the USFS in 1993, technical calls for EPA to, among other things, In its September 22, 1999 letter to the studies related to the Craig Generating issue regulations to assure reasonable Governor of Colorado, EPA found 2 that Station’s contribution to such progress toward meeting the National the Colorado Visibility SIP is impairment and available control visibility goal, including requiring each substantially inadequate to make technology, the SIP call and legal State with a mandatory Class I Federal reasonable progress toward the National authority, and the SIP revision area to revise its SIP to contain such visibility goal, as specified in section schedule. emission limits, schedules of 169A(a)(1) of the CAA, 42 U.S.C. compliance and other measures as may 7491(a)(1). Specifically, Colorado’s List of Subjects in 40 CFR Part 52 be necessary to make reasonable Visibility SIP is substantially inadequate Air pollution control, progress toward meeting the National to remedy existing and prevent future Intergovernmental relations, Nitrogen visibility goal. CAA section 169A(b)(2). man-made visibility impairment in Mt. dioxide, Particulate matter, Sulfur Zirkel Wilderness Area. EPA believes oxides. 1 Mandatory Class I Federal areas include that a Best Available Retrofit international parks, national wilderness areas Technology (BART) limit is warranted Authority: Sections 101, 107, 110, 116 and greater than five thousand acres in size, national 301(a) of the Clean Air Act, as amended (42 memorial parks greater than five thousand acres in for Craig Generating Station and that the U.S.C. 7401, 7407, 7410, 7416 and 7610(a)). size, and national parks greater than six thousand current SIP is deficient because it does Dated: September 23, 1999. acres in size, as described in section (162)(a) of the not include such a BART or BART CAA (42 U.S.C. 7472(a)). Each mandatory Class I equivalent limit. William P. Yellowtail, Federal area is the responsibility of a ‘‘Federal land Regional Administrator, Region VIII. manager’’ (FLM), the Secretary of the department with authority over such lands. See section 302(i) 2 The finding was made pursuant to section [FR Doc. 99–25834 Filed 10–4–99; 8:45 am] of the CAA, 42 U.S.C. 7602(i). 110(k)(5) of the Clean Air Act, 42 U.S.C. 7410(k)(5). BILLING CODE 6560±50±P
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ENVIRONMENTAL PROTECTION 202–260–5813 and the email address is 2 Poydras Street, New Orleans, AGENCY [email protected]. Louisiana. [FRL±6451±6] Dated: September 23, 1999. FOR FURTHER INFORMATION CONTACT: Charlene E. Shaw, Maria E. Campbell at the U.S. National Drinking Water Advisory Designated Federal Officer, National Drinking Environmental Protection Agency, Council, Small Systems Water Advisory Council. Office of Wastewater Management, Implementation Working Group; Notice [FR Doc. 99–25837 Filed 10–4–99; 8:45 am] Municipal Assistance Branch, 401 M of Open Meeting BILLING CODE 6560±50±P Street, SW, (4204), Washington, D.C. 20460, (202) 260–5815, or AGENCY: Environmental Protection [email protected]. Agency (EPA). ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: The ACTION: Notice. AGENCY National Wastewater Management SUMMARY: Under Section 10(a)(2) of Excellence Awards program is Public Law 92–423, ‘‘The Federal [FRL±6451±9] authorized under sec. 501(a) and (e) of Advisory Committee Act,’’ notice is the Clean Water Act. The awards hereby given that a meeting of the Small National Wastewater Management program provides national recognition Systems Implementation Working Excellence Awards and encourages public support of Group of the National Drinking Water programs aimed at protecting the AGENCY: Environmental Protection Advisory Council established under the public’s health and safety and the Agency (EPA). Safe Drinking Water Act, as amended nation’s water quality. State water (42 U.S.C. 300f et seq.), will be held on ACTION: Notice; announcement of EPA’s pollution control agencies and EPA October 20–21, 1999 at the Hilton 1999 National Wastewater Management regional offices make recommendations Albuquerque, 1901 University Excellence Awards Presentation at the to headquarters for the national awards. Boulevard, NE Albuquerque, NM 87102. Water Environment Federation’s annual Nominees are in compliance with The meeting will begin at 8:30 p.m. and conference. applicable water quality requirements or conclude at 5:00 p.m. on October 20, have a satisfactory record with respect SUMMARY: The U.S. Environmental and will begin at 8:30 a.m. and conclude to environmental quality. Review panels Protection will recognize municipalities select national award winners based on at 4:00 p.m. on October 21. The meeting and industries for outstanding and is open to the public to observe, but criteria established for each program. innovative technological achievements Municipalities and industries are seating will be limited. in wastewater treatment and pollution The purpose of this meeting is to recognized for their demonstrated abatement programs at the annual discuss possible recommendations to achievements through the following: National Wastewater Management the full National Drinking Water (1) Outstanding operations and Excellence Awards ceremony during the Advisory Council. Possible maintenance practices at publicly Water Environment Federation’s (WEF) recommendations are being considered owned wastewater treatment facilities; annual conference in New Orleans, in seven issue areas: Unsustainable (2) Exemplary biosolids operating Louisiana. An inscribed plaque will be Systems; Mechanisms for Sharing the projects, technology development, presented to first and second place Cost of Water Service; Water System research and public acceptance efforts; national award winners for projects or Institutional Structures; Regulatory (3) Municipal implementation and programs in operations and Institutional Structures and Processes; enforcement of local pretreatment maintenance, beneficial use of biosolids, Training and Education for Managing programs; pretreatment, storm water management Bodies; Public Awareness; and, State (4) Implementing outstanding, and combined sewer overflow controls. Capacity Development Strategies. innovative and cost-effective storm For more information, please contact This action also announces the 1999 water control programs; and Peter E. Shanaghan, Designated Federal national awards winners. (5) implementing combined sewer Officer, Small Systems Implementation DATES: Monday, October 11, 1999, 11:30 overflow control programs. Working Group, U.S. EPA, Office of am to 1:00 pm. Winners and categories for the EPA’s Ground Water and Drinking Water ADDRESSES: The National awards 1999 National Wastewater Management (4606), 401 M Street, S.W., Washington, presentation ceremony will be held at Excellence Awards program are as D.C. 20460. The telephone number is the Ernest N. Morial Convention Center, follows:
Category
Operations and Maintenance Awards
First Place: York City WWTP, York, Pennsylvania ...... Large Advanced Category. Sweetwater Creek WPCP, Douglasville, Georgia ...... Medium Advanced Category. Elk Mound WWTP, Village of Elk Mound, Wisconsin ...... Small Advanced Category. Appleton WWTP, Appleton, Wisconsin ...... Large Secondary Category. Escanaba WWTP, Escanaba, Michigan ...... Medium Secondary Category. Oak Park Conservancy District, Jeffersonville, Indiana ...... Small Secondary Category. Edgartown WWTF, Town of Edgartown, Massachusetts ...... Small Non-Discharging Category. Town of Cedaredge WWTP, Cedaredge, Colorado ...... Most Improved Plant. Jon B. Evans, Town of Carbondale, Colorado, Department of Utilities, Section 104(g) Trainer for Cedaredge WWTP Second Place: South Columbus Water Resource Facility, Columbus, Georgia ...... Large Advanced Category. Westborough WWTF, Westborough, Massachusetts ...... Medium Advanced Category. Inland Empire Utilities Agency-Regional Plant #2, Chino, California ...... Medium Advanced Category.
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Category
Swedesboro WWTP, Borough of Swedesboro, New Jersey ...... Small Advanced Category. Brattleboro WWTP, Brattleboro, Vermont ...... Medium Secondary Category. V. A. Togus WWTF, Togus, Maine ...... Small Secondary Category. Breckenridge Sanitation District, South, Blue River WWTP, Breckenridge, Colorado ...... Small Non-Discharging Category. Lyndonville WWTF, Lyndon, Vermont ...... Most Improved Plant (tie). Paul Olander, Vermont Department of Environmental Conservation, Section 104(g), Trainer for Lyndonville WWTF Canal Winchester WWTP, Canal Winchester, Ohio ...... Most Improved Plant (tie). Ohio EPA Compliance Assistance Unit, Section 104(g) Trainers for Canal Winchester WWTP
Beneficial Use of Biosolids Awards
First Place: Milwaukee Metropolitan Sewerage District and United Water Services Milwaukee, LLC, Mil- Large Operating Projects. waukee, Wisconsin. Lower Creek Water Reclamation Facility, City of Lenoir, North Carolina ...... Small Operating Projects. Littleton/Englewood Wastewater Treatment Facility, Englewood, Colorado and Colorado State Research Activities. University, Fort Collins, Colorado. Natures Blend Water Pollution Control Center, City of Warren, Ohio ...... Public Acceptance (Municipal). Prowers County, Land Application Program, Parker Ag Services, LLC, Limon, Colorado, EPIC Public Acceptance (Other). of Denville, New Jersey, and New York City Dept. of Environmental Protection. Second Place: Bureau of Environmental Services, City of Portland, Oregon ...... Large Operating Projects. Water Resources Dept of Public Works, City of Washington, North Carolina and Synagro, Small Operating Projects. Southeast. Honorable Mention: Village Creek Wastewater Treatment Plant, City of Fort Worth, Texas ...... Large Operating Projects. Pepper's Ferry Regional Wastewater Treatment Authority, Radford, Virginia ...... Small Operating Projects. Special Award: Oregon Association of Clean Water Agencies and Oregon State University Extension Service For Development of an Outstanding Bio- solids Education and Training Program
Pretreatment Awards
First Place: City of Wilsonville, Oregon ...... 0±10 Significant Industrial Users (SIUs). South Valley Water Reclamation Facility, West Jordan, Utah ...... 11±20 SIUs. Littleton/Englewood WWTP, Englewood, Colorado ...... 21 to 50 SIUs. Littleton/Englewood WWTP, Littleton, Colorado ...... 21 to 50 SIUs. City of Albuquerque, New Mexico ...... 51 to 100 SIUs. Metropolitan St. Louis Sewer District, St. Louis, Missouri ...... Greater than 100 SIUs. Second Place: Merrimack WWTF, Merrimack, New Hampshire ...... 0±10 SIUs. City of San Marcos, Texas ...... 11±20 SIUs. City of Elkhart, Indiana ...... 21 to 50 SIUs.
Storm Water Management Awards
First Place: Tanners Lake Water Quality Improvement Project, Ramsey-Washington Metro Watershed Municipal. District, Oakdale, Minnesota. Ciba Specialty Chemicals, Newport, Delaware ...... Industrial. Second Place: Lowes Creek Storm Water Demonstration Project, Eau Claire, Wisconsin ...... Municipal. Anheuser-Busch Brewery, Columbus, Ohio ...... Industrial (tie). Coca Cola USA Fountain, Columbus, Ohio ...... Industrial (tie).
Combined Sewer Overflow Control Awards:
First Place: Department of Public Utilities, City of Richmond, Virginia Second Place: City of Auburn, New York (tie) Columbus Water Works (tie), Columbus, Georgia References: 62 FR 39239, Jul. 22, 1997.
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Authority: 33 U.S.C. 1361(a) and (e). provided that certain conditions are Federal MSWLF Criteria (40 CFR part Dated: September 29, 1999. met. For purposes of the Y2K Act, a 258). RCRA Section 4005(c)(1)(C), 42 Michael B. Cook, ‘‘small business concern’’ is defined as U.S.C. 6945(c)(1)(C), requires the Director, Office of Wastewater Management. an unincorporated business, Environmental Protection Agency (EPA) [FR Doc. 99–25838 Filed 10–4–99; 8:45 am] partnership, corporation, association, or to determine whether states have BILLING CODE 6560±50±P organization, with fewer than 50 full- adequate ‘‘permit’’ programs for time employees. The law also provides MSWLFs, but does not mandate an exception to the waiver of civil issuance of a rule for such ENVIRONMENTAL PROTECTION penalties in certain circumstances, for determinations. Approved State permit AGENCY example, if the violation resulted in programs provide for interaction actual harm or creates an imminent between the State and the Owner/ [FRL±6451±3] threat to public health, safety, or the Operator regarding site-specific permit Notice of Establishment of Point of environment. conditions. Only those owners/ EPA issued a Y2K Enforcement Policy Contact for Small Business Concerns operators located in States with on November 30, 1998. The policy was Regarding Compliance Problems approved permit programs can use the designed to encourage prompt testing of Arising from Year 2000 (Y2K) Failures site specific flexibilities provided by 40 computer-related equipment to ensure CFR part 258 to the extent the State AGENCY: Environmental Protection that environmental compliance is not permit program allows such flexibility. Agency (EPA). impaired by Y2K failures. Under the EPA notes that, regardless of the ACTION: Notice. policy (published on the Internet at approval status of any facility, the www.epa.gov/year2000 and at 64 FR federal landfill criteria shall apply to all SUMMARY: Section 18 of the Y2K Act 11881, March 10, 1999) EPA states that permitted and unpermitted MSWLF (P.L. 106–37) provides for suspension of it will waive 100% of the civil penalties facilities. penalties for certain Year 2000 (Y2K) that might otherwise apply, and will Guam is defined as a ‘‘State’’ in 40 failures by small business concerns. recommend against criminal Section 18(b) requires each Federal CFR part 258.2. Guam has applied for a prosecution, for environmental determination of adequacy under agency to establish a point of contact to violations caused by specific tests act as a liaison between the agency and Section 4005(c)(1)(C) of RCRA, 42 designed to identify and eliminate Y2K- U.S.C. 6945(c)(1)(C). EPA Region IX has small business concerns with respect to related malfunctions. The policy applies problems arising out of Y2K failures and reviewed Guam’s MSWLF permit to testing-related violations disclosed to program application and has made a compliance with Federal rules and EPA by February 1, 2000, subject to regulations. The Environmental tentative determination that all portions certain conditions to ensure protection of Guam’s MSWLF permit program are Protection Agency (EPA) is naming of public health and the environment. Ginger Gotliffe as its contact for small adequate to assure compliance with the Dated: September 28, 1999. business concerns. In addition, EPA is revised MSWLF Criteria. Guam’s naming Gary Jonesi as its contact for Michael Stahl, application for program adequacy larger businesses who have Y2K Acting Director, Office of Compliance. determination is available for public compliance questions, or any business [FR Doc. 99–25777 Filed 10–4–99; 8:45 am] review and comment at the place(s) listed in the ADDRESSES section below that has questions about application of BILLING CODE 6560±50±P EPA’s Y2K enforcement policy. during regular office hours. ADDRESSES: Ginger Gotliffe, Office of Although RCRA does not require EPA ENVIRONMENTAL PROTECTION Enforcement and Compliance Assurance to hold a public hearing on a AGENCY (OECA) , U.S. Environmental Protection determination to approve any State’s Agency, Mail Code 2224A, 401 M Street, [FRL 6451±4] MSWLF permit program, the Region has SW, Washington, DC 20460, phone 202– tentatively scheduled a public hearing 574–7072, e-mail Guam: Adequacy Determination of on this determination. If a sufficient [email protected]. Gary Jonesi, State Municipal Solid Waste Permit number of persons express interest in Office of Enforcement and Compliance Program participating in a hearing by writing to Assurance (OECA), U.S. Environmental the Region IX Solid Waste Program or AGENCY: Environmental Protection calling the contact given below within Protection Agency, Mail Code 2241A, Agency. 401 M Street, SW, Washington, DC 30 days of the date of publication of this ACTION: 20460, phone 202–564–4002, e-mail Notice of tentative notice, the Region will hold a hearing in [email protected]. determination to fully approve the Tiyan, Guam. The Region will notify all adequacy of the Guam Municipal Solid FOR FURTHER INFORMATION CONTACT: Ms. persons who submit comments on this Waste Permitting Program, public notice if it appears that there is Ginger Gotliffe or Mr. Gary Jonesi, at hearing, and public comment period. addresses above. sufficient public interest to warrant a hearing. In addition, anyone who SUPPLEMENTARY INFORMATION: On July SUMMARY: Section 4005(c)(1)(B) of the wishes to learn whether the hearing will 20, 1999, President Clinton signed the Resource Conservation and Recovery be held may call the person listed in the ‘‘Y2K Act,’’ which generally establishes Act (RCRA), as amended by the CONTACTS section below. special substantive and procedural rules Hazardous and Solid Waste for commercial litigation related to Y2K Amendments (HSWA) of 1984, 42 DATES: All comments on Guam’s computer failures. Under section 18 of U.S.C. 6945(1)(B), requires states to application for a determination of the Y2K Act, Federal agencies shall develop and implement permit adequacy must be received by the close waive civil monetary penalties for first- programs to ensure that municipal solid of business on November 1, 1999. If time violations by a small business waste landfills (MSWLFs), which may there is sufficient interest, a public concern of a federally enforceable rule receive hazardous household waste or hearing will be held in Tiyan, Guam at or regulation caused by a Y2K failure small quantity generator hazardous least 45 days from the date of occurring through December 31, 2000, waste will comply with the revised publication of this notice. The State will
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.135 pfrm08 PsN: 05OCN1 54014 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices participate in the public hearing, if held sufficient compliance monitoring and determination and a response to all by EPA on this subject. enforcement authorities to take specific significant comments. ADDRESSES: Written comments should action against any owner or operator Section 4005(a) of RCRA, 42 U.S.C. be sent to Ms. Heidi Hall, Chief, Solid that fails to comply with an approved 6945(a), provides that citizens may use Waste Program, mail code WST–7, EPA MSWLF program. the citizen suit provisions of Section Region IX, 75 Hawthorne Street, San EPA Regions will determine whether 7002 of RCRA, 42 U.S.C. 6972, to Francisco, California 94105. The public a State has submitted an ‘‘adequate’’ enforce the Federal Criteria in 40 CFR hearing, if held, will be held at the program based on the interpretation part 258 independent of any State Guam Environmental Protection outlined above. EPA expects States to enforcement program. As EPA Agency’s Main Conference Room, meet all of these requirements for all explained in the preamble to the final Building 15–6101 Mariner Avenue, elements of a MSWLF program before it MSWLF criteria, EPA expects that any Tiyan, Guam. Copies of Guam’s gives full approval to a MSWLF owner or operator complying with application for adequacy determination program. provisions in a State program approved by EPA should be considered to be in are available at the following address for B. Guam inspection and copying: Guam compliance with the Federal Criteria. Environmental Protection Agency, On August 24, 1998 EPA Region IX See 56 FR 50978, 50995 (October 9, Calibration Laboratory Building, 15– received Guam’s final MSWLF Permit 1991). 6101 Mariner Ave. Tiyan, Barrigada, Program application for adequacy Compliance With Executive Order Guam between the hours of 8:00 a.m. determination. Region IX reviewed the 12866 and 5:00 p.m. final application, submitted comments to Guam, and requested additional The Office of Management and Budget FOR FURTHER INFORMATION CONTACT: EPA has exempted this notice from the Region IX 75 Hawthorne Street, San information about the state program implementation. Guam addressed EPA’s requirements of Section 6 of Executive Francisco, California 94105 attention Order 12866. Ms. Beth Godfrey, mail code WST–7, comments, provided the requested telephone 415 744–2095. additional information, and submitted a Certification Under the Regulatory SUPPLEMENTARY INFORMATION: revised final application for adequacy Flexibility Act determination on June 16, 1999. Region Pursuant to the provisions of 5 U.S.C. A. Background IX has reviewed Guam’s revised 605(b), I hereby certify that this On October 9, 1991, EPA promulgated application and has tentatively approval will not have a significant revised Criteria for MSWLFs (40 CFR determined that all portions of Guam’s economic impact on a substantial part 258). Subtitle D of RCRA, as MSWLF program meet all the number of small entities. It does not amended by the Hazardous and Solid requirements necessary to qualify for impose any new burdens on small Waste Amendments of 1984 (HSWA), full program approval and ensures entities. This notice, therefore, does not requires states to develop permitting compliance with the revised Federal require a regulatory flexibility analysis. programs to ensure that MSWLFs Criteria. The public may submit written Authority: This notice is issued under the comply with the Federal Criteria under authority of Section 4005 of the Solid Waste 40 CFR part 258. Subtitle D also requires comments on EPA’s tentative Disposal Act, as amended, 42 U.S.C. 6946. determination until November 1, 1999. in Section 4005(c)(1)(C), 42 U.S.C. Dated: September 21, 1999. Copies of Guam’s application are 6945(c)(1)(C), that EPA determine the Felicia Marcus, adequacy of state municipal solid waste available for inspection and copying at Regional Administrator. landfill permit programs to ensure that the location indicated in the ADDRESSES facilities comply with the revised section of this notice. [FR Doc. 99–25840 Filed 10–4–99; 8:45 am] Federal Criteria. To fulfil this To ensure full compliance with the BILLING CODE 6560±50±P requirement, the Agency has Federal Criteria, Guam has revised its current MSWLF permitting promulgated the Final State ENVIRONMENTAL PROTECTION requirements by amendment of the Implementation Rule (SIR). The rule AGENCY specifies the requirements which State Solid Waste Disposal Rules and programs must satisfy to be determined Regulations. This document has [FRL±6451±5] adequate. incorporated those requirements from EPA interprets the requirement for the federal criteria not found in Guam’s Notice of Proposed Purchaser states to develop ‘‘adequate’’ programs existing MSWLF program and are Agreement Pursuant to the for permits or other forms of prior applicable to all existing MSWLFs and Comprehensive Environmental approval and conditions (for example to all MSWLF permit applications. Response, Compensation and Liability license to operate) to impose several Guam will implement its MSWLF Act of 1980, as Amended by the minimum requirements. First, each permit program through enforceable Superfund Amendments and State must have enforceable standards permit conditions. Reauthorization Act for new and existing MSWLFs that are EPA will consider all public AGENCY: Environmental Protection technically comparable to EPA’s revised comments on its tentative determination Agency MSWLF criteria. Next, the State must received during the public comment ACTION: Notice; request for public have the authority to issue a permit or period and during any public hearing comment. other notice of prior approval and held. Issues raised by those comments conditions to all new and existing may be the basis for a determination of SUMMARY: In accordance with the MSWLFs in it jurisdiction. The State inadequacy for Guam’s program. EPA Comprehensive Environmental also must provide for public will make a final decision on approval Response, Compensation, and Liability participation in permit issuance and of Guam’s program and will give notice Act of 1980, as amended by the enforcement, as required in Section of the final determination in the Federal Superfund Amendments and 7004(b) of RCRA, 42 U.S.C. 6974(b). Register. The notice shall include a Reauthorization Act of 1986 Finally, the State must show that it has summary of the reasons for the final (‘‘CERCLA’’), 42 U.S.C. 9601–9675,
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54015 notice is hereby given that a proposed Dated: September 28, 1999. FEDERAL EMERGENCY purchaser agreement (‘‘Purchaser Abraham Ferdas, MANAGEMENT AGENCY Agreement’’) associated with the Boyles Acting Regional Administrator, U.S. [FEMA±1297±DR] Galvanizing Site in Philadelphia, Environmental Protection Agency, Region III. Pennsylvania was executed by the [FR Doc. 99–25841 Filed 10–4–99; 8:45 am] Delaware; Major Disaster and Related Environmental Protection Agency and BILLING CODE 6560±50±P Determinations the Department of Justice and is now subject to public comment, after which AGENCY: Federal Emergency the United States may modify or Management Agency (FEMA). withdraw its consent if comments FEDERAL EMERGENCY ACTION: Notice. received disclose facts or considerations MANAGEMENT AGENCY SUMMARY: This is a notice of the which indicate that the Purchaser Presidential declaration of a major Agreement is inappropriate, improper, [FEMA±3140±EM] disaster for the State of Delaware or inadequate. The Purchaser (FEMA–1297–DR), dated September 21, Agreement would resolve certain California; Amendment No. 2 to Notice 1999, and related determinations. potential EPA claims under Section 107 of an Emergency EFFECTIVE DATE: September 21, 1999. of CERCLA, 42 U.S.C. 9607, against the FOR FURTHER INFORMATION CONTACT: New Kensington Community AGENCY: Federal Emergency Management Agency (FEMA). Madge Dale, Response and Recovery Development Corporation Directorate, Federal Emergency (‘‘Purchaser’’). The settlement would ACTION: Notice. Management Agency, Washington, DC require the Purchaser to, among other 20472, (202) 646–3772. things, deliver the sum of $64,800 of the SUMMARY: This notice amends the notice SUPPLEMENTARY INFORMATION: Notice is purchase price to the United States at of an emergency for the State of hereby given that, in a letter dated the time of closing and abide by certain California, (FEMA–3140–EM), dated September 21, 1999, the President land use restrictions intended to protect September 1, 1999, and related declared a major disaster under the public health and welfare. determinations. authority of the Robert T. Stafford Disaster Relief and Emergency For thirty (30) days following the date EFFECTIVE DATE: September 24, 1999 of publication of this notice, the Agency Assistance Act (42 U.S.C. 5121 et seq.), will receive written comments relating FOR FURTHER INFORMATION CONTACT: as follows: to the proposed Purchaser Agreement. Madge Dale, Response and Recovery I have determined that the damage in The Agency’s response to any comments Directorate, Federal Emergency certain areas of the State of Delaware, received will be available for public Management Agency, Washington, DC resulting from Hurricane Floyd on September inspection at the U.S. Environmental 20472, (202) 646–3772. 15–17, 1999, is of sufficient severity and magnitude to warrant a major disaster Protection Agency, Region III, 1650 SUPPLEMENTARY INFORMATION: The notice declaration under the Robert T. Stafford Arch Street, Philadelphia, PA 19103. of an emergency for the State of Disaster Relief and Emergency Assistance California is hereby amended to include DATES: Comments must be submitted on Act, Pub. L. 93–288, as amended (‘‘the the following area among those areas Stafford Act’’). I, therefore, declare that such or before November 4, 1999. determined to have been adversely a major disaster exists in the State of ADDRESSES: Availability: The proposed affected by the catastrophe declared an Delaware. Purchaser Agreement and additional emergency by the President in his In order to provide Federal assistance, you declaration of September 1, 1999: are hereby authorized to allocate from funds background information relating to the available for these purposes, such amounts as proposed Purchaser Agreement are Trinity County for emergency protective you find necessary for Federal disaster available for public inspection at the measures, including the limited removal of assistance and administrative expenses. U.S. Environmental Protection Agency, debris which poses a health and safety You are authorized to provide Individual Region III, 1650 Arch Street, hazard to the general public, as authorized Assistance, Public Assistance, and Hazard Philadelphia, PA 19103. A copy of the under Title V. This assistance excludes Mitigation in the designated areas. Consistent proposed Purchaser Agreement may be regular time costs for subgrantees regular with the requirement that Federal assistance employees. be supplemental, any Federal funds provided obtained from Suzanne Canning, U.S. under the Stafford Act for Public Assistance Environmental Protection Agency, (The following Catalog of Federal Domestic or Hazard Mitigation will be limited to 75 Regional Docket Clerk (3RC00), 1650 Assistance Numbers (CFDA) are to be used percent of the total eligible costs. Arch Street Philadelphia, PA 19103. for reporting and drawing funds: 83.537, Further, you are authorized to make Comments should reference the ‘‘Boyles Community Disaster Loans; 83.538, Cora changes to this declaration to the extent Galvanizing Site Prospective Purchaser Brown Fund Program; 83.539, Crisis allowable under the Stafford Act. Agreement’’ and ‘‘EPA Docket No. III– Counseling; 83.540, Disaster Legal Services The time period prescribed for the Program; 83.541, Disaster Unemployment 99–006–DC,’’ and should be forwarded implementation of section 310(a), Assistance (DUA); 83.542, Fire Suppression Priority to Certain Applications for to Suzanne Canning at the above Assistance; 83.543, Individual and Family address or through electronic mail at Public Facility and Public Housing Grant (IFG) Program; 83.544, Public Assistance, 42 U.S.C. 5153, shall be for ‘‘[email protected].’’ Assistance Grants; 83.545, Disaster Housing a period not to exceed six months after Program; 83.548, Hazard Mitigation Grant FOR FURTHER INFORMATION CONTACT: the date of this declaration. Program) Andrew S. Goldman (3RC41), Sr. Notice is hereby given that pursuant Assistant Regional Counsel, U.S. Robert J. Adamcik, to the authority vested in the Director of Environmental Protection Agency, 1650 Deputy Associate Director, Response and the Federal Emergency Management Arch Street, Philadelphia, PA 19103, Recovery Directorate. Agency under Executive Order 12148, I Phone: (215) 814–2487. [FR Doc. 99–25819 Filed 10–4–99; 8:45 am] hereby appoint Steven A. Adukaitis of BILLING CODE 6718±02±P the Federal Emergency Management
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Agency to act as the Federal Brown Fund Program; 83.539, Crisis FEDERAL EMERGENCY Coordinating Officer for this declared Counseling; 83.540, Disaster Legal Services MANAGEMENT AGENCY disaster. Program; 83.541, Disaster Unemployment I do hereby determine the following Assistance (DUA); 83.542, Fire Suppression [FEMA±3148±EM] areas of the State of Delaware to have Assistance; 83.543, Individual and Family New Jersey; Amendment No. 2 to been affected adversely by this declared Grant (IFG) Program; 83.544, Public Notice of an Emergency Declaration major disaster: Assistance Grants; 83.545, Disaster Housing Program; 83.548, Hazard Mitigation Grant New Castle County for Individual AGENCY: Federal Emergency Program) Assistance and Public Assistance. Management Agency (FEMA). Lacy E. Suiter, All counties within the State of ACTION: Notice. Delaware are eligible to apply for Executive Associate Director, Response and Recovery Directorate. SUMMARY: This notice amends the notice assistance under the Hazard Mitigation of an emergency for the State of New Grant Program. [FR Doc. 99–25817 Filed 10–4–99; 8:45 am] BILLING CODE 6718±02±P Jersey (FEMA–3148–EM), dated (The following Catalog of Federal Domestic September 17, 1999, and related Assistance Numbers (CFDA) are to be used determinations. for reporting and drawing funds: 83.537, Community Disaster Loans; 83.538, Cora FEDERAL EMERGENCY EFFECTIVE DATE: September 18, 1999. Brown Fund Program; 83.539, Crisis MANAGEMENT AGENCY FOR FURTHER INFORMATION CONTACT: Counseling; 83.540, Disaster Legal Services Madge Dale, Response and Recovery Program; 83.541, Disaster Unemployment [FEMA±1295±DR] Directorate, Federal Emergency Assistance (DUA); 83.542, Fire Suppression Management Agency, Washington, DC Assistance; 83.543, Individual and Family New Jersey; Amendment No. 3 to 20472, (202) 646–3772. Grant (IFG) Program; 83.544, Public Notice of a Major Disaster Declaration Assistance Grants; 83.545, Disaster Housing SUPPLEMENTARY INFORMATION: Notice is Program; 83.548, Hazard Mitigation Grant hereby given that the incident period for Program) AGENCY: Federal Emergency this emergency is closed effective James L. Witt, Management Agency (FEMA). September 18, 1999. Director. ACTION: Notice. (The following Catalog of Federal Domestic [FR Doc. 99–25825 Filed 10–4–99; 8:45 am] Assistance Numbers (CFDA) are to be used BILLING CODE 6718±02±P SUMMARY: This notice amends the notice for reporting and drawing funds: 83.537, of a major disaster for the State of New Community Disaster Loans; 83.538, Cora Brown Fund Program; 83.539, Crisis Jersey (FEMA–1295-DR), dated FEDERAL EMERGENCY Counseling; 83.540, Disaster Legal Services September 18, 1999, and related Program; 83.541, Disaster Unemployment MANAGEMENT AGENCY determinations. Assistance (DUA); 83.542, Fire Suppression [FEMA±1295±DR] Assistance; 83.543, Individual and Family EFFECTIVE DATE: September 18, 1999 Grant (IFG) Program; 83.544, Public New Jersey; Amendment No. 2 to FOR FURTHER INFORMATION CONTACT: Assistance Grants; 83.545, Disaster Housing Notice of a Major Disaster Declaration Madge Dale, Response and Recovery Program; 83.548, Hazard Mitigation Grant Program) Directorate, Federal Emergency AGENCY: Federal Emergency Lacy E. Suiter, Management Agency (FEMA). Management Agency, Washington, DC 20472, (202) 646–3772. Executive Associate Director, Response and ACTION: Notice. Recovery Directorate. SUPPLEMENTARY INFORMATION: Notice is [FR Doc. 99–25821 Filed 10–4–99; 8:45 am] SUMMARY: This notice amends the notice hereby given that the incident period for BILLING CODE 6718±02±P of a major disaster for the State of New this disaster is closed effective Jersey, (FEMA–1295–DR), dated September 18, 1999. September 18, 1999, and related FEDERAL EMERGENCY determinations. (The following Catalog of Federal Domestic MANAGEMENT AGENCY Assistance Numbers (CFDA) are to be used EFFECTIVE DATE: September 28, 1999. for reporting and drawing funds: 83.537, [FEMA±1296±DR] FOR FURTHER INFORMATION CONTACT: Community Disaster Loans; 83.538, Cora Madge Dale, Response and Recovery Brown Fund Program; 83.539, Crisis New York; Amendment No. 1 to Notice Directorate, Federal Emergency Counseling; 83.540, Disaster Legal Services of a Major Disaster Declaration Management Agency, Washington, DC Program; 83.541, Disaster Unemployment AGENCY: 20472, (202) 646–3772. Assistance (DUA); 83.542, Fire Suppression Federal Emergency SUPPLEMENTARY INFORMATION: The notice Assistance; 83.543, Individual and Family Management Agency (FEMA). of a major disaster for the State of New Grant (IFG) Program; 83.544, Public ACTION: Notice. Jersey is hereby amended to include the Assistance Grants; 83.545, Disaster Housing SUMMARY: following areas among those areas Program; 83.548, Hazard Mitigation Grant This notice amends the notice determined to have been adversely Program) of a major disaster for the State of New York, (FEMA–1296–DR), dated affected by the catastrophe declared a Lacy E. Suiter, major disaster by the President in his September 19, 1999, and related Executive Associate Director, Response and determinations. declaration of September 18, 1999: Recovery Directorate. EFFECTIVE DATE: September 23, 1999. Hunterdon County for Individual [FR Doc. 99–25818 Filed 10–4–99; 8:45 am] FOR FURTHER INFORMATION CONTACT: Assistance. BILLING CODE 6718±02±P (The following Catalog of Federal Domestic Madge Dale, Response and Recovery Assistance Numbers (CFDA) are to be used Directorate, Federal Emergency for reporting and drawing funds: 83.537, Management Agency, Washington, DC Community Disaster Loans; 83.538, Cora 20472, (202) 646–3772.
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SUPPLEMENTARY INFORMATION: The notice Bucks, Chester, Delaware, Montgomery, you find necessary for Federal disaster of a major disaster for the State of New and Philadelphia Counties for Categories C– assistance and administrative expenses. York is hereby amended to include the G under the Public Assistance program You are authorized to provide Individual following areas among those areas (already designated for Individual Assistance, Public Assistance, including Assistance, and debris removal (Category A) direct Federal assistance at 75 percent determined to have been adversely and emergency protective measures (Category Federal funding, and Hazard Mitigation in affected by the catastrophe declared a B) under the Public Assistance program). major disaster by the President in his the designated areas. Consistent with the (The following Catalog of Federal Domestic requirement that Federal assistance be declaration of September 19, 1999: Assistance Numbers (CFDA) are to be used supplemental, any Federal funds provided Essex County for Individual Assistance and for reporting and drawing funds: 83.537, under the Stafford Act for Public Assistance Public Assistance. Community Disaster Loans; 83.538, Cora The counties of Orange, Putnam Rockland, Brown Fund Program; 83.539, Crisis or Hazard Mitigation will be limited to 75 and Westchester Counties for Categories C Counseling; 83.540, Disaster Legal Services percent of the total eligible costs. through G under the Public Assistance Program; 83.541, Disaster Unemployment Further, you are authorized to make program (already designated for Categories A Assistance (DUA); 83.542, Fire Suppression changes to this declaration to the extent and B and the Individual Assistance Assistance; 83.543, Individual and Family allowable under the Stafford Act. program.) Grant (IFG) Program; 83.544, Public (The following Catalog of Federal Domestic Assistance Grants; 83.545, Disaster Housing The time period prescribed for the Assistance Numbers (CFDA) are to be used program; 83.548, Hazard Mitigation Grant implementation of section 310(a), for reporting and drawing funds: 83.537, Program.) Priority to Certain Applications for Community Disaster Loans; 83.538, Cora Lacy E. Suiter, Public Facility and Public Housing Brown Fund Program; 83.539, Crisis Executive Associate Director, Response and Assistance, 42 U.S.C. 5153, shall be for Counseling; 83.540, Disaster Legal Services Recovery Directorate. a period not to exceed six months after Program; 83.541, Disaster Unemployment [FR Doc. 99–25816 Filed 10–4–99; 8:45 am] Assistance (DUA); 83.542, Fire Suppression the date of this declaration. Assistance; 83.543, Individual and Family BILLING CODE 6718±02±M Notice is hereby given that pursuant Grant (IFG) Program; 83.544, Public to the authority vested in the Director of Assistance Grants; 83.545, Disaster Housing FEDERAL EMERGENCY the Federal Emergency Management Program; 83.548, Hazard Mitigation Grant Agency under Executive Order 12148, I Program) MANAGEMENT AGENCY hereby appoint Lawrence L. Bailey of Lacy E. Suiter, [FEMA±1299±DR] the Federal Emergency Management Executive Associate Director, Response and Agency to act as the Federal Recovery Directorate. South Carolina; Major Disaster and Coordinating Officer for this declared [FR Doc. 99–25823 Filed 10–4–99; 8:45 am] Related Determinations disaster. BILLING CODE 6718±02±M AGENCY: Federal Emergency I do hereby determine the following Management Agency (FEMA). areas of the State of South Carolina to ACTION: FEDERAL EMERGENCY Notice. have been affected adversely by this MANAGEMENT AGENCY SUMMARY: This is a notice of the declared major disaster: [FEMA±1294±DR] Presidential declaration of a major Charleston, Georgetown, and Horry Counties disaster for the State of South Carolina for Individual Assistance. Pennsylvania; Amendment No. 1 to (FEMA–1299–DR), dated September 21, Beaufort, Berkeley, Charleston, Colleton, Notice of a Major Disaster Declaration 1999, and related determinations. Georgetown, Horry, Jasper, and Marion EFFECTIVE DATE: September 21, 1999. Counties for Public Assistance. AGENCY: Federal Emergency FOR FURTHER INFORMATION CONTACT: Management Agency (FEMA). Madge Dale, Response and Recovery All counties within the State of South ACTION: Notice. Directorate, Federal Emergency Carolina are eligible to apply for Management Agency, Washington, DC assistance under the Hazard Mitigation SUMMARY: This notice amends the notice 20472, (202) 646–3772. Grant Program. of a major disaster for the Commonwealth of Pennsylvania, SUPPLEMENTARY INFORMATION: Notice is (The following Catalog of Federal Domestic (FEMA–1294–DR), dated September 18, hereby given that, in a letter dated Assistance Numbers (CFDA) are to be used 1999, and related determinations. September 21, 1999, the President for reporting and drawing funds: 83.537, declared a major disaster under the Community Disaster Loans; 83.538, Cora EFFECTIVE DATE: September 28, 1999. authority of the Robert T. Stafford Brown Fund Program; 83.539, Crisis FOR FURTHER INFORMATION CONTACT: Disaster Relief and Emergency Counseling; 83.540, Disaster Legal Services Madge Dale, Response and Recovery Assistance Act (42 U.S.C. 5121 et seq.), Program; 83.541, Disaster Unemployment Directorate, Federal Emergency as follows: Assistance (DUA); 83.542, Fire Suppression Management Agency, Washington, DC Assistance; 83.543, Individual and Family I have determined that the damage in 20472, (202) 646–3772. certain areas of the State of South Carolina, Grant (IFG) Program; 83.544, Public SUPPLEMENTARY INFORMATION: The notice resulting from Hurricane Floyd beginning on Assistance Grants; 83.545, Disaster Housing of a major disaster for the September 14, 1999, and continuing is of Program; 83.548, Hazard Mitigation Grant Commonwealth of Pennsylvania is sufficient severity and magnitude to warrant Program.) hereby amended to include Categories a major disaster declaration under the Robert James L. Witt, T. Stafford Disaster Relief and Emergency C–G under the Public Assistance Director. program in the following areas among Assistance Act, Pub. L. 93–288, as amended (‘‘the Stafford Act’’). I, therefore, declare that [FR Doc. 99–25824 Filed 10–4–99; 8:45 am] those areas determined to have been such a major disaster exists in the State of BILLING CODE 6718±02±P adversely affected by the catastrophe South Carolina. declared a major disaster by the In order to provide Federal assistance, you President in his declaration of are hereby authorized to allocate from funds September 18, 1999: available for these purposes, such amounts as
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FEDERAL EMERGENCY 1293–DR), dated September 18, 1999, SUPPLEMENTARY INFORMATION: The notice MANAGEMENT AGENCY and related determinations. of a major disaster for the EFFECTIVE DATE: Commonwealth of Virginia is hereby [FEMA±1287±DR] September 22, 1999. FOR FURTHER INFORMATION CONTACT: amended to include the following areas Texas; Amendment No. 6 to Notice of Madge Dale, Response and Recovery among those areas determined to have a Major Disaster Declaration Directorate, Federal Emergency been adversely affected by the Management Agency, Washington DC catastrophe declared a major disaster by AGENCY: Federal Emergency 20472, (202) 646–3772. the President in his declaration of Management Agency (FEMA). SUPPLEMENTARY INFORMATION: The notice September 18, 1999: ACTION: Notice. of a major disaster for the The independent cities of Richmond City, Commonwealth of Virginia is hereby Suffolk City, and Williamsburg City and the SUMMARY: This notice amends the notice amended to include the following areas counties of Dinwiddie, Gloucester, and of a major disaster for the State of Texas, among those areas determined to have Halifax for Individual Assistance. (FEMA–1287–DR), dated August 22, The independent cities of Emporia City been adversely affected by the 1999, and related determinations. and Petersburg City, and Chesterfield County catastrophe declared a major disaster by for Public Assistance. EFFECTIVE DATE: September 24, 1999 the President in his declaration of (The following Catalog of Federal Domestic FOR FURTHER INFORMATION CONTACT: September 18, 1999: Assistance Numbers (CFDA) are to be used Madge Dale, Response and Recovery The independent cities of Chesapeake City for reporting and drawing funds: 83.537, Directorate, Federal Emergency and Emporia City and the counties of Community Disaster Loans; 83.538, Cora Management Agency, Washington, DC Chestfield, Greenville, King and Queen, and Brown Fund Program; 83.539, Crisis 20472, (202) 646–3772. Middlesex for Individual Assistance. Counseling; 83.540, Disaster Legal Services SUPPLEMENTARY INFORMATION: The notice The independent cities of Chesapeake City Program; 83.541, Disaster Unemployment of a major disaster for the State of Texas and Colonial Heights City, and the counties Assistance (DUA); 83.542, Fire Suppression of Brunswick, Caroline, Dinwiddie, Essex, Assistance; 83.543, Individual and Family is hereby amended to include the Gloucester, Greenville, King and Queen, King Grant (IFG) Program; 83.544, Public following area among those areas William, Mecklenburg, and Middlesex for Assistance Grants; 83.545, Disaster Housing determined to have been adversely Public Assistance. Program; 83.548, Hazard Mitigation Grant affected by the catastrophe declared a (The following Catalog of Federal Domestic Program) major disaster by the President in his Assistance Numbers (CFDA) are to be used Lacy E. Suiter, declaration of August 22, 1999: for reporting and drawing funds: 83.537, Executive Associate Director, Response and Community Disaster Loans; 83.538, Cora Jim Wells County for Categories C through Recovery Directorate. Brown Fund Program; 83.539, Crisis G under the Public Assistance program Counselling; 83.540, Disaster Legal Services [FR Doc. 99–25813 Filed 10–4–99; 8:45 am] (previously designated for Individual Program; 83.541, Disaster Unemployment BILLING CODE 6718±02±P Assistance and Categories A and B under the Assistance (DUA); 83.542, Fire Suppression Public Assistance program). Assistance; 83.543, Individual and Family (The following Catalog of Federal Domestic Grant (IFG) Program; 83.544, Public FEDERAL EMERGENCY Assistance Numbers (CFDA) are to be used Assistance Grants; 83.545, Disaster Housing MANAGEMENT AGENCY for reporting and drawing funds: 83.537, Program; 83.548, Hazard Mitigation Grant Community Disaster Loans; 83.538, Cora Program.) [FEMA±1293±DR] Brown Fund Program; 83.539, Crisis Lacy E. Suiter, Counseling; 83.540, Disaster Legal Services Virginia; Amendment No. 4 to Notice of Program; 83.541, Disaster Unemployment Executive Associate Director, Response and a Major Disaster Declaration Assistance (DUA); 83.542, Fire Suppression Recovery Directorate. Assistance; 83.543, Individual and Family [FR Doc. 99–25810 Filed 10–4–99; 8:45 am] AGENCY: Federal Emergency Grant (IFG) Program; 83.544, Public BILLING CODE 6718±02±M Management Agency (FEMA). Assistance Grants; 83.545, Disaster Housing ACTION: Notice. Program; 83.548, Hazard Mitigation Grant Program) FEDERAL EMERGENCY SUMMARY: This notice amends the notice Robert J. Adamcik, MANAGEMENT AGENCY of a major disaster for the Commonwealth of Virginia (FEMA– Deputy Associate Director, Response and [FEMA±1293±DR] Recovery Directorate. 1293–DR), dated September 18, 1999, [FR Doc. 99–25822 Filed 10–4–99; 8:45 am] Commonwealth of Virginia; and related determinations. BILLING CODE 6718±02±P Amendment No. 3 to Notice of a Major EFFECTIVE DATE: September 26, 1999. Disaster Declaration FOR FURTHER INFORMATION CONTACT: Madge Dale, Response and Recovery FEDERAL EMERGENCY AGENCY: Federal Emergency Directorate, Federal Emergency MANAGEMENT AGENCY Management Agency (FEMA). Management Agency, Washington, DC ACTION: Notice. [FEMA±1293±DR] 20472, (202) 646–3772. SUMMARY: This notice amends the notice SUPPLEMENTARY INFORMATION: Notice is Commonwealth of Virginia; of a major disaster for the hereby given that the incident period for Amendment No. 2 to Notice of a Major Commonwealth of Virginia, (FEMA– this disaster is closed effective Disaster Declaration 1293–DR), dated September 18, 1999, September 26, 1999. AGENCY: Federal Emergency and related determinations. (The following Catalog of Federal Domestic Management Agency (FEMA). EFFECTIVE DATE: September 23, 1999. Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 83.537, FOR FURTHER INFORMATION CONTACT: ACTION: Notice. Community Disaster Loans; 83.538, Cora Madge Dale, Response and Recovery Brown Fund Program; 83.539, Crisis SUMMARY: This notice amends the notice Directorate, Federal Emergency Counseling; 83.540, Disaster Legal Services of a major disaster for the Management Agency, Washington, DC Program; 83.541, Disaster Unemployment Commonwealth of Virginia, (FEMA– 20472, (202) 646–3772. Assistance (DUA); 83.542, Fire Suppression
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Assistance; 83.543, Individual and Family FEDERAL EMERGENCY SUPPLEMENTARY INFORMATION: Grant (IFG) Program; 83.544, Public MANAGEMENT AGENCY Assistance Grants; 83.545, Disaster Housing 1. Background Program; 83.548, Hazard Mitigation Grant [FEMA±3147±EM] FEMA administers the National Flood Program) Insurance Program (NFIP) and under Virginia; Amendment No. 1 to Notice of Lacy E. Suiter, § 1360 of the National Flood Insurance an Emergency Declaration Executive Associate Director, Response and Act of 1968, as amended (42 U.S.C. Recovery Directorate. AGENCY: Federal Emergency 4101), we establish and update flood- [FR Doc. 99–25814 Filed 10–4–99; 8:45 am] Management Agency (FEMA). risk zone data in floodplain areas. In the BILLING CODE 6718±02±P ACTION: Notice. identification of flood-prone areas, we may consult with, receive information SUMMARY: This notice amends the notice from, and enter into agreements or other FEDERAL EMERGENCY of an emergency for the Commonwealth arrangements with the head of any MANAGEMENT AGENCY of Virginia (FEMA–3147–EM), dated State, regional, or local agency in order September 16, 1999, and related to identify these floodplain areas. [FEMA±1293±DR] determinations. We are implementing the Cooperating EFFECTIVE DATE: September 26, 1999. Technical Communities (CTC) concept Virginia; Amendment No. 5 to Notice of as part of our Flood Map Modernization a Major Disaster Declaration FOR FURTHER INFORMATION CONTACT: Madge Dale, Response and Recovery plan (http://www.fema.gov/library/ AGENCY: Federal Emergency Directorate, Federal Emergency mapmod.pdf). The CTC initiative will Management Agency (FEMA). Management Agency, Washington, DC formally recognize and encourage the ongoing contributions that our mapping ACTION: Notice. 20472, (202) 646–3772. partners—States, regional agencies, and SUPPLEMENTARY INFORMATION: Notice is SUMMARY: This notice amends the notice hereby given that the incident period for communities—make in assisting us in of a major disaster for the this emergency is closed effective providing timely and accurate flood Commonwealth of Virginia, (FEMA– September 26, 1999. hazard information. The participating 1293–DR), dated September 18, 1999, entity will enter into a partnership (The following Catalog of Federal Domestic and related determinations. agreement with us to develop or Assistance Numbers (CFDA) are to be used maintain all or a component of its flood EFFECTIVE DATE: September 28, 1999. for reporting and drawing funds: 83.537, Community Disaster Loans; 83.538, Cora hazard maps. FOR FURTHER INFORMATION CONTACT: CTC partnerships will maximize the Madge Dale, Response and Recovery Brown Fund Program; 83.539, Crisis Counseling; 83.540, Disaster Legal Services effectiveness of the limited local and Directorate, Federal Emergency Program; 83.541, Disaster Unemployment Federal funding available for flood Management Agency, Washington, DC Assistance (DUA); 83.542, Fire Suppression mapping, while maintaining consistent 20472, (202) 646–3772. Assistance; 83.543, Individual and Family national standards. Through these SUPPLEMENTARY INFORMATION: The notice Grant (IFG) Program; 83.544, Public partnerships, the integration of locally- of a major disaster for the Assistance Grants; 83.545, Disaster Housing funded or developed flood and mapping Program; 83.548, Hazard Mitigation Grant data in the flood mapping process will Commonwealth of Virginia is hereby Program) amended to include the following areas enable contributing partners to expand Lacy E. Suiter, among those areas determined to have the scope of our flood mapping efforts. been adversely affected by the Executive Associate Director, Response and We expect that this will result in Recovery Directorate. catastrophe declared a major disaster by enhanced responsibility for the maps by the President in his declaration of [FR Doc. 99–25820 Filed 10–4–99; 8:45 am] the partners and, in turn, heightened September 18, 1999: BILLING CODE 6718±02±P local awareness of flood risks, more Mathews County for Individual Assistance effective floodplain management, and more accurate maps. The Cooperating and Public Assistance. FEDERAL EMERGENCY Technical Communities initiative Northumberland County for Public MANAGEMENT AGENCY Assistance (already designated for Individual includes both locally-funded and Assistance.) Cooperating Technical Communities FEMA-funded activities. The counties of Charles City, King George, Under the initiative, the partner will Lancaster, Lunenberg, and Richmond for AGENCY: Federal Emergency enter a general overall agreement (CTC Public Assistance. Management Agency (FEMA). Agreement) with us that recognizes the (The following Catalog of Federal Domestic ACTION: Notice of Cooperating Technical fundamental importance of flood hazard Assistance Numbers (CFDA) are to be used Communities flood hazard mapping identification, as well as flood insurance for reporting and drawing funds: 83.537, initiative. and floodplain management. Then, as Community Disaster Loans; 83.538, Cora the CTC partner and we identify specific Brown Fund Program; 83.539, Crisis SUMMARY: We (FEMA) give notice of the Counseling; 83.540, Disaster Legal Services flood mapping activities to undertake, Cooperating Technical Communities we and the CTC partner will develop Program; 83.541, Disaster Unemployment initiative that will recognize and Assistance (DUA); 83.542, Fire Suppression and enter into Mapping Activity Assistance; 83.543, Individual and Family encourage participation by states, Agreements under the umbrella of the Grant (IFG) Program; 83.544, Public regional agencies, and communities in overall CTC Agreement. Assistance Grants; 83.545, Disaster Housing the flood hazard mapping process. We envision that most Mapping Program; 83.548, Hazard Mitigation Grant DATES: Pilot projects are ongoing. Activity Agreements will be Program) FOR FURTHER INFORMATION CONTACT: collaborative efforts where both the CTC Lacy E. Suiter, Your FEMA Regional Cooperating partner and FEMA contribute data and Executive Associate Director, Response and Technical Communities Coordinator. units of work to maximize the extent, Recovery Directorate. We list contact names for the accuracy, and utility of flood studies to [FR Doc. 99–25815 Filed 10–4–99; 8:45 am] coordinators under Section 5 of this best meet local and Federal needs, while BILLING CODE 6718±02±M document. minimizing costs for all parties. Federal
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.097 pfrm08 PsN: 05OCN1 54020 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices funding will be limited even if we can activities that we identified for the pilot national program where unique allocate supplemental map effort. conditions may exist that necessitate modernization funding. In any event, 3. Activities special approaches to flood hazard we will allocate funding within the identification. context of our flood study prioritization All of the activities listed below • By incorporating local knowledge process. contain the following benefits for both We will consider Fiscal Years 1999 the CTC partner and for FEMA: and expertise, FEMA’s National Flood and 2000 as pilot years for this • Local capabilities in hazard Insurance Program flood hazard maps initiative. Initial Guidance is available identification and risk assessment—the will be more accurate and can be at http://www.fema.go/mit/tsd/CTC— building blocks for disaster resistance— updated faster; main.htm. We anticipate that updated will be enhanced through FEMA Mapping Activity Agreements will guidance will be available in Fiscal Year technical assistance, experience, support the development of flood 2000. standards, and funding; hazard mapping or a component of the • The data, methods, and mapping production and maintenance of flood 2. Availability of Fiscal Year 1999 used for local, regional, and state Funds hazard mapping. FEMA and the CTC permitting processes will also be used partner will collaborate on these We set aside $400,000 ($40,000 per for NFIP mapping, to the extent mapping activities. FEMA may provide Region) for FEMA-funded CTC activities possible; technical assistance, support, and data in Fiscal Year 1999. We identified • Close coordination and partners as potential recipients of involvement in the flood hazard to the CTC partner. In some cases, funding through CTC agreements for mapping process will result in more funding may also be available. The this pilot year. We based the selection efficient local floodplain management following mapping activities may on floodplain mapping needs and on the by the CTC partners; receive funding in Fiscal Year 1999 partners’ interest, contributions, and • The program has the potential to through a cooperative agreement with their capability to perform the types of interject a tailored, local focus into a FEMA:
Activity Partner Description
Refinement of Approximate Zone A Bound- Community/Regional/State Agency ...... The CTC partner works with FEMA to perform aries. analyses to refine Zone A boundaries. Em- phasis placed on automation techniques. Hydrologic & Hydraulic (H&H) Modeling and Community/Regional/State Agency ...... The CTC partner develops digital engineering Floodplain Mapping. data and floodplain mapping using GIS- based or traditional H&H modeling. DFIRM Preparation...... Community/Regional/State Agency ...... The CTC partner digitizes the effective FIRM into a DFIRM. Redelineation of Detailed Flood Hazard Infor- Community/regional/State Agency ...... The CTC partner redelineates the effective mation Using Updated Topographic Data. flood hazard information using more up-to- date topographic data. GIS is used, where available. Analysis of Community Mapping Needs to sup- Regional/State Agency ...... The CTC partner performs a detailed commu- port FEMA's Mapping Needs Update Sup- nity-by-community investigation and assess- port System (MNUSS). ment of every NFIP community's mapping needs, including flood data updates, map maintenance, and includes unmapped com- munities.
While we provide no funding to CTC partners for the following mapping activities, we may provide technical assistance, support, and data to the CTC partner:
Activity Partner Description
Base Map Inventory ...... Regional or State Agency ...... The CTC partner performs an investigation and provides an inventory of base maps meeting FEMA's specifications for NFIP communities in the state. Digital Base Map Data Sharing. Community/Regional/ State Agency ...... The CTC partner supplies a base map for DFIRM production. The base map will com- ply with FEMA's minimum accuracy require- ments and be distributable by FEMA to the public (hardcopy and electronic formats). DFIRM Maintenance ...... Community/Regional/State Agency ...... The CTC partner assumes responsibility for long-term, periodic maintenance of the DFIRM. Hydrologic and Hydraulic Review Agreement ... Community/ Regional/State Agency ...... The CTC partner evaluates H&H studies pre- pared for flood data updates and/or 44 CFR Part 65 map revisions. The review will focus on compliance with the technical and regu- latory requirements contained in FEMA's various flood mapping guidelines and speci- fications, the pertinent NFIP flood mapping regulations, as well as standard accepted engineering practices.
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Activity Partner Description
Technical Standards Agreement ...... Community/ Regional/State Agency ...... Adoption of specific technical standards or processes appropriate for local conditions for NFIP flood mapping purposes.
4. Eligibility Criteria Region 4: (Alabama, Florida, Georgia, (P.L. 104–303), the Federal Emergency The cooperative agreements (CAs) Kentucky, Mississippi, North Carolina, Management Agency gives notice that awarded in this effort are intended to South Carolina, Tennessee), Bel the following meeting will be held: supplement and not supplant, on-going Marquez, 3003 Chamblee Tucker Rd., NAME: National Dam Safety Review mapping efforts by the community, Atlanta, GA 30341, Telephone: (770) Board. regional agency, or State. The FEMA 220–5436, (email) DATE OF MEETING: October 11, 1999. funds are in addition to the partner’s [email protected]. Region 5: (Illinois, Indiana, Michigan, PLACE: Hyatt Regency Union State, St. current effort. This is the first year of Louis, Missouri. this initiative and the FEMA Regional Minnesota, Ohio, Wisconsin), Ken TIME: Offices have selected pilot communities Hinterlong, 536 S. Clark Street, 6th 1:00 p.m.–5:00 p.m. based on the following criteria: Floor, Chicago, IL 60605, Telephone: PROPOSED AGENDA: Review National (a) The CTC partner must have (312) 408–5529, (email) Dam Safety Program activities. existing processes or systems in place [email protected]. STATUS: This meeting is open to the that support mapping or data collection Region 6: (Arkansas, Louisiana, New public. Mexico, Oklahoma, Texas), Jack activities that contribute to flood hazard FOR FURTHER INFORMATION CONTACT: Quarles, FRC 800 North Loop 288, identification. These ongoing processes Donald Bathurst, Director, National Dam or systems must be supported by non- Denton, TX 76210, Telephone: (817) 898–5156, (email) Safety Program, Mitigation Directorate, federal funding. Federal Emergency Management (b) The CTC partner must have [email protected]. Region 7: (Iowa, Kansas, Missouri, Agency, 500 C Street, S.W., Room 416, demonstrated the capability to perform Washington, D.C. 20472, telephone the mapping activities for which it is Nebraska), Bob Franke, 2323 Grand Avenue, Suite 900, Kansas City, MO (202) 646–2753 or by facsimile at (202) applying. 646–3990. (c) The CTC partner must be a 64108, Telephone: (816) 283–7073, community participating in the NFIP, (email) [email protected] SUPPLEMENTARY INFORMATION: This and be in good standing in the program Region 8: (Colorado, Montana, North meeting is open to the public with as determined by the FEMA Regional Dakota, South Dakota, Utah, Wyoming), limited seating available on a first-come, Office, or be a State or regional agency John Liou, Denver Federal Center, Bldg. first-served basis. Members of the that serves communities that participate 710, Box 25267, Denver, CO 80225, general public who plan to attend the in the NFIP. Telephone: (303) 235–4836, meeting should contact Rita Henry, These criteria, which have been used [email protected]. Federal Emergency Management in this pilot year, will be evaluated by Region 9: (Arizona, California, Agency, 500 C Street, S.W., Room 416, FEMA and further enhanced in Hawaii, Nevada, American Samoa, Washington, D.C. 20472, Telephone subsequent years. In addition to the Guam), Les Sakumoto, Bldg. 105, (202) 646–2704 or Bud Andress at (202) selection criteria above, communities Presidio of San Francisco, San 646–2801 or by facsimile at (202) 646– that receive a CA must be able to Francisco, CA 94129, Telephone: (415) 3990 on or before October 7, 1999. perform the financial management 923–7183, (email) Minutes of the meeting will be activities required as part of the [email protected]. prepared and available upon request 30 cooperative agreement (i.e., account for Region 10: (Alaska, Idaho, Oregon, days after they have been approved by federal funds, prepare financial reports). Washington), Larry Basich, Federal the National Dam Safety Review Board. FEMA regional offices will assist the Regional Center, 130—228th Street, Dated: September 28, 1999. Bothell, WA 98021, Telephone: (425) communities with these financial Michael J. Armstrong, management activities. 487–4703, (email) [email protected]. Associate Director for Mitigation 5. Cooperating Technical Community [FR Doc. 99–25805 Filed 10–4–99; 8:45 am] Dated: September 23, 1999. Contacts BILLING CODE 6718±05±P Robert F. Shea, Jr., Region 1: (Connecticut, Maine, Massachusetts, New Hampshire, Rhode Acting Associate Director for Mitigation. Island, Vermont), Dean Savramis, 442 [FR Doc. 99–25784 Filed 10–4–99; 8:45 am] FEDERAL HOUSING FINANCE BOARD BILLING CODE 6718±04±P J.W. McCormack POCH, Boston, MA [No. 99±N±13] 02109, Telephone: (617) 223–9564, (email) [email protected]. FEDERAL EMERGENCY Submission for OMB Review; Region 2: (New Jersey, New York, Comment Request Puerto Rico, Virgin Islands), Paul MANAGEMENT AGENCY Weberg, 26 Federal Plaza, Room 1337, AGENCY: Federal Housing Finance Opening Meeting, National Dam Safety New York, NY 10278, (212) 225–7229, Board. Review Board (email) [email protected]. ACTION: Notice. Region 3: (Delaware, Maryland, AGENCY: Federal Emergency Pennsylvania, Virginia, West Virginia, Management Agency (FEMA). SUMMARY: In accordance with the District of Columbia), Erik Rourke, 615 ACTION: Notice of meeting. requirements of the Paperwork Chestnut Street, 6th Floor, Philadelphia, Reduction Act of 1995, the Federal PA 19106, (215) 931–5665, (email) SUMMARY: In accordance with § 8(h) of Housing Finance Board (Finance Board) [email protected]. the National Dam Safety Program Act hereby gives notice that it has submitted
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.089 pfrm08 PsN: 05OCN1 54022 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices the information collection entitled certification to the Finance Board. June 16, 1999. See 64 FR 32235 (June ‘‘Advances to Nonmember Mortgagees’’ Section 935.24 of the rule establishes 16, 1999). The 60-day comment period to the Office of Management and Budget the terms and conditions under which closed on August 16, 1999. The Finance (OMB) for review and approval of a a FHLBank may make advances to a Board received no public comments. three-year extension of the OMB control nonmember mortgagee. 12 CFR 935.24. Written comments are requested on: (1) number, which is due to expire on Section 935.24 also imposes on a Whether the collection of information is November 30, 1999. certified nonmember mortgagee a necessary for the proper performance of DATES: Interested persons may submit continuing obligation to provide Finance Board functions, including comments on or before November 4, information necessary to determine if it whether the information has practical 1999. remains in compliance with applicable utility; (2) The accuracy of the Finance ADDRESSES: Submit comments to the statutory and regulatory requirements. Board’s estimates of the burdens of the Office of Information and Regulatory The information collection contained collection of information; (3) Ways to Affairs of OMB, Attention: Desk Officer in § 935.22 through § 935.24 of the rule enhance the quality, utility, and clarity for the Federal Housing Finance Board, is necessary to enable, and is used by of the information collected; and (4) Washington, DC 20503. Address the FHLBanks to determine whether a Ways to minimize the burden of the requests for copies of the information respondent satisfies the statutory and collection of information on collection and supporting regulatory requirements to be certified respondents, including through the use documentation to Elaine L. Baker, initially and maintain its status as a of automated collection techniques or Secretary to the Board, by telephone at nonmember mortgagee eligible to other forms of information technology. 202/408–2837, by electronic mail at receive FHLBank advances. The Finance Comments may be submitted to OMB in [email protected], or by regular mail at Board requires and uses the information writing at the address listed above. the Federal Housing Finance Board, collection to determine whether to By the Federal Housing Finance Board. uphold or overrule a FHLBank’s 1777 F Street, NW, Washington, DC Dated: September 27, 1999. decision to deny nonmember mortgagee 20006. William W Ginsberg, FOR FURTHER INFORMATION CONTACT: certification to an applicant. The OMB number for the information Managing Director. Jonathan F. Curtis, Senior Financial [FR Doc. 99–25746 Filed 10–4–99; 8:45 am] Analyst, Policy Development and collection is 3069–005. The OMB Analysis Division, Office of Policy, clearance for the information collection BILLING CODE 6725±01±P Research and Analysis, by telephone at expires on November 30, 1999. The likely respondents include 202/408–2866, by electronic mail at applicants for nonmember mortgagee [email protected], or by regular mail at certification and certified nonmember FEDERAL RESERVE SYSTEM the Federal Housing Finance Board, mortgagees. 1777 F Street, NW, Washington, DC Sunshine Act Meeting 20006. B. Burden Estimate AGENCY HOLDING THE MEETING: SUPPLEMENTARY INFORMATION: Board of The Finance Board estimates the total Governors of the Federal Reserve A. Need for and Use of Information annual average number of applicants at System. Collection six, with one response per applicant. The estimate for the average hours per TIME AND DATE: 11:00 a.m., Tuesday, Section 10b of the Federal Home Loan application is ten hours. The estimate October 12, 1999. Bank Act (Bank Act) authorizes the for the annual hour burden for PLACE: Marriner S. Eccles Federal Federal Home Loan Banks (FHLBanks) applicants is 60 hours (6 applicants × 1 Reserve Board Building, 20th and C to make advances under certain response per applicant × approximately Streets, NW, Washington, DC 20551. circumstances to certified nonmember 10 hours). STATUS: Closed. mortgagees. See 12 U.S.C. 1430b. In The Finance Board estimates the total order to be certified as a nonmember MATTERS TO BE CONSIDERED: annual average number of certified 1. Personnel actions (appointments, mortgagee, an applicant must meet the nonmember mortgagees at 43, with 1 eligibility requirements set forth in promotions, assignments, response per mortgagee. The estimate reassignments, and salary actions) section 10b of the Bank Act. Subpart B for the average hours per certified of part 935 of the Finance Board’s involving individual Federal Reserve nonmember mortgagee response is 0.5 System employees. regulations implements the statutory hours. The estimate for the annual hour eligibility requirements an applicant 2. Any items carried forward from a burden for certified nonmember previously announced meeting. must meet in order to be certified as a mortgagees is 21.5 hours (43 certified CONTACT PERSON FOR MORE INFORMATION: nonmember mortgagee and establishes nonmember mortgagees × 1 response per Lynn S. Fox, Assistant to the Board; uniform review criteria the FHLBanks mortgagee × approximately 0.5 hours). must use in evaluating applications. See The Finance Board estimates that the 202–452–3204. 12 CFR 935.20–935.24. More total annual hour burden for all SUPPLEMENTARY INFORMATION: You may specifically, § 935.22 of the rule respondents is 81.5 hours (6 applicants call 202–452–3206 beginning at implements the statutory eligibility × 1 response per applicant × approximately 5 p.m. two business days requirements and provides guidance to approximately 10 hours + 43 certified before the meeting for a recorded an applicant on how it may satisfy the nonmember mortgagees × 1 response per announcement of bank and bank requirements. 12 CFR 935.22. Under mortgagee × approximately 0.5 hours). holding company applications § 935.23, the FHLBanks have authority scheduled for the meeting; or you may to approve or deny all applications for C. Comment Request contact the Board’s Web site at http:// certification as a nonmember mortgagee, In accordance with the requirements www.federalreserve.gov for an subject to the statutory and regulatory of 5 CFR 1320.8(d), the Finance Board electronic announcement that not only requirements. 12 CFR 935.23. Section published a request for public lists applications, but also indicates 935.23 also permits an applicant to comments regarding this information procedural and other information about appeal a FHLBank’s decision to deny collection in the Federal Register on the meeting.
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Dated: October 1, 1999. specific projects only as illustrations for such as cells collected in research Robert deV. Frierson, such principles. projects, biopsy specimens obtained for Associate Secretary of the Board. (c) Shall not be responsible for the diagnostic purposes, and organs and [FR Doc. 99–26098 Filed 10–1–99; 3:51 pm] review and approval of specific projects. tissues removed during surgery—to (d) In addition to responding to BILLING CODE 6210±01±P increase knowledge about human requests for advice and diseases and to develop better means of recommendations from the National preventing, diagnosing, and treating Science and Technology Council, NBAC these diseases. Today, new technologies DEPARTMENT OF HEALTH AND also may accept suggestions of issues for and advances in biology provide even HUMAN SERVICES consideration from both the Congress more effective tools for using such and the public. NBAC may also identify resources to improve medicine’s Notice of Publication of the Executive other bioethical issues for the purpose diagnostic and therapeutic potential. Summary of the Report, Research of providing advice and Yet, the very power of these new Involving Human Biological Materials: recommendations, subject to the technologies raises a number of Ethical Issues and Policy Guidance, by approval of the National Science and important ethical issues. the National Bioethics Advisory Technology Council. The members of Commission (NBAC) NBAC are as follows: Is it appropriate to use stored Harold T. Shapiro, Ph.D., Chair biological materials in ways that SUPPLEMENTARY INFORMATION: The Patricia Backlar originally were not contemplated either President established the National Arturo Brito, M.D. by the people from whom the materials Bioethics Advisory Commission (NBAC) Alexander Morgan Capron, LL.B. came or by those who collected the on October 3, 1995 by Executive Order Eric J. Cassell, M.D., M.A.C.P. materials? Does such use harm anyone’s 12975 as amended. The functions of R. Alta Charo, J.D. interest? Does it matter whether the NBAC are as follows: James F. Childress, Ph.D. material is identified, or identifiable, as (a) Provide advice and make David R. Cox, M.D., Ph.D. to its source, or is linked, or linkable, to recommendations to the National Rhetaugh G. Dumas, Ph.D., R.N. other medical or personal data regarding Laurie M. Flynn Science and Technology Council and to Carol W. Greider, Ph.D. the source? The extent to which a other appropriate government entities Steven H. Holtzman research sample can be linked with the regarding the following matters: Bernard Lo, M.D. identity of its source is a significant (1) The appropriateness of Lawrence H. Miike, M.D., J.D. determination in assessing the risks and departmental, agency or other Thomas H. Murray, Ph.D. potential benefits that might occur to governmental programs, policies, William C. Oldaker, L.L.B. human subjects. For this reason, the assignments, missions, guidelines, and Diane Scott-Jones, Ph.D. National Bioethics Advisory regulations as they relate to bioethical Research Involving Human Biological Commission (NBAC) has developed a issues arising from research on human Materials: Ethical Issues and Policy schema to describe the character of the biology and behavior; and (2) Guidance; Executive Summary personal information associated with applications, including the clinical particular samples of human biological applications, of that research. Introduction materials as they exist in clinical (b) Identify broad principles to govern Biomedical researchers have long facilities or other repositories and in the the ethical conduct of research, citing studied human biological materials— hands of researchers. (See Table 1.)
TABLE 1.ÐCATEGORIES OF HUMAN BIOLOGICAL MATERIALS
Repository Collections. Unidentified specimens: For these specimens, identifiable personal information was not collected or, if collected, was not maintained and cannot be retrieved by the repository. Identified specimens: These specimens are linked to personal information in such a way that the person from whom the material was ob- tained could be identified by name, patient number, or clear pedigree location (i.e., his or her relationship to a family member whose identity is known). Research Samples: Unidentified samples: Sometimes termed ``anonymous,'' these samples are supplied by repositories to investigators from a collection of un- identified human biological specimens. Unlinked samples: Sometimes termed ``anonymized,'' these samples lack identifiers or codes that can link a particular sample to an identi- fied specimen or a particular human being. Coded samples: Sometimes termed ``linked'' or ``identifiable,'' these samples are supplied by repositories to investigators from identified specimens with a code rather than with personally identifying information, such as a name or Social Security number. Identified samples: These samples are supplied by repositories from identified specimens with a personal identifier (such as a name or pa- tient number) that would allow the researcher to link the biological information derived from the research directly to the individual from whom the material was obtained.
Ethical researchers must pursue their research activities seem especially harms, which can occur in research scientific aims without compromising important and compelling. At the same conducted on previously collected the rights and welfare of human time, the novelty of many of these fields human biological materials when subjects. However, achieving such a can mean that potential harms to investigators do not directly interact balance is a particular challenge in individuals who are the subjects of such with the persons whose tissues, cells, or rapidly advancing fields, such as human research are poorly understood and DNA they are studying. genetics, in which the tantalizing hence can be over-or underestimated. Increasing concerns about the use of potential for major advances can make This is particularly true of nonphysical genetic and other medical information
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Thus, one the existing federal regulations as they release of such information. Although reason to modify regulations is to clarify apply to research using human protection of human subjects in research which protocols are subject to what biological materials. is of primary concern in the U.S. sorts of prior review; likewise, Recommendation 1 biomedical research system, research illustrations and explanations may be that uses biological materials—materials useful in clarifying how the regulations Federal regulations governing human that often are distanced in time and apply to novel or complicated fields that subjects research (45 CFR 46) that apply space from the persons from whom they use human biological materials. to research involving human biological were obtained—raises unique How well does the existing Federal materials should be interpreted by the challenges regarding the appropriate Policy for the Protection of Human Office for Protection from Research protection of research subjects. Subjects (the so-called Common Rule, Risks (OPRR), other federal agencies Research sponsors, investigators, and codified at 45 CFR Part 46) meet these that are signatories to the Common Rule, Institutional Review Boards (IRBs) thus objectives? Specifically, does it provide IRBs, investigators, and others, in the must exercise great care and sensitivity clear direction to research sponsors, following specific ways: in applying professional guidelines and investigators, IRBs, and others regarding (a) Research conducted with government regulations to protect the conduct of research using human unidentified samples is not human subjects whose biological materials are biological materials in an ethical subjects research and is not regulated by used in research. Properly interpreted manner? NBAC finds that it does not the Common Rule. and modestly modified, present federal adequately do so. In some cases, present (b) Research conducted with unlinked regulations can protect subjects’ rights regulatory language provides ambiguous samples is research on human subjects and interests and at the same time guidance for research using human and is regulated by the Common Rule, permit well-designed research to go biological materials. For example, but is eligible for exemption from IRB forward using materials already in confusion about the intended meaning review pursuant to 45 CFR 46.101(b)(4). storage as well as those newly collected of terms such as ‘‘human subject,’’ (c) Research conducted with coded or by investigators and others. ‘‘publicly available,’’ and ‘‘minimal identified samples is research on human Fundamentally, the interests of subjects risk’’ has stymied investigators and IRB subjects and regulated by the Common and those of researchers are not in members. Beyond these ambiguities, Rule. It is not eligible for exemption conflict. Rather, appropriate protection certain parts of current regulations are unless the specimens or the samples are of subjects provides the reassurance inadequate to ensure the ethical use of publicly available as defined by 45 CFR needed if individuals are to continue to human biological materials in research 46.101 (b)(4). Few collections of human make their tissue, blood, or DNA and require some modification. biological materials are publicly available for research. Indeed, public In this report, NBAC offers a series of available, although many are available confidence in the ethics and integrity of recommendations that have been to qualified researchers at reasonable the research process translates into developed to address perceived cost. Therefore, OPRR should make popular support for research in general. difficulties in the interpretation of clear in its guidance that in most cases Policies and guidelines governing federal regulations and in the language this exemption does not apply to human subjects research should permit of position statements of some research using human biological investigators—under certain professional organizations; ensure that materials. circumstances and with the informed, research involving human biological The current federal regulations appear voluntary consent of sample sources—to materials will continue to benefit from to make eligible for expedited review have access to identifying information appropriate oversight and IRB review, research on materials that will be sufficient to enable them to gather the additional burdens of which are collected for clinical purposes or those necessary data regarding the subjects. kept to a minimum; provide that will be collected in noninvasive or Provided that adequate protections exist investigators and IRBs with clear minimally invasive ways for research (which usually, but not always, include guidance regarding the use of human purposes. NBAC finds that there is no informed consent), such information biological materials in research, need to distinguish between collections gathering could include ongoing particularly with regard to informed originally created for clinical purposes collection of medical records data and consent; provide a coherent public and those created for research purposes. even requests for individuals to undergo policy for research in this area that will In both cases, research on the collected tests to provide additional research endure for many years and be materials should be eligible for information. In some cases, it even will responsive to new developments in expedited review if the research be acceptable for investigators to convey science; and provide the public presents no more than a minimal risk to information about research results to the (including potential research subjects) the study subjects. (See the discussion persons whose samples have been with increased confidence in research of minimal risk below.) studied. Where identifying information that makes use of human biological exists, however, a well-developed materials. In particular, this report Recommendation 2 system of protections must be provides interpretations of several OPRR should revise its guidance to implemented to ensure that risks are important concepts and terms in the make clear that all minimal-risk minimized and that the interests of Common Rule and recommends ways research involving human biological sample sources are protected. both to strengthen and clarify the materials—regardless of how they were Finally, any system of regulation is regulations and to make their collected—should be eligible for most likely to achieve its goals if it is implementation more consistent. expedited IRB review.
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Special Concerns About the Use of When an investigator obtains access Recommendation 7 Unlinked Samples to a patient’s medical records, either to The person who obtains informed Given the importance of society’s identify sample sources or to gather consent in clinical settings should make interest in treating disease and additional medical information, human clear to potential subjects that their developing new therapies, a policy that subjects research is being conducted. refusal to consent to the research use of severely restricts research access to IRBs should adopt policies to govern biological materials will in no way unidentified and unlinked samples such research, consistent with existing affect the quality of their clinical care. OPRR guidance related to medical would severely hamper research and Recommendation 8 could waste a valuable research records research. When an investigator is conducting resource. As noted in Recommendation Obtaining Informed Consent 1, research using unlinked samples may research on coded or identified samples be exempt from review. However, if Research using coded or identified obtained prior to the implementation of coded or identified samples are samples requires the consent of the NBAC’s recommendations, general rendered unlinked by the investigator, source, unless the criteria for a consent releases for research given in special precautions are in order. waiver have been satisfied. conjunction with a clinical or surgical Unfortunately, the consent obtained at procedure must not be presumed to Recommendation 3 the time the specimen was obtained cover all types of research over an When an investigator proposes to may not always be adequate to satisfy indefinite period of time. Investigators create unlinked samples from coded or this requirement. When research is and IRBs should review existing consent identified materials already under his or contemplated using existing samples, documents to determine whether the her control, an IRB (or other designated the expressed wishes of the individuals subjects anticipated and agreed to officials at the investigator’s institution) who provided the materials must be participate in the type of research may exempt the research from IRB respected. Where informed consent proposed. If the existing documents are review if it determines that: documents exist, they may indicate inadequate and consent cannot be (a) The process used to unlink the whether individuals wanted their waived, the investigator must obtain samples will be effective, and sample to be used in future research and informed consent from the subjects for (b) The unlinking of the samples will in some instances may specify the type the current research or in appropriate not unnecessarily reduce the value of of research. circumstances have the identifiers the research. stripped so that samples are unlinked. When human biological materials are Requirements for Investigators Using collected, whether in a research or Recommendation 9 Coded or Identified Samples clinical setting, it is appropriate to ask To facilitate collection, storage, and Repositories and IRBs share subjects for their consent to future use appropriate use of human biological responsibility with investigators to of their samples, even in cases where materials in the future, consent forms ensure that research is designed and such uses are at the time unknown. In should be developed to provide conducted in a manner that this latter case, however, particular potential subjects with a sufficient appropriately protects human subjects considerations are needed to determine number of options to help them from unwarranted harms. whether to honor prospective wishes. understand clearly the nature of the Recommendation 4 Whether obtaining consent to the decision they are about to make. Such research use of human biological options might include, for example: Before releasing coded and/or materials in a research or clinical (a) Refusing use of their biological identified samples from its collection, a setting, and whether the consent is new materials in research, repository should require that the or renewed, efforts should be made to be (b) Permitting only unidentified or investigator requesting the samples as explicit as possible about the uses to unlinked use of their biological either provide documentation from the which the material might be put and materials in research, investigator’s IRB that the research will whether it is possible that the research (c) Permitting coded or identified use be conducted in compliance with might be conducted in such a way that of their biological materials for one applicable federal regulations or explain the individual could be identified. particular study only, with no further in writing why the research is not Obviously, different conditions will contact permitted to ask for permission subject to those regulations. exist for different research protocols, in to do further studies, (d) Permitting coded or identified use Recommendation 5 different settings, and among individuals. NBAC notes that the of their biological materials for one When reviewing and approving a current debate about the appropriate use particular study only, with further protocol for research on human of millions of stored specimens endures contact permitted to ask for permission biological materials, IRBs should require because of the uncertain nature of past to do further studies, the investigator to set forth: consents. Investigators and others who (e) Permitting coded or identified use (a) A thorough justification of the collected and stored human biological of their biological materials for any research design, including a description materials now have the opportunity to study relating to the condition for which of procedures used to minimize risk to correct past inadequacies by obtaining the sample was originally collected, subjects, with further contact allowed to seek (b) A full description of the process by more specific and clearly understood informed consent. permission for other types of studies, or which samples will be obtained, (f) Permitting coded use of their (c) Any plans to obtain access to the Recommendation 6 biological materials for any kind of medical records of the subjects, and future study.* (d) A full description of the When informed consent to the mechanisms that will be used to research use of human biological Criteria for Waiver of Consent maximize the protection against materials is required, it should be When an investigator proposes to inadvertent release of confidential obtained separately from informed conduct research with coded or information. consent to clinical procedures. identified samples, it is considered
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.004 pfrm08 PsN: 05OCN1 54026 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices research with human subjects. materials. But as new statutes are require IRB review. If, however, such Ordinarily the potential research subject enacted, it is possible that subjects will protocols are then determined by an IRB is asked whether he or she agrees to be given explicit rights to limit access to to present minimal risk to a subject’s participate. Seeking this consent their biological materials. rights and welfare, the requirement for demonstrates respect for the person’s * Commissioners Capron, Miike, and consent may be waived if the right to choose whether to cooperate Shapiro wrote statements regarding their practicability requirement is revised for with the scientific enterprise, and it concerns about various aspects of this this category of research. However, it permits individuals to protect recommendation. (See page 65 of the full must be noted that by dropping the themselves against unwanted or risky report.) requirement that consent must be invasions of privacy. But informed obtained if practicable, NBAC does so Recommendation 11 consent is merely one aspect of human with the expectation that the process subjects protection. It is an adjunct to— In determining whether a waiver of and content of informed consent for the rather than a substitute for—IRB review consent would adversely affect subjects’ collection of new specimens will be to determine if the risks of a study are rights and welfare, IRBs should be explicit regarding the intentions of the minimized and acceptable in relation to certain to consider: subjects and the research use of their its benefits. (a) Whether the waiver would violate materials. (See Recommendations 6 When a study is of minimal risk, any state or federal statute or customary through 9 concerning informed informed consent is no longer needed practice regarding entitlement to consent.) by a subject as a form of self-protection privacy or confidentiality, According to current regulations, the against research harms. However, it is (b) Whether the study will examine fourth condition for the waiver of still appropriate to seek consent in order traits commonly considered to have consent stipulates that ‘‘whenever to show respect for the subject, unless political, cultural, or economic appropriate, the subjects will be it is impracticable to locate him or her significance to the study subjects, and provided with additional pertinent in order to obtain it. Thus, when (c) Whether the study’s results might information after participation’’ (45 CFR important research poses little or no risk adversely affect the welfare of the 46.116(d)(4)). Thus, according to the to subjects whose consent would be subject’s community. regulations, an IRB, while waiving difficult or impossible to obtain, it is Even when research poses no more consent (by finding and documenting appropriate to waive the consent than minimal risk and a consent waiver the first three required conditions), requirement. would not affect the rights and welfare could require that subjects be informed of subjects, respect for subjects requires that they were subjects of research and Recommendation 10 that their consent be sought. However, that they be provided details of the IRBs should operate on the on some occasions, demonstrating this study-a so-called debriefing presumption that research on coded respect through consent requirements requirement. In general, NBAC samples is of minimal risk to the human could completely halt important concludes that this fourth criterion for subject if: research. An investigator who requests a waiver of consent is not relevant to (a) The study adequately protects the waiver of the informed consent research using human biological confidentiality of personally identifiable requirement for research use of human materials and, in fact, might be harmful information obtained in the course of biological materials under the current if it forced investigators to recontact research, federal regulations must provide to the individuals who might not have been (b) The study does not involve the IRB evidence that it is not practicable to aware that their materials were being inappropriate release of information to obtain consent. Unfortunately, neither used in research. third parties, and the regulations nor OPRR offers any (c) the study design incorporates an guidance on what defines practicability. Recommendation 13 appropriate plan for whether and how Recommendation 12 OPRR should make clear to to reveal findings to the sources or their investigators and IRBs that the fourth physicians should the findings merit If research using existing coded or criterion for waiver, that ‘‘whenever such disclosure. identified human biological materials is appropriate, the subjects will be Failure to obtain informed consent determined to present minimal risk, provided with additional pertinent may adversely affect the rights and IRBs may presume that it would be information after participation’’ (45 CFR welfare of subjects in two basic ways. impracticable to meet the consent 46.116(d)(4)), usually does not apply to First, the subject may be improperly requirement (45 CFR 46.116(d)(3)). This research using human biological denied the opportunity to choose interpretation of the regulations applies materials. whether to assume the risks that the only to the use of human biological research presents, and second, the materials collected before the adoption Reporting Research Results to Subjects subject may be harmed or wronged as a of the recommendations contained in Experts disagree about whether result of his or her involvement in this report (specifically findings from research should be research to which he or she has not Recommendations 6 through 9 regarding communicated to subjects. However, consented. informed consent). Materials collected most do believe that such findings Further, when state or federal law, or after that point must be obtained should not be conveyed to subjects customary practice, gives subjects a according to the recommended unless they are confirmed and reliable right to refuse to have their biological informed consent process and, and constitute clinically significant or materials used in research, then a therefore, IRBs should apply their usual scientifically relevant information. consent waiver would affect their rights standards for the practicability adversely. Medical records privacy requirement. Recommendation 14 statutes currently in place or under NBAC recognizes that if its IRBs should develop general consideration generally allow for recommendation that coded samples be guidelines for the disclosure of the unconsented research use and could be treated as though they are identifiable is results of research to subjects and interpreted to suggest a similar standard adopted, there may be an increase in the require investigators to address these for research using human biological number of research protocols that will issues explicitly in their research plans.
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In general, these guidelines should disclosed during any required informed sciences, especially when they affect reflect the presumption that the consent process. important cultural practices, values, and disclosure of research results to subjects beliefs. Publication and Dissemination of represents an exceptional circumstance. Research Results Recommendation 21 Such disclosure should occur only when all of the following apply: Publishing research results with The National Institutes of Health, (a) The findings are scientifically identifiable information in scientific or professional societies, and health care valid and confirmed, medical journals and elsewhere may organizations should continue and (b) The findings have significant pose a risk to the privacy and expand their efforts to train implications for the subject’s health confidentiality of research subjects. investigators about the ethical issues concerns, and Public disclosure of such information and regulations regarding research on through written descriptions or human biological materials and to (c) A course of action to ameliorate or pedigrees may cause subjects to develop exemplary practices for treat these concerns is readily available. experience adverse psychosocial effects. resolving such issues. Recommendation 15 In addition, without the informed Recommendation 22 consent of the individual, such The investigator in his or her research disclosure infringes on the rights of the Compliance with the protocol should describe anticipated subject or patient. Because of the recommendations set forth in this report research findings and circumstances familial nature of information in will require additional resources. All that might lead to a decision to disclose pedigrees, their publication poses research sponsors (government, private the findings to a subject, as well as a particularly difficult questions regarding sector enterprises, and academic plan for how to manage such a consent. Investigators and journal institutions) should work together to disclosure. editors should be aware that the ways in make these resources available. Recommendation 16 which research results are publicized or Use of Medical Records in Research on disseminated could affect the privacy of When research results are disclosed to Human Biological Materials human subjects. NBAC believes that the a subject, appropriate medical advice or source of funding, i.e., public or private, In recent years, attention increasingly referral should be provided. should not be an important has been paid by policymakers to the Considerations of Potential Harms to consideration in determining the ethical need to protect the health information of Others acceptability of the research. the individual. Extensive efforts at the state and federal levels to enact such The federal regulations governing the Recommendation 19 protections have resulted in the setting protection of research subjects extend Investigators’ plans for disseminating of a variety of limitations on access to only to individuals who can be results of research on human biological patient medical records. NBAC notes identified as the sources of the materials should include, when that debates about medical privacy are biological samples. The exclusive focus appropriate, provisions to minimize the relevant to researchers using human of the regulations on the individual potential harms to individuals or biological materials in two ways. First, research subject is arbitrary from an associated groups. these researchers often need access to ethical standpoint, because persons patient medical records, either to other than the subject can benefit or be Recommendation 20 identify research sample sources or to harmed as a consequence of the Journals should adopt the policy that gather accompanying clinical research. the published results of research studies information. Such activities constitute Recommendation 17 involving human subjects must specify human subjects research and should be whether the research was conducted in treated accordingly. Second, the Research using stored human compliance with the requirements of the development of statutes and regulations biological materials, even when not Common Rule. This policy should to protect patient medical records could potentially harmful to individuals from extend to all human subjects research, have the unintended consequence of whom the samples are taken, may be including studies that are privately creating a dual system of protections, potentially harmful to groups associated funded or are otherwise exempt from one for the medical record and one for with the individual. To the extent such these requirements. human biological materials. Moreover, potential harms can be anticipated, restrictions on access to the medical Professional Education and investigators should to the extent record could impede legitimate and Responsibilities possible plan their research so as to appropriate access on the part of minimize such harm and should Public and professional education investigators whose protocols have consult, when appropriate, plays an essential role in developing undergone proper review. representatives of the relevant groups and implementing effective public regarding study design. In addition, policy regarding use of human Recommendation 23 when research on unlinked samples that biological materials for research. By Because many of the same issues arise poses a significant risk of group harms education, NBAC is referring not simply in the context of research on both is otherwise eligible for exemption from to the provision of information with the medical records and human biological IRB review, the exemption should not aim of adding to the net store of materials, when drafting medical be granted if IRB review might help the knowledge by any one person or group; records privacy laws, state and federal investigator to design the study in such rather, education refers to the ongoing legislators should seek to harmonize a way as to avoid those harms. effort to inform, challenge, and engage. rules governing both types of research. Widespread and continuing deliberation Such legislation, while seeking to Recommendation 18 on the subject of this report must occur protect patient confidentiality and If it is anticipated that a specific to inform and educate the public about autonomy, should also ensure that research protocol poses a risk to a developments in the field of genetics appropriate access for legitimate specific group, this risk should be and other areas in the biomedical research purposes is maintained.
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Summary DEPARTMENT OF HEALTH AND SUMMARY: The Food and Drug HUMAN SERVICES Administration (FDA) is correcting a To advance human health, it is notice that appeared in the Federal critical that human biological materials Food and Drug Administration Register of September 22, 1999 (64 FR continue to be available to the [Docket No. 99N±0240] 51328). The notice announced a meeting biomedical research community. of the Advisory Committee on Special Increasingly, it will be essential for Agency Information Collection Studies Relating to the Possible Long- investigators to collect human biological Activities; Announcement of OMB Term Health Effects of Phenoxy materials from individuals who are Approval; Extralabel Drug Use in Herbicides and Contaminants (Ranch willing to share important clinical Animals Hand Advisory Committee), which is information about themselves. In scheduled for October 14 and 15, 1999. addition, it is crucial that the more than AGENCY: Food and Drug Administration, The document was published with an 282 million specimens already in HHS. error. This document corrects that error. ACTION: storage remain accessible under Notice. FOR FURTHER INFORMATION CONTACT: appropriate conditions and with SUMMARY: The Food and Drug Ronald F. Coene, Food and Drug appropriate protections for the Administration (FDA) is announcing Administration, 5600 Fishers Lane, individuals who supplied this material. that a collection of information entitled Rockville, MD 20857, 301–827–6696. The growing availability to third ‘‘Extralabel Drug Use in Animals’’ has SUPPLEMENTARY INFORMATION: In FR Doc. parties of genetic and other medical been approved by the Office of 99–24598 appearing in the Federal information about individuals has Management and Budget (OMB) under Register of Wednesday, September 22, fueled the current debate about medical the Paperwork Reduction Act of 1995. 1999, the following correction is made: privacy and discrimination, and NBAC FOR FURTHER INFORMATION CONTACT: On page 51328, in the second column, is sensitive to the possibility that the Denver Presley, Office of Information under the ‘‘Location’’ caption, in the use of information obtained from human Resources Management (HFA–250), second line ‘‘rm. K’’ is corrected to read ‘‘rm. M’’. biological samples can lead to harms as Food and Drug Administration, 5600 well as benefits. These concerns require Fishers Lane, Rockville, MD 20857, Dated: September 28, 1999. that those who agree to provide their 301–827–1472. Linda A. Suydam, DNA, cells, tissues, or organs for SUPPLEMENTARY INFORMATION: In the Senior Associate Commissioner. research purposes not be placed at risk. Federal Register of June 30, 1999 (64 FR [FR Doc. 99–25772 Filed 10–4–99; 8:45 am] Measures to provide appropriate 35173), the agency announced that the BILLING CODE 4160±01±F protections for individual privacy and proposed information collection had for the confidentiality of clinical and been submitted to OMB for review and research data are important if significant clearance under 44 U.S.C. 3507. An DEPARTMENT OF HEALTH AND research is to continue. The agency may not conduct or sponsor, and HUMAN SERVICES a person is not required to respond to, recommendations provided in this a collection of information unless it Food and Drug Administration report are intended to promote the goals displays a currently valid OMB control of improving health through biomedical number. OMB has now approved the [Docket No. 99D±4003] research while protecting the rights and information collection and has assigned welfare of those individuals who OMB control number 0910–0325. The Medical Devices; Guidance on contribute to human knowledge through approval expires on September 30, Preclinical and Clinical Data and the gift of their biological materials. 2002. A copy of the supporting Labeling for Breast Prostheses; For further information about the statement for this information collection Availability report contact Eric M. Meslin, Ph.D., is available on the Internet at http:// AGENCY: Food and Drug Administration, Executive Director, National Bioethics www.fda.gov/ohrms/dockets. HHS. Advisory Commission or to obtain Dated: September 28, 1999. ACTION: Notice. copies of the report contact: Ms. Patricia William K. Hubbard, Norris, National Bioethics Advisory Senior Associate Commissioner for Policy, SUMMARY: The Food and Drug Commission, 6100 Executive Boulevard, Planning and Legislation. Administration (FDA) is announcing the Suite 5B01, Rockville, Maryland 20892– [FR Doc. 99–25774 Filed 10–4–99; 8:45 am] availability of a draft guidance entitled 7508, telephone 301–402–4242, fax BILLING CODE 4160±01±F ‘‘Guidance on Preclinical and Clinical number 301–480–6900. Copies may also Data and Labeling for Breast be obtained through the NBAC website: Prostheses.’’ This draft guidance is not www.bioethics.gov. DEPARTMENT OF HEALTH AND final nor is it in effect at this time. The HUMAN SERVICES purpose of this document is to provide Dated: September 27, 1999. guidance to sponsors of breast implant Eric M. Meslin, Food and Drug Administration prostheses on important preclinical, Executive Director, National Bioethics clinical, and labeling information that Advisory Commission. Advisory Committee on Special should be presented in an [FR Doc. 99–25663 Filed 10–4–99; 8:45 am] Studies Relating to the Possible Long- investigational device exemptions (IDE), BILLING CODE 4160±17±P Term Health Effects of Phenoxy a premarket approval (PMA), or a Herbicides and Contaminants (Ranch product development protocol (PDP) Hand Advisory Committee); Notice of application. This draft guidance Meeting; Correction discusses information relevant to AGENCY: Food and Drug Administration, silicone gel-filled, saline-filled, and HHS. alternative-filled breast prostheses intended for prostheses for breast ACTION: Notice; correction. augmentation, breast reconstruction
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54029 following mastectomy, and revision of a 1994); and (3) ‘‘Draft Guidance for Labeling for Breast Prostheses’’ also will failed prosthesis. Preparation of PMA Applications for be available at http://www.fda.gov/ DATES: Written comments concerning Silicone Inflatable (Saline) Breast cdrh/ode/1354.pdf. Prostheses’’ (January 18, 1995). this draft guidance must be received by IV. Comments January 4, 2000. In addition, this draft guidance ADDRESSES: See the SUPPLEMENTARY involves the revisiting and updating of Interested persons may submit to the INFORMATION section for information on the scientific preclinical and the clinical Dockets Management Branch (address electronic access to the draft guidance. and labeling information described in above) written comments regarding this Submit written requests for single those guidances. draft guidance. Two copies of any ′′ comments are to be submitted, except copies on a 3.5 diskette of the draft II. Significance of Guidance guidance entitled ‘‘Guidance on individuals may submit one copy. Preclinical and Clinical Data and This guidance document represents Comments should be identified with the Labeling for Breast Prostheses’’ to the the agency’s current thinking on docket number found in brackets in the preclinical, clinical, and labeling Division of Small Manufacturers heading of this document. A copy of the information for breast prostheses. It Assistance (HFZ–220), Center for draft guidance and received comments does not create or confer any rights for Devices and Radiological Health, Food are available for public examination in or on any person and does not operate and Drug Administration, 1350 Piccard the Dockets Management Branch to bind FDA or the public. An Dr., Rockville, MD 20850. Send two self- between 9 a.m. and 4 p.m., Monday alternative approach may be used if addressed adhesive labels to assist that through Friday. such approach satisfies the applicable office in processing your request, or fax Dated: September 21, 1999. statute, regulations, or both. your request to 301–443–8818. The agency has adopted good Linda S. Kahan, Submit written comments on the draft guidance practices (GGP’s), which set Deputy Director for Regulations Policy, Center for Devices and Radiological Health. guidance to the Dockets Management forth the agency’s policies and Branch (HFA–305), Food and Drug procedures for the development, [FR Doc. 99–25771 Filed 10–4–99; 8:45 am] Administration, 5630 Fishers Lane, rm. issuance, and use of guidance BILLING CODE 4160±01±F 1061, Rockville, MD 20852. documents (62 FR 8961, February 27, FOR FURTHER INFORMATION CONTACT: 1997). This guidance document is Samie N. Allen, Center for Devices and DEPARTMENT OF HEALTH AND issued as a Level 1 guidance document HUMAN SERVICES Radiological Health (HFZ–410), Food consistent with GGP’s. and Drug Administration, 9200 Health Care Financing Administration Corporate Blvd., Rockville, MD 20850, III. Electronic Access 301–594–3090. In order to receive the ‘‘Guidance on [Document Identifier: HCFA±9042] SUPPLEMENTARY INFORMATION: Preclinical and Clinical Data and Labeling for Breast Prostheses’’ via your Agency Information Collection I. Background fax machine, call the CDRH Facts–On– Activities: Submission for OMB Review; Comment Request The purpose of this document is to Demand (FOD) system at 800–899–0381 provide guidance to sponsors of breast or 301–827–0111 from a touch tone In compliance with the requirement implant prostheses on important telephone. At the first voice prompt of section 3506(c)(2)(A) of the preclinical, clinical, and labeling press 1 to access DSMA Facts, at second Paperwork Reduction Act of 1995, the information that should be presented in voice prompt press 2, and then enter the Health Care Financing Administration an IDE, PMA, or PDP application. It may document number (1354) followed by (HCFA), Department of Health and also be useful in the preparation of the pound sign (#). Then follow the Human Services, has submitted to the reclassification petitions and master remaining voice prompts to complete Office of Management and Budget files. your request. (OMB) the following proposal for the This draft guidance discusses Persons interested in obtaining a copy collection of information. Interested information relevant to silicone gel- of the draft guidance may also do so persons are invited to send comments filled, saline-filled, and alternative- using the World Wide Web (WWW). regarding the burden estimate or any filled breast prostheses intended for CDRH maintains an entry on the WWW other aspect of this collection of prostheses for breast augmentation, for easy access to information including information, including any of the breast reconstruction following text, graphics, and files that may be following subjects: (1) The necessity and mastectomy, and revision of a failed downloaded to a personal computer utility of the proposed information prosthesis. This draft guidance does not with access to the WWW. Updated on collection for the proper performance of address tissue expanders, which are a regular basis, the CDRH home page the agency’s functions; (2) the accuracy unclassified devices for temporary use. includes the draft guidance entitled of the estimated burden; (3) ways to Additionally, this draft guidance does ‘‘Guidance on Preclinical and Clinical enhance the quality, utility, and clarity not address alternative shell materials Data and Labeling for Breast of the information to be collected; and for use in breast implants. Prostheses,’’ device safety alerts, (4) the use of automated collection This draft guidance is intended to Federal Register reprints, information techniques or other forms of information combine and replace the following three on premarket submissions (including technology to minimize the information individual guidances that were lists of approved applications and collection burden. previously developed for silicone gel, manufacturers’ addresses), small Type of Information Collection saline, and alternative breast prostheses: manufacturers’ assistance, information Request: Extension of a currently (1) ‘‘Draft Guidance for Preparation of on video conferencing and electronic approved collection; FDA Submissions of Silicone Gel–Filled submissions, mammography matters, Title of Information Collection: Breast Prostheses’’ (May 11, 1992); (2) and other device-oriented information. Request for Accelerated Payments and ‘‘Draft Guidance for Testing of The CDRH home page may be accessed Supporting Regulations in 42 CFR, Alternative Breast Prostheses (Non– at http://www.fda.gov/cdrh. ‘‘Guidance Section 412.116 & 413.64; Silicone, Gel–Filled)’’ (September 1, on Preclinical and Clinical Data and Form No.: HCFA–9042;
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Use: Medicare reimbursements are DEPARTMENT OF HEALTH AND ‘‘Update Factors for Facility-Specific usually arranged through a fiscal HUMAN SERVICES Portion of the SNF PPS Rates.’’ This intermediary who serves as the table provides numerical factors for use Secretary’s agent for reviewing claims Health Care Financing Administration in updating a facility’s base year costs and making payments equal to the [HCFA±1056±CN] through fiscal year (FY) 2000 (i.e., the provider’s reasonable costs. When a period beginning October 1, 1999, and RIN 0938±AJ65 delay in Medicare payment by a fiscal ending September 30, 2000) by the SNF market basket percentage, as required intermediary, for covered services, Medicare Program; Prospective under section 1888(e)(3)(D) of the Social causes financial difficulties for a Payment System and Consolidated Security Act (the Act). However, these provider, the provider may request an Billing for Skilled Nursing FacilitiesÐ update factors inadvertently reflected accelerated payment. An accelerated Update; Correction payment may also be made in highly updates to the base period amounts only up to the midpoint of FY 2000 itself, exceptional situations where a provider AGENCY: Health Care Financing rather than to the midpoint of the has incurred a temporary delay in its Administration (HCFA), HHS. ACTION: Notice; correction. corresponding cost reporting periods bill processing beyond the provider’s that begin during FY 2000. This error normal billing cycle. An accelerated SUMMARY: This document corrects resulted in incorrect figures being payment can be requested by a provider technical errors that appeared in the displayed for the update factors that that is not receiving periodic interim notice published in the Federal Register appear in the right-hand column of payments. These forms are used by on July 30, 1999 entitled ‘‘Medicare Table 8.C. fiscal intermediaries to access a Program; Prospective Payment System Accordingly, we are reprinting this provider’s eligibility for accelerated and Consolidated Billing for Skilled table below, with the corrected figures payments. Nursing Facilities—Update.’’ displayed in the right-hand column. Frequency: On occasion; EFFECTIVE DATE: These corrections are Additionally, we note that while this effective October 1, 1999. Affected Public: Business or other for- correction causes all of the figures profit, and Not for-profit institutions; FOR FURTHER INFORMATION CONTACT: Bill displayed in this column of the table to Ullman, (410) 786–5667. increase, this does not affect the Number of Respondents: 890; SUPPLEMENTARY INFORMATION: associated budgetary projections, since Total Annual Responses: 890; they were made based on employing the Background Total Annual Hours Requested: 445. correct methodology for calculating the In FR Doc. 99–19479 of July 30, 1999 update factors, as described in the SNF To obtain copies of the supporting (64 FR 41684), there were a number of PPS interim final rule (63 FR 26252, statement for the proposed paperwork technical errors. The errors relate to the May 12, 1998). The corrections appear collections referenced above, access update factor that appears in the in this document under the heading HCFA’s WEB SITE ADDRESS at http:// discussion of one issue, and to a column ‘‘Correction of Errors.’’ www.hcfa.gov/regs/prdact95.htm, or E- of incorrect figures displayed in one The provisions in this correction mail your request, including your table. notice are effective as if they had been address and phone number, to Regarding the former, section III. of included in the document published in [email protected], or call the Reports the preamble (64 FR 41697) discusses the Federal Register on July 30, 1999, Clearance Office on (410) 786–1326. the statutory three-year, phased that is, October 1, 1999. Written comments and transition under which payment is recommendations for the proposed based in part on a facility-specific per Correction of Errors information collections must be mailed diem rate (which reflects an individual In FR Doc. 99–19479 of July 30, 1999 within 30 days of this notice directly to facility’s historical cost experience) and (64 FR 41684), we are making the the OMB Desk Officer designated at the in part on a Federal per diem rate. For following corrections: following address: OMB Human facilities that received payment under Corrections Resources and Housing Branch, the RUG–III demonstration during a cost Attention: Allison Eydt, New Executive reporting period that began in calender Page 41697 Office Building, Room 10235, year 1997, the notice sets forth a three- step procedure for determining the In the second column, in the Washington, D.C. 20503. facility-specific rate, in which the final paragraph entitled ‘‘Step 3.,’’ the first Dated: September 20, 1999. step is an adjustment of the rate by an sentence is revised to read as follows: John P. Burke III, inflation factor of 1.031532. However, ‘‘Adjust the amount in Step 2. by HCFA Reports Clearance Officer, HCFA, this factor inadvertently failed to reflect 1.062244 (inflation factor)—Do not use Office of Information Services, Security and an update; as a consequence, the figure 8.C.’’ Standards Group, Division of HCFA of 1.031532 as shown in the notice Page 41698 Enterprise Standards. discussion should instead be 1.062244. [FR Doc. 99–25833 Filed 10–4–99; 8:45 am] The other correction relates to a Corrected Table 8.C (Update Factors BILLING CODE 4120±03±P technical error in Table 8.C of the for Facility-Specific Portion of the SNF preamble (64 FR 41698–99), entitled PPS Rates) is set forth below:
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TABLE 8.CÐUPDATE FACTORS 1 FOR FACILITYÐSPECIFIC PORTION OF THE SNF PPS RATESÐADJUST TO 12-MONTH COST REPORTING PERIODS BEGINNING ON OR AFTER OCTOBER 1, 1999 AND BEFORE OCTOBER 1, 2000 FROM COST REPORTING PERIODS BEGINNING IN FY 1995 (BASE YEAR)
Adjust from 12-month cost reporting period in base year that Using update If 12-month cost reporting period in initial period begins begins factor of
October 1, 1999 ...... October 1, 1994 ...... 1.09929 November 1, 1999 ...... November 1, 1994 ...... 1.09897 December 1, 1999 ...... December 1, 1994 ...... 1.09855 January 1, 2000 ...... January 1, 1995 ...... 1.09831 February 1, 2000 ...... February 1, 1995 ...... 1.09827 March 1, 2000 ...... March 1, 1995 ...... 1.09841 April 1, 2000 ...... April 1, 1995 ...... 1.09853 May 1, 2000 ...... May 1, 1995 ...... 1.09861 June 1, 2000 ...... June 1, 1995 ...... 1.09866 July 1, 2000 ...... July 1,1995 ...... 1.09879 August 1, 2000 ...... August 1, 1995 ...... 1.09900 September 1, 2000 ...... September 1, 1995 ...... 1.09929 1 Source: Standard & Poor's DRI, 1st Qtr 1999; @USSIM/TREND25YR0299@CISSIM/CONTROL991
(Authority: Section 1888 of the Social Dated: September 23, 1999. compliance guidance, the OIG has Security Act (42 U.S.C. 1395yy)) Jane M. Harrison, worked closely with the Health Care (Catalog of Federal Domestic Assistance Director, Division of Policy Review and Financing Administration (HCFA), the Program No. 93.773, Medicare—Hospital Coordination. Department of Justice (DOJ) and various Insurance; and Program No. 93.774, [FR Doc. 99–25793 Filed 10–4–99; 8:45 am] sectors of the health care industry to Medicare—Supplementary Medical BILLING CODE 4160±15 P provide clear guidance to those Insurance Program) segments of the industry that are Dated: September 27, 1999. interested in reducing fraud and abuse Brian P. Burns, DEPARTMENT OF HEALTH AND within their organizations. The five HUMAN SERVICES previously-issued compliance program Deputy Assistant, Secretary for Information guidances were focused on the hospital Resources Management. Office of Inspector General industry; home health agencies; clinical [FR Doc. 99–25789 Filed 10–4–99; 8:45 am] laboratories; third-party medical billing BILLING CODE 4120±01±P Publication of the OIG Compliance companies; and the durable medical Program, Guidance for Hospices equipment, prosthetics, orthotics and AGENCY: supply industry. The development of DEPARTMENT OF HEALTH AND Office of Inspector General (OIG), HHS. these types of compliance program HUMAN SERVICES ACTION: Notice. guidance is based on our belief that a health care provider can use internal Health Resources and Services SUMMARY: This Federal Register notice controls to more efficiently monitor Administration sets forth the recently issued adherence to applicable statutes, Notice of Filing of Annual Report of Compliance Program Guidance for regulations and program requirements. Hospices developed by the Office of Federal Advisory Committee Guidance for the Hospice Industry Inspector General (OIG). The OIG has Notice is hereby given that pursuant previously developed and published On January 13, 1999, the OIG compliance program guidance focused to section 13 of Public Law 92–463, the published a solicitation notice (64 FR on several other areas and aspects of the 2228) seeking information and Annual Report for the following Health health care industry. We believe that the recommendations for developing Resources and Services development and issuance of this guidance for the hospice industry. In Administration’s Federal Advisory compliance program guidance for response to that solicitation notice, the Committee has been filed with the hospices will continue to serve as a OIG received numerous comments from Library of Congress: positive step toward promoting a higher various parts of the industry and from Maternal and Child Health Research level of ethical and lawful conduct their representatives. After careful Grants Review Committee throughout the entire health care consideration of those initial comments, industry. and in an effort to ensure that all parties Copies are available to the public for FOR FURTHER INFORMATION CONTACT: had a reasonable opportunity to provide inspection at the Library of Congress Michael Shaw, Office of Counsel to the input into a final product, the OIG Newspaper and Current Periodical Inspector General, (202) 619–2078. published draft guidance for the hospice Reading Room, Room 1026, Thomas SUPPLEMENTARY INFORMATION: industry on July 21, 1999 (64 FR 39150) Jefferson Building, Second Street and for further comment and Independence Avenue, S.E., Background recommendations. Washington, D.C. Copies may be The creation of compliance program Elements for an Effective Compliance obtained from: Gontran Lamberty, Dr. guidance remains a major initiative by Program P.H., Room 18A–55, Parklawn Building, the OIG in its efforts to engage the 5600 Fishers Lane, Rockville, Maryland health care community in combating Through experience, the OIG has 20857, Telephone (301) 443–3146. fraud and abuse. In formulating identified seven fundamental elements
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.107 pfrm08 PsN: 05OCN1 54032 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices to an effective compliance program. Within this document, the OIG first words and actions of a hospice’s They are: provides its general views on the value leadership as a measure of the • implementing written policies, and fundamental principles of hospice organization’s commitment to procedures and standards of conduct; compliance programs, and then compliance. Indeed, many hospices • designating a compliance officer provides the specific elements that each have adopted mission statements and compliance committee; hospice should consider when articulating their commitment to high • conducting effective training and developing and implementing an ethical standards. A formal compliance education; effective compliance program. While program, as an additional element in • developing effective lines of this document presents basic procedural this process, offers a hospice a further communication; and structural guidance for designing a concrete method that may improve the • enforcing standards through well- compliance program, it is not in itself a appropriateness and quality of care and publicized disciplinary guidelines; compliance program. Rather, it is a set reduce waste. Compliance programs • conducting internal monitoring and of guidelines to be considered by a also provide a central coordinating auditing; and • hospice interested in implementing a mechanism for furnishing and responding promptly to detected compliance program. disseminating information and guidance offenses and developing corrective The OIG recognizes the size- on applicable Federal and State statutes, action. differential that exists between regulations and other requirements. Through application of these seven operations of the different hospices and Implementing an effective compliance basic elements, the OIG is offering organizations that compose the hospice program requires a substantial specific compliance measures that may industry. Appropriately, this guidance commitment of time, energy and be implemented in hospice industry is pertinent for all hospices, whether resources by senior management and the operations in an effort to curtail or for-profit, non-profit, provider-based, hospice’s governing body.3 Superficial eliminate fraud and abuse. As with independent, community-based, programs that simply purport to comply previously-issued OIG compliance volunteer-based, large, small, urban or with the elements discussed and guidances, adoption of the Compliance rural. The applicability of the described in this guidance or programs Program Guidance for Hospices set forth recommendations and guidelines that are hastily constructed and below will be strictly voluntary. provided in this document depends on implemented without appropriate A reprint of this newly-issued the circumstances of each particular ongoing monitoring will likely be compliance program guidance follows: hospice. However, regardless of a ineffective and could expose the Office of Inspector General’s hospice’s size and structure, the OIG hospice to greater liability than no Compliance Program Guidance for believes that every hospice can and program at all. While it may require Hospices (September 1999) should strive to accomplish the significant additional resources or objectives and principles underlying all reallocation of existing resources to I. Introduction of the compliance policies and implement an effective compliance The Office of Inspector General (OIG) procedures recommended within this program, the OIG believes that the long of the Department of Health and Human guidance. term benefits of implementing the Services (HHS) continues to promote Fundamentally, compliance efforts program outweigh the costs.4 voluntarily developed and implemented are designed to establish a culture A. Benefits of Compliance Plan compliance programs for the health care within a hospice that promotes industry. The following compliance prevention, detection, and resolution of The OIG believes an effective program guidance is intended to assist instances of conduct that do not compliance program provides a hospices 1 and their agents and conform to Federal and State law, and mechanism that brings the public and subproviders (referred to collectively in Federal, State and private payor health private sectors together to reach mutual this document as ‘‘hospices’’) develop care program requirements, as well as goals of reducing fraud and abuse, effective internal controls that promote the hospice’s business policies. In strengthening operational quality, adherence to applicable Federal and practice, the compliance program improving the quality of health care State law, and the program requirements should effectively articulate and services and reducing the cost of health of Federal, State, and private health demonstrate the organization’s care. Attaining these goals provides plans. The adoption and commitment to ethical conduct. positive results to hospices, the implementation of voluntary Compliance programs guide a hospice’s Government, and individual citizens compliance programs significantly governing body (e.g., board of directors alike. In addition to fulfilling its legal advance the prevention of fraud, abuse or trustees), chief executive officer duty to ensure that it is not submitting and waste in these health care plans (CEO), managers, physicians, clinicians, false or inaccurate claims to while at the same time further the billing personnel, and other employees Government and private payors, a fundamental mission of all hospices, in the efficient management and hospice may gain numerous additional which is to provide palliative care 2 to operation of a hospice. Eventually, a compliance program should become 3 Recent case law suggests that the failure of a patients. corporate director to attempt in good faith to part of the fabric of routine hospice institute a compliance program in certain situations 1 The term ‘‘hospice’’ is applied in this document operations. may be a breach of a director’s fiduciary obligation. as the term ‘‘hospice program’’ is defined in 42 It is incumbent upon a hospice’s See, e.g., In re Caremark International Inc. U.S.C. 1395x(dd). corporate officers and managers to Derivative Litigation, 698 A.2d 959 (Ct. Chanc. Del. 2 Palliative care is an intensive program of care 1996). that focuses on the relief of pain and suffering provide ethical leadership to the 4 The conclusion of a recent report by the United associated with a terminal illness. Through this organization and to assure that adequate States General Accounting Office (GAO) to Congress emphasis on palliative rather than curative services, systems are in place to facilitate ethical stated that ‘‘despite the investment of time and individuals have a choice whenever conventional and legal conduct. Employees, managers resources that compliance programs entail, many approaches for medical treatment may no longer be hospitals believe the benefits of these programs . .. appropriate. Hospice addresses the needs of and the Government will focus on the outweigh their costs . . . and providers themselves terminally ill individuals by including the patient believe that complance programs can reduce and family, specially trained volunteers, caregivers medicine, nursing, social work and spiritual improper Mecicare payments.’’ See GAO report from the community, and representatives from counseling in the caregiving team. GAO/HEHS–99–59 (April 1999).
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Application of Compliance Program conducted by OIG’s Office of Federal, State and private payor health Guidance Investigations and the Department of care program requirements and internal Justice. As appropriate, this guidance guidelines; Given the diversity within the may be modified and expanded as more • concretely demonstrate to industry, there is no single ‘‘best’’ information and knowledge is obtained employees and the community at large hospice compliance program. The OIG by the OIG, and as changes in the law, the hospice’s strong commitment to understands the variances and rules, policies and procedures of the honest and responsible provider and complexities within the hospice Federal, State and private health plans corporate conduct; industry and is sensitive to the occur. • identify and prevent illegal and differences among large national and The OIG recognizes that the unethical conduct; regional multi-hospice organizations, development and implementation of • improve internal communication; small independent hospices and other compliance programs in hospices often • more quickly and accurately react types of hospice organizations and raise sensitive and complex legal and to employees’ operational compliance systems. However, elements of this managerial issues.7 However, the OIG concerns and target resources to address guidance can be used by all hospices, wishes to offer what it believes is those concerns; regardless of size, location, or corporate critical guidance for providers who are • improve the quality, efficiency, and structure, to establish an effective sincerely attempting to comply with the consistency of patient care; compliance program. Similarly, a relevant health care statutes and • create a centralized source for hospital or corporation that owns a regulations. distributing information on health care hospice or provides hospice services statutes, regulations, and other program may incorporate these elements into its II. Compliance Program Elements directives regarding fraud, waste and system-wide compliance or managerial The elements proposed by these abuse, and related issues; structure. We recognize that some guidelines are similar to those of other • formulate a methodology that hospices may not be able to adopt compliance program guidances 8 and the encourages employees to report certain elements to the same OIG’s corporate integrity agreements.9 potential problems; comprehensive degree that others with The elements represent a guide that can • develop procedures that allow the more extensive resources may achieve. be tailored to fit the needs and financial prompt, thorough investigation of This guidance represents the OIG’s realities of a particular hospice. The OIG alleged misconduct by corporate suggestions on how a hospice can best is cognizant that, with regard to officers, managers, employees, establish internal controls and compliance programs, one model is not independent contractors, consultants, monitoring to correct and prevent suitable to every hospice. volunteers, physicians, nurses and other fraudulent activities. By no means The OIG believes that every effective health care professionals; should the contents of this guidance be compliance program must begin with a • initiate immediate, appropriate, and viewed as an exclusive discussion of the formal commitment 10 by the hospice’s decisive corrective action; and advisable elements of a compliance governing body to include all of the • minimize, through early detection program. On the contrary, the OIG applicable elements listed below. These and reporting, the loss to the strongly encourages a hospice to elements are based on the seven steps of Government from false claims, and develop and implement compliance the Federal Sentencing Guidelines.11 thereby reduce the hospice’s exposure elements that uniquely address its own to civil damages and penalties, criminal particular risk areas. 7 Nothing stated within this document should be sanctions and administrative remedies, The OIG believes that input and substituted for, or used in lieu of, competent legal advice from counsel. such as program exclusion.5 support by the individuals and 8 See 63 FR 70138 (December 18, 1998) for the Overall, the OIG believes that an organizations that will use the tools set forth in this document are critical to the Compliance Program Guidance for Third Party effective compliance program is a sound Medical Billing Companies; 63 FR 42410 (August 7, investment on the part of a hospice. development and success of this 1998) for the Compliance Program Guidance for The OIG recognizes that the compliance program guidance. In a Home Health Agencies; 63 FR 45076 (August 24, 1998) for the Compliance Program Guidance for implementation of a compliance continuing effort to collaborate closely with the private sector, the OIG placed Clinical Laboratories, as revised; 63 FR 8987 (1998) program may not entirely eliminate for the Compliance Program Guidance for Hospitals. fraud, abuse and waste from the hospice a notice in the Federal Register These documents are also located on the Internet system. However, a sincere effort by soliciting recommendations and at http://www.dhhs.gov/progorg/oig. 9 hospices to comply with applicable suggestions on what should be included Corporate integrity agreements are executed as in this Compliance Program Guidance, part of a civil settlement between the health care Federal and State standards, as well as provider and the Government to resolve a case and then published draft Compliance based on allegations of health care fraud or abuse. 5 The OIG, for example, will consider the Program Guidance for Hospices in the These OIG-imposed programs are in effect for a existence of an effective compliance program that Federal Register for public comment.6 period of three to five years and require many of pre-dated any governmental investigation when Further, we took into consideration the elements included in this compliance program addressing the appropriateness of administrative previous OIG publications, such as guidance. sanctions. See 62 FR 67392 (December 24, 1997). 10 E.g., a resolution by the board of directors, The burden is on the provider to demonstrate the Special Fraud Alerts, the recent findings owner(s) or president, where applicable, and the operational effectiveness of a compliance program. allocation of adequate resources to ensure that each Further, the False Claims Act, 31 U.S.C. 3729–3733, 6 See 64 FR 2228 (January 13, 1999), Notice for of the elements is addressed. provides that a person who has violated the Act, but Solicitation of Information and Recommendations 11 See United States Sentencing Commission who voluntarily discloses the violation to the for Developing OIG Compliance Program Guidance Guidelines, Guidelines Manual, 8A1.2, Application Government, in certain circumstances will be for the Hospice Industry; 64 FR 39150 (July 21, Note 3(k). The Federal Sentencing Guidelines are subject to not less than double, as opposed to treble, 1999), Draft Compliance Program Guidance for detailed policies and practices for the Federal damages. See 31 U.S.C. 3729(a). Hospices. Continued
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Further, we believe that every hospice compliance, identify problem areas, and divisions, including affiliated providers can implement most of our assist in the reduction of identified operating under the hospice’s control recommended elements that expand problem areas; and other health care professionals (e.g., upon these seven steps. We recognize (6) The development of appropriate hospice physicians, 16 nurses, physical that full implementation of all elements disciplinary mechanisms to enforce therapists, occupational therapists, may not be immediately feasible for all standards and the development of social workers, spiritual counselors, hospices. However, as a first step, a policies to address (i) employees who bereavement counselors and good faith and meaningful commitment have violated internal compliance volunteers). Standards should articulate on the part of the hospice policies, applicable statutes, regulations the hospice’s commitment to comply administration, especially the governing or Federal health care program with all Federal, State and private body and the CEO, will substantially requirements 13 and (ii) the employment insurer standards, with an emphasis on contribute to a program’s successful of sanctioned and other specified preventing fraud and abuse. They implementation. As the compliance individuals; and should explicitly state the organization’s program is implemented, that (7) The development of policies that mission, goals and ethical requirements commitment should cascade down direct prompt and proper responses to of compliance and reflect a carefully through the management of the hospice detected offenses, including the crafted, clear expression of expectations to every employee at all levels in the initiation of appropriate corrective for all hospice governing body members, organization. action and preventative measures. officers, managers, employees, At a minimum, comprehensive A. Written Policies and Procedures physicians, clinicians and, where compliance programs should include appropriate, volunteers, contractors and Every compliance program should the following seven elements: other agents. These standards should require the development and (1) The development and distribution promote integrity, support objectivity, distribution of written compliance of written standards of conduct, as well and foster trust. Standards should not policies, standards, and practices that as written policies and procedures, only address compliance with statutes identify specific areas of risk and which promote the hospice’s and regulations, but should also set vulnerability to the hospice. These commitment to compliance and address forth broad principles that guide policies, standards and practices should specific areas of potential fraud, such as employees in conducting business be developed under the direction and assessment of Medicare eligibility, professionally and properly. supervision of, or subject to review by, quality assurance and financial The standards should be distributed the compliance officer and compliance relationships with nursing facilities and to, and comprehensible by, all affected committee and, at a minimum, should other health care professionals and employees (e.g., translated into other be provided to all individuals who are entities; languages when necessary and written affected by the particular policy at issue, (2) The designation of a compliance at appropriate reading levels). Further, including the hospice’s agents and officer and other appropriate bodies, to assist in ensuring that employees independent contractors. 14 e.g., a corporate compliance committee, continuously meet the expected high charged with the responsibility for 1. Standards of Conduct standards set forth in the code of operating and monitoring the conduct, any employee handbook Hospices should develop standards of delineating or expanding upon these compliance program, and who report conduct for all affected employees that directly to the CEO and the governing standards of conduct should be include a clearly delineated regularly updated as applicable statutes, body;12 commitment to compliance by the regulations and Federal health care (3) The development and 15 hospice’s senior management and its program requirements are modified and/ implementation of regular, effective or clarified.17 education and training programs for all 13 The term ‘‘Federal health care programs’’ is affected employees; applied in this document as defined in 42 U.S.C. 1320a–7b(f), which includes any plan or program chief operating officer, general counsel, and chief (4) The creation and maintenance of financial officer, as well as other medical or clinical that provides health benefits, whether directly, personnel, as appropriate, in the development of a process, such as a hotline or other through insurance, or otherwise, which is funded standards of conduct. Such involvement should reporting system, to receive complaints directly, in whole or in part, by the United States help communicate a strong and explicit statement Government (i.e., via programs such as Medicare, and ensure effective lines of of compliance goals and standards. Federal Employees’ Compensation Act, Black Lung, communication between the compliance 16 When the term ‘‘hospice phyisican’’ is applied or the Longshore and Harbor Worker’s in this document, it refers to the hospice’s medical officer and all employees, and the Compensation Act) or any State health plan (e.g., director or the physician member of a hospice’s adoption of procedures to protect the Medicaid, or a program receiving funds from block Interdisciplinary Group. The ‘‘Interdisciplinary grants for social services or child health services). anonymity of complainants and to Group,’’ which is composed of at least a doctor of protect whistleblowers from retaliation; Also, for the purposes of this document, the term medicine or osteopathy, registered nurse, medical ‘‘Federal health care program requirements’’ refers social worker, and pastoral or other counselor, is (5) The use of audits and/or other to the statutes, regulations, rules, requirements, evaluation techniques to monitor responsible for: (1) participation in the directives and instructions governing Medicare, establishment of the plan of care; (2) provision or Medicaid and all other Federal health care supervision of hospice care and services; (3) criminal justice system that prescribe the programs. periodic review and updating of the plan of care for appropriate sanctions for offenders convicted of 14 According to the Federal Sentencing each individual receiving hospice care; and (4) Federal crimes. Guidelines, an organization must have established establishment of policies governing the day-to-day 12 The integral functions of a compliance officer compliance standards and procedures to be provision of hospice care and services. See 42 CFR and a corporate compliance committee in followed by its employees and other agents in order 418.68. implementing an effective compliance program are to receive sentencing credit for an ‘‘effective’’ 17 The OIG recognizes that not all standards, discussed throughout this compliance program compliance program. The Federal Sentencing policies, and procedures need to be communicated guidance. However, the OIG recognizes that a Guidelines define ‘‘agent’’ as ‘‘any individual, to all employees. However, the OIG believes that hospice may tailor the structure of those positions including a director, an officer, an employee or an the bulk of the standards that relate to complying in consideration of the size and design of the independent contractor, authorized to act on behalf with fraud and abuse laws and other ethical areas hospice, while endeavoring to address and of the organization.’’ See United States Sentencing should be addressed and made part of all affected accomplish all of the underlying objectives of a Commission Guidelines, Guidelines Manual, 8A1.2, employees’ training. The hospice must decide compliance officer and a corporate compliance Application Note 3. which additional educational programs should be committee. See section II.B. and accompanying 15 The OIG strongly encourages high-level limited to the different levels of employees, based notes. involvement by the hospice’s governing body, CEO, on job functions and areas of responsibility.
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When they first begin working for the • Uninformed consent to elect the • Falsified medical records or plans hospice, and each time new standards of Medicare Hospice Benefit;22 of care; 26 conduct are issued, employees should • Admitting patients to hospice care • Untimely and/or forged physician be asked to sign a statement certifying who are not terminally ill;23 certifications on plans of care; that they have received, read, and • Arrangement with another health • Inadequate or incomplete services understood the standards of conduct. care provider who a hospice knows is rendered by the Interdisciplinary An employee’s certification should be submitting claims for services already Group; 27 retained by the hospice in the covered by the Medicare Hospice • Insufficient oversight of patients, in employee’s personnel file, and available Benefit; 24 particular, those patients receiving more for review by the compliance officer. • Under-utilization; 25 than six consecutive months of hospice care;28 • 2. Risk Areas or final list of areas of concern to the OIG. The Hospice incentives to actual or The OIG believes that a hospice’s Work Plan is currently available on the Internet at potential referral sources (e.g., written policies and procedures should http://www.dhhs.gov/progorg/oig. physicians, nursing homes, hospitals, 22 A hospice must ensure that an individual (or patients, etc.) that may violate the anti- take into consideration the particular authorized representative) is informed about the statutes, rules, and program instructions palliative nature of the care and services that may kickback statute or other similar Federal that apply to each function or be provided if the individual desires to elect the or State statute or regulation,29 department of the hospice.18 In contrast Medicare Hospice Benefit. 42 CFR 418.62. The to the standards of conduct, which are decision to elect the Medicare Hospice Benefit has resources in order to provide optimal care significant consequences because the patient waives designed to be a clear and concise consistent with the needs of a patient, family and/ the right to receive standard Medicare benefits or lawful representative. When a patient is collection of fundamental standards, the related to the terminal illness, including all receiving hospice care, the hospice is paid a written policies should articulate treatment for the purposes of curing the terminal predetermined fee for each day during the length specific procedures that hospice staff illness. See 42 U.S.C. 1395d(d). A patient’s hospice of care, no matter how much care the hospice election statement must include the following items should follow. actually provides. This means that a hospice may of information: (1) Identification of the particular have a financial incentive to reduce the number of Consequently, we recommend that hospice that will provide care to the individual; (2) services provided to each patient, because the these policies and procedures be the individual’s or representative’s hospice will get paid the same amount regardless coordinated with the appropriate acknowledgment that he or she has been given a of the number of services provided. The OIG has training and educational programs, with full understanding of hospice care; (3) the received complaints about hospices neglecting individual’s or representative’s acknowledgment patient needs and ignoring reasonable requests for an emphasis on areas of special concern that he or she understands that certain Medicare treatment, including complaints about limited that have been identified by the OIG services are waived by the election; (4) the effective availability of durable medical equipment for through its investigative and audit date of the election; and (5) the signature of the patients as their medical condition decreases and functions.19 Although the OIG individual or representative. See Medicare Hospice failure to provide continuous care for periods of Manual § 210. crisis due to staff shortages. The OIG has also been concluded in a 1998 report that the 23 For a hospice patient to receive reimbursement alerted to improper utilization of services that Medicare hospice program seems to be for hospice services under Medicare, the patient occurs when a hospice encourages a patient to working as intended,20 compliance must be ‘‘terminally ill.’’ See 42 U.S.C. 1395d(a). An revoke the Medicare Hospice Benefit for the programs for hospices should still individual is considered to be ‘‘terminally ill’’ if the purpose of obtaining expensive care under the individual has a medical prognosis that the standard Medicare benefits, only to re-elect the address areas of OIG concern that individual’s life expectancy is six months or less if Medicare Hospice Benefit when expensive care is 21 include: the illness runs its normal course. 42 CFR 418.3. In no longer necessary. March 1995, Operation Restore Trust (ORT), a joint 26 OIG investigations have revealed that certain 18 A hospice can conduct focus groups composed initiative, was established between the OIG, HCFA, hospices have falsified patient medical records and of managers from various departments to solicit and Administration on Aging. Among its projects, plans of care to exaggerate the negative aspects their concerns and ideas about compliance risks ORT assessed the medical eligibility for hospice regarding a hospice patient’s condition to justify that may be then addresses by the hospice’s policies services in the five largest States in terms of reimbursement. See section II.A.3.b. and and procedures. Such employee participation in the Medicare spending (New York, Florida, Illinois, accompanying notes. development of the hospice’s compliance program Texas and California). Through ORT activities, it 27 Each hospice is required to have an can promote its credibility and foster employee was discovered that many beneficiaries receiving ‘‘Interdisciplinary Group’’ of personnel. See 42 acceptance of the program. Medicare hospice benefits did not have a terminal U.S.C. 1395x(dd)(2)(B). See note 16. Failure of the 19 The OIG periodically issues Special Fraud illness as defined by Medicare. See OIG report A– Interdisciplinary Group to meet its responsibilities Alerts setting forth activities believed to raise legal 05–96–00023—‘‘Enhanced Controls Needed to may result in standard care. In addition, inadequate and enforcement issues. For example, see OIG Assure Validity of Medicare Hospice Enrollments.’’ review of a hospice patient may result in improper Special Fraud Alert—‘‘Fraud and Abuse in Nursing See also section II.A.3.a. and accompanying notes. reimbursement for services provided to a patient Home Arrangements with Hospices’’ (March 1998); 24 When an individual makes an election to who fails to continue to be eligible for the Medicare see also OIG Medicare Advisory Bulletin on receive services covered by the Medicare Hospice Hospice Benefit. Hospice Benefits (November 1995). Hospice Benefit, that individual waives the right to receive 28 Since the enactment of the Balanced Budget compliance programs should require that the legal Medicare reimbursement for any treatment related Act of 1997, the Medicare Hospice Benefit is staff, compliance officer, or other appropriate to his or her terminal illness. Accordingly, a divided into the following benefit periods: (1) personnel carefully consider any and all Special hospice should ensure it is not involved with a initial 90-day; (2) subsequent 90-day; and (3) Fraud Alerts issued by the OIG that relate to health care provider who the hospice knows unlimited number of 60-day benefit periods as long hospices. Moreover, the compliance programs submits claims for the following services that are as the patient continues to meet program eligibility should address the ramifications of failing to cease unallowable for reimbursement under the Medicare requirements. See 42 U.S.C. 1395d. At the and correct any conduct criticized in a Special Hospice Benefit: (1) Standard Medicare benefits for beginning of each subsequent 60-day benefit period, Fraud Alert, if applicable to hospices, or to take treatment of the terminal illness; (2) treatment by the hospice physician must recertify that the patient reasonable action to prevent such conduct from another hospice not arranged for by the patient’s is terminally ill. See 42 U.S.C. 1395f(a)(7). If the reoccurring in the future. If appropriate, a hospice hospice; and (3) care from another provider that necessary oversight is not performed during the should take the steps described in section II.G. duplicates care the hospice is required to furnish. unlimited periods of care, a hospice may receive regarding investigations, reporting, and correction See 42 U.S.C. 1395d(d). It is expected that the improper reimbursement for services provided to a of identified problems. hospice provider will work with other providers to patient who fails to continue to be eligible for the 20 See OIG report OEI–04–93–00270—‘‘Medicare coordinate care and ensure appropriate billing if Medicare Hospice Benefit. Hospice Beneficiaries: Services and Eligibility.’’ these situations occur. Where a single episode of 29 Examples of arrangements that may run afoul 21 Hospices may also want to consult the OIG’s care culminates in an inpatient admission and also of the anti-kickback statute include practices in Work Plan when conducting the risk assessment. involves services by two different providers, the which a hospice pays a fee to a physician for each The OIG Work Plan details the various projects the need for a clear record from both providers is certification of terminal illness, or provides nursing, OIG intends to address in the applicable fiscal year. critical. administrative, and other services for free or below It should be noted that the priorities in the Work 25 In other words, knowing denial of needed care fair market value to physicians, nursing homes, Plan are subject to modification and revision as the in order to keep costs low. A hospice is accountable hospitals and other potential referral sources with year progresses and it does not represent a complete for the appropriate allocation and utilization of its Continued
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including improper arrangements with • Billing for a higher level of care • Improper patient solicitation nursing homes;30 than was necessary; 34 activities, such as ‘‘patient charting;’ 39 • • Overlap in the services that a Knowingly billing for inadequate or • Inadequate management and nursing home provides, which results in substandard care; • oversight of subcontracted services, insufficient care provided by a hospice Pressure on a patient to revoke the which results in improper billing; 40 to a nursing home resident;31 Medicare Hospice Benefit when the • • Sales commissions based upon Improper relinquishment of core patient is still eligible for and desires 41 services and professional management care, but the care has become too length of stay in hospice; responsibilities to nursing homes, expensive for the hospice to deliver; 35 • Deficient coordination of volunteers and privately-paid • Billing for hospice care provided by volunteers; 42 professionals;32 unqualified or unlicensed clinical • Improper indication of the location • Providing hospice services in a personnel; 36 where hospice services were nursing home before a written • False dating of amendments to delivered; 43 agreement has been finalized, if medical records; 37 required;33 • High-pressure marketing of hospice Medicare would otherwise cover. Marketing care to ineligible beneficiaries; 38 statements should not create the perception that the initial terminal prognosis is of limited importance the intent to influence referrals. See 42 U.S.C. and that hospice benefits may almost routinely be 1320a–7b; 60 FR 40847 (1995). See also discussion for by (a) the beneficiary or private insurance, or (b) provided over an indefinite time period. Marketing in section II.A.4. and accompanying notes. In Medicaid (if the beneficiary is dual eligible); and (2) materials should prominently feature the eligibility addition, a hospice that offers an incentive to an the hospice and facility have a written agreement requirements for the Medicare Hospice Benefit. individual that such hospice knows or should know under which the hospice takes full responsibility 39 is likely to influence the individual to use a for the professional management of the individual’s An example of an improper review of patient particular hospice may be subject to civil money hospice care and the facility agrees to provide room records is when a hospice arranges with the penalties. See 42 U.S.C. 1320a–7a(a)(5). and board. Hospice Medicare Manual § 204.2 administration of a nursing facility to review 30 The OIG has observed instances of potential 34 Billing for unnecessary services involves patient records without the patent’s permission, kickbacks between hospices and nursing homes to knowingly seeking reimbursement for services that solely to determine if the patients are eligible for unlawfully influence the referral of patients. In ‘‘are not reasonable and necessary for the palliation hospice care and to solicit hospice referrals. general, payments by a hospice to a nursing home or management of terminal illness.’’ See 42 U.S.C. Hospices should not review medical records of for ‘‘room and board’’ provided to a Medicaid 1395y(a)(1)(C). Because HCFA establishes different nursing home patients in an attempt to recruit hospice patient should not exceed what the nursing payment amounts for specific categories of covered patients for hospice services based on their home otherwise would have received directly from hospice care, a hospice must ensure that it provides diagnoses. For instance, see OIG report A–05–96– Medicaid if the patient had not been enrolled in services to hospice patients that are reasonable and 00023—‘‘Enhanced Controls Needed to Assure hospice. (If a patient receiving Medicare hospice necessary. Otherwise, the hospice may be Validity of Medicare Hospice Enrollments.’’ benefits in a nursing home is also eligible for reimbursed for a higher level of care than was 40 The Balanced Budget Act of 1997, Pub.L. 105– Medicaid, Medicaid will pay the hospice at least 95 necessary, e.g., a hospice that provides and bills for 33, amended the Social Security Act so that percent of the State’s daily nursing home rate, and continuous care where only routine home care is hospices will no longer be required to routinely the hospice is then responsible for paying the necessary. See also section II.A.3.d. and provide all physician services directly by nursing home for the patient’s room and board.) See accompanying notes. employing a physician. See 42 U.S.C. 1395x(dd)(2). Hospice Medicare Manual § 204.2. See also section 35 Fiscal intermediaries have informed the OIG Because the OIG has received reports of limited II.A.4. and accompanying notes. that hospices rarely offer the reasons supporting the involvement displayed by contracted physicians, as 31 There may be some overlap in the services that revocation of a patient’s Medicare Hospice Benefit. opposed to hospice-employed physicians, hospices the nursing homes and hospices provide, thereby Although a hospice may discharge a patient if it should consider having oversight mechanisms in providing one or the other the opportunity to discovers that the patient is not terminally ill, place to ensure that hospice physicians are reduce services and costs. Recent OIG reports found hospices should not encourage a patient to revoke thoroughly reviewing re-certification that residents of certain nursing homes receive the benefit merely to avoid the obligation to pay for documentation. fewer services from their hospice than patients who hospice services that have become too costly. See 41 Through ORT activities, it was discovered that receive hospice services in their own homes. Upon 42 CFR 418.28; Hospice Medicare Manual § 210. hospice sales staff often were paid on commission review, it was found that many nursing home 36 Medicare conditions of participation require based on the length of a patient’s stay in hospice. hospice patients were receiving only basic nursing that hospices and all hospice employees must be For example, commission amounts were and aide visits that were provided by nursing home licensed in accordance with applicable Federal, determined by multiplying the total number of days staff as part of room and board when hospice staff State and local laws and regulations. 42 CFR of hospice patient care (patient days) within a sales were not present. Other additional treatments 418.72. representative’s territory by a factor that reflected provided by hospice staff, such as nursing and aide 37 If additions or corrections need to be made to the level of achievement of assigned sales visits, were often clearly within the professional medical records, hospices should make such entries performance objectives. Such marketing tactics skills possessed by nursing home staff. The reports according to standards of practice and applicable encouraged the recruitment of long-term patients, found that the nature of services provided by State law. For example, hospices might correct a many of whom the review found ineligible for the hospice staff, while appropriate and efficacious, medical record by drawing a single line through the Medicare Hospice Benefit. The OIG recommends appeared to differ little from services a nursing erroneous entry, writing ‘‘error’’ next to the entry, that hospices monitor sales commissions for home would have provided if the patient was not initialing and dating the correction and writing the potential vulnerabilities associated with improper enrolled in hospice. See OEI report OEI–05–95– correct information near the entry or writing where patient recruiting. See OIG report A–05–96– 00250—‘‘Hospice Patients in Nursing Homes;’’ see the correct information could be found. 00023—‘‘Enhanced Controls Needed to Assure also OIG report A–05–96–00023—‘‘Enhanced 38 Hospices should not utilize prohibited or Validity of Medicare Hospice Enrollments.’’ Controls Needed to Assure Validity of Medicare inappropriate conduct (e.g., offer free gifts or 42 Hospices rely heavily on volunteer support. In Hospice Enrollments.’’ Since hospices receive a services to patients), designed to maximize business fact, the Medicare Hospice Benefit is the only fixed daily payment regardless of the number of growth and patient retention, to carry out their Federally funded program that mandates the services provided or the location of the patient, initiatives and activities. Also, any marketing provision of volunteer services. Appropriately, fewer services may result in higher profits per information offered by hospices should be clear, hospices need to recognize and attend to patient. See also section II.A.3.e. and accompanying correct, non-deceptive, and fully informative. compliance issues associated with volunteers (i.e., notes. Through ORT, it was discovered that hospice screening, training, disciplining, monitoring, etc.) 32 Certain of the hospice services (i.e.. ‘‘core marketing materials had placed considerable 43 Medicare payments for hospice services are services’’ such as nursing, medical, social, and emphasis on the availability of hospice benefits for made on a prospective basis and adjusted by an area counseling services) must be provided directly to long term care patients, while downplaying or wage index. Hospices must submit claims based on the patient by employees of the hospice, while ignoring the terminal illness eligibility requirement. the geographic location at which the service is other non-core hospice services may be provided at See OIG report A–05–96–00023—‘‘Enhanced furnished and not the location of the hospice. fair market value in accordance with contracts with Controls Needed to Assure Validity of Medicare Incorrect designation of the place of service for other providers. However, the hospice must retain Hospice Enrollments.’’ Hospices should not engage revenue codes 651 and 652 of the hospice claim professional management for all contracted in marketing and sales strategies that offer may significantly alter reimbursement and result in services. See 42 CFR 418.80. incomplete or inadequate information about overpayment for services performed (e.g., hospice 33 A patient who resides in a skilled nursing Medicare entitlement under the Medicare Hospice office in a metropolitan area may be reimbursed facility or nursing facility may elect the Medicare Benefit to induce beneficiaries to elect hospice and more than a rural home where the services were Hospice Benefit if: (1) the residential care is paid thereby waive aggressive treatment options that performed).
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• Failure to comply with applicable should be assessed by hospices as well Classification of Disease (ICD), or requirements for verbal orders for as incorporated into the written policies revenue code (or successor codes) used hospice services; 44 and procedures and training elements by the billing staff should accurately • Non-response to late hospice developed as part of their compliance describe the service that was ordered by referrals by physicians; 45 programs. the physician and performed by the • Knowing misuse of provider hospice. The documentation necessary 3. Eligibility Requirements certification numbers, which results in for accurate billing should be available improper billing; 46 Of the risk areas identified above, to billing staff; and • Failure to adhere to hospice those pertaining to the Medicare • Provide that the compensation for licensing requirements and Medicare eligibility requirements have been the hospice admission personnel, billing conditions of participation; 47 and frequent subject of investigations and department personnel and billing • Knowing failure to return audits. With respect to the consultants should not offer any overpayments made by Federal health reimbursement process, a hospice’s financial incentive to bill for hospice care programs.48 A hospice’s prior written policies and procedures should care regardless of whether applicable history of noncompliance with reflect and reinforce current Federal eligibility criteria for reimbursement is applicable statutes, regulations and health care requirements regarding the met. Federal health care program eligibility for Medicare reimbursement. The written policies and procedures requirements may indicate additional The policies must create a mechanism concerning proper billing should reflect types of risk areas where the hospice for the billing or reimbursement staff to the current reimbursement principles may be vulnerable and that may require communicate effectively and accurately set forth in applicable regulations and policies and procedures to prevent with the clinical staff. Policies and should be developed in tandem with recurrence. 49 Additional risk areas procedures should: private payor and organizational • Provide for complete and timely standards. Particular attention should be 44 Hospice staff must make an appropriate entry documentation of the specific clinical paid to issues associated with patient in the patient’s medical record as soon as they factors that qualify a patient for the election of the Medicare Hospice receive a verbal certification of terminal illness and Medicare Hospice Benefit; 50 Benefit, certification of terminal illness file written certifications in the medical record. See • 42 CFR 418.22(d). State regulations may require that Delineate who has authority to of a patient, development and verbal and telephone orders from physicians should make entries in the patient record; certification of a patient’s • only be accepted by individuals authorized by State Emphasize that patients should be interdisciplinary plan of care and law to accept such orders. The OIG recommends admitted to hospice care only when that those authorized individuals accepting verbal reasonableness and necessity of the and telephone orders should record, date and sign appropriate documentation supports the level of hospice care provided. 51 these orders and the physician(s) who ordered the applicable reimbursement eligibility a. Terminal Illness as an Eligibility service or treatment should countersign them no criteria and only when such Requirement. For a hospice patient to later than the time period required by State documentation is maintained, regulations. receive reimbursement for hospice 52 45 We have received comments expressing appropriately organized in a legible services under Medicare, the patient concern over late hospice referrals by physicians. form, and available for audit and must be ‘‘terminally ill.’’ 53 Hospices While the onus of a timely hospice referral may be review. The documentation should should create oversight mechanisms to on a physician, a hospice should identify untimely record the activity leading to the record referrals and provide adequate follow-up to the ensure that the terminal illness of a 54 physicians. When hospice referrals are late, entry and the identity of the individual Medicare beneficiary is verified and terminally ill patients may be unnecessarily denied providing the service. Documentation access to the Medicare Hospice Benefit, hospices should be consistent and any 51 The OIG has undertaken numerous audits, may have to admit a patient at the costliest stage discrepancies discussed and reconciled. investigations, inspections, and national of terminal illness, and quality of care may be The hospice should consult with its enforcement initiatives aimed at reducing potential affected because of patients being too far along to and actual fraud, abuse and waste. For example, see receive the optimum benefits of hospice care. physicians, clinical staff and/or OIG report A–05–96–00023—‘‘Enhanced Controls Hospices need to work closely with physicians to governing body to establish other Needed to Assure Validity of Medicare Hospice educate and remind them as to the sensitivities and appropriate documentation guidelines; Enrollments;’’ see also OIG Special Fraud Alert— risks associated with untimely referrals. The OIG • Indicate that the diagnosis and ‘‘Fraud and Abuse in Nursing Home Arrangements supports appropriate efforts to increase access to with Hospices’’ (March 1998); OIG Medicare hospice care for eligible individuals. procedure codes for hospice services Advisory Bulletin on Hospice Benefits (November 46 E.g., transfer of a patient from one hospice to reported on the reimbursement claim 1995). another hospice owned by the same company to should be based on the patient’s clinical 52 42 U.S.C. 1395d(a) authorizes the circumvent applicable reimbursement caps. condition as reflected in the medical reimbursement of hospice care. 47 See 42 CFR 418.50–418.100 for the Medicare record and other documentation, and 53 An individual is considered to be ‘‘terminally conditions of participation that apply to hospices. ill’’ if the individual has a medical prognosis that 48 An overpayment is the amount of money a should comply with all applicable the individual’s life expectancy is six months or hospice may have received in excess of the amount official coding rules and guidelines. less if the illness runs its normal course. 42 CFR due and payable under a health care program. Any Health Care Financing 418.3. However, the fact that a hospice patient lives Examples of overpayments include, but are not Administration Common Procedure beyond this six month period, in and of itself, does limited to, instances where a hospice is: (1) Paid not constitute grounds for a determination that the twice for the same service either by Medicare or by Coding System (HCPCS), International patient was never eligible for hospice care, or that Medicare and another insurer; or (2) paid for care the services provided to the patient were not rendered to patients who are not terminally ill or factor in the assessment of whether a compliance reimbursable by Medicare. are otherwise ineligible for the Medicare Hospice program is effective. See United States Sentencing 54 Medical reviews, audits, inspections, and Benefit. For instance, see Hospice Medicare Manual Commission Guidelines, Guidelines Manual, 8A1.2, investigations of hospices have concluded that § 307. The OIG strongly recommends that the Application Note 3(k)(iii). hospices have billed Medicare for hospice services hospice institute procedures to detect overpayments 50 Each patient’s clinical record must contain: (1) provided to patients who are not terminally ill. For and to promptly remit such overpayments to the The initial and subsequent assessments (including instance, see OIG report OEI–04–93–00270— affected payor. See 42 U.S.C. 2320a–7b(a)(3), which hospice admission history, certification, and ‘‘Medicare Hospice Beneficiaries: Services and provides criminal penalties for failure to disclose an recertification); (2) the plan of care; (3) Eligibility.’’ Through Operation Restore Trust overpayment. See also 18 U.S.C. 669. identification data; (4) consent and authorization activities and the increased program integrity 49 ‘‘Recurrence of misconduct similar to that and election forms; (5) pertinent medical history; actions by the Regional Home Health Intermediaries which an organization has previously committed and (6) complete documentation of all services and (RHHIs), it was discovered that many beneficiaries casts doubt on whether it took all reasonable steps events (including evaluations, treatments, progress receiving Medicare hospice benefits did not have a to prevent such misconduct’’ and is a significant notes, etc.) See CFR 418.74. Continued
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 54038 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices the specific factors qualifying the Medicare coverage. These discussions procedures should require, at a patient as terminally ill are properly can take place at the beginning of minimum, that: documented.55 Any determinative hospice election and during appropriate • Before the hospice bills for hospice assessment of the terminal illness of a times throughout a patient’s hospice care provided to a patient, the plan of Medicare beneficiary should be care, e.g., at time of recertification. care must be established by the hospice completed prior to billing Medicare for Because the Medicare conditions of physician and the Interdisciplinary hospice care. Physicians must certify participation require hospices to give all Group; 62 that the beneficiary was terminally ill at beneficiaries an informed consent form • The plan of care includes: (i) An the time when a patient was admitted that outlines their legal rights before assessment of the hospice patient’s for hospice services as well as at the furnishing them with hospice care,58 needs and identification of services, beginning of subsequent hospice benefit providers can include reminders of including the management of discomfort periods. 56 terminal illness requirements in these and symptom relief, and (ii) the scope The hospice’s written policies and forms. and frequency of services, in detail, procedures should require, at a The OIG recognizes that decisions to needed to meet the patient’s and minimum, that: family’s needs; 63 admit patients to hospices are often not • • Before a patient is admitted for based on medical factors alone. Such The plan of care must be reviewed hospice services, the hospice physician decisions are routinely influenced by and updated, at intervals specified in and attending physician thoroughly non-medical factors that would the plan, by the attending physician, review and certify the admitting hospice physician and the generally be reflected in the plan of 64 diagnosis and prognosis; care. However, it is important to make Interdisciplinary Group; • • The hospice properly documents A patient’s medical record contain a distinction between admitting a any review or update of a hospice complete documentation to support the patient to a hospice program and patient’s plan of care by the attending certification made by the hospice certifying a patient for the Medicare 57 physician, the hospice physician and physician or attending physician; Hospice Benefit. Based on an individual • The patient or lawful representative Interdisciplinary Group; and 65 hospice’s admission criteria, some • The hospice regularly reviews the is informed of the determination of the patients may be admitted to hospice patient’s life limiting condition; appropriateness of Interdisciplinary • care prior to an estimated six months Group services and level of services The patient or lawful representative before death, as long as the hospice is is aware that the goal of hospice is being provided, patient admission to paid fair market value for its services. hospice, patient length of stay delays directed toward relief of symptoms, Regardless, patients can be certified for rather than the cure of the underlying and specific treatment modalities. the Medicare Hospice Benefit only when c. Utilization of Hospice Services. A disease; it is reasonable to conclude that a • A patient’s medical condition and hospice is accountable for the patient’s life expectancy is six months status is sufficiently reviewed during appropriate allocation and utilization of or less if the illness runs its normal Interdisciplinary Group meetings; and its resources in order to provide optimal • The clinical progression/status of a course. In other cases, alternative modes care consistent with patient and family patient’s disease and medical condition of reimbursement, often provided needs.66 Accordingly, a hospice should are properly documented. through community support, should be monitor and evaluate its resource Hospices can further ensure sought outside the Medicare Hospice allocation regularly to identify and compliance with the terminal illness Benefit. resolve problems with the utilization of requirement through discussions with b. Plan of Care. A hospice should take services, facilities and personnel. To Medicare beneficiaries and their all reasonable steps to ensure that a achieve such monitoring, a hospice families, reminding them that they must written plan of care is established and should schedule Interdisciplinary satisfy the regulatory requirements for maintained for each individual who Group case reviews and conferences,67 terminal illness status to be eligible for receives hospice services, and that the care provided to that individual is in 62 For Medicare reimbursement purposes, the 59 services of the hospice medical director(s) or the terminal illness. In the review of hospice cases accordance with the plan. The plan must be established by the patient’s physician member of the Hospice Interdisciplinary between 1992 and 1996, patients did not Group must be performed by a doctor of medicine demonstrate significant clinical symptoms of their attending physician, the hospice or osteopathy. See 42 CFR 418.202. The hospice disease nor notable functional limitations one physician, and the Interdisciplinary should employ reasonable measures to verify that would expect to see in a person who has a terminal Group.60 Each patient’s needs should be physicians who establish the hospice plan are illness as defined by Medicare. See OIG report A– appropriately licensed and no adverse actions, such 05–96–00023—‘‘Enhanced Controls Needed to continuously assessed and all treatment as criminal conviction, debarment or an exclusion, Assure Validity of Medicare Hospice Enrollments.’’ options explored and evaluated in the have been taken against them. Findings such as these have prompted a concern context of the patient’s symptoms. 61 63 42 CFR 418.58(c). that some hospices may intentionally misrepresent The hospice’s written policies and 64 See 42 U.S.C. 1395f(a)(7)(B); 42 U.S.C. a condition as terminal in order to secure Medicare 1395x(dd)(2)(B). reimbursement. See also note 23. 65 42 CFR 418.58(b). 55 See 42 CFR 418.22(d). If a question is raised as 58 See 42 CFR 418.62. 66 Once a Medicare beneficiary elects hospice to whether a patient is terminally ill, the hospice 59 See 42 U.S.C. 1395f(a)(7); 42 CFR 418.58. care, the hospice is responsible for furnishing will be requested to furnish its Medicare fiscal 60 Id. directly, or arranging for, all supplies and services intermediary with the information necessary to 61 Some ORT audits found that hospice that relate to the beneficary’s terminal condition, establish that the patient is terminally ill. physicians, at times, rely partly on referring, except the services of an attending physician. 56 See 42 U.S.C. 1395f(a)(7). See also note 28. attending physicians. Although the referring Hospice beneficiaries have the right to receive 57 In order to verify a patient’s terminal illness, physician’s opinion can and should be considered covered medical, social and emotional support Medicare fiscal intermediaries need to review as part of the decision making process, the final services from the hospice directly, or through physician input and rationale beyond a signature on determination of hospice eligibility is the arrangements made by the hospice, and should not the certification form (e.g., a recent medical history responsibility of the hospice physician. For be forced to seek or pay for such care from non- and physical if the physician does not actually instance, see OIG report A–04–95–02111. If hospice providers. examine the patient prior to admission to hospice; employees of a hospice believe that services 67 Interdisciplinary Group conferences are summary of physician review of the history and ordered by a physician are excessive or otherwise regularly scheduled periodic meetings of the physical taken by hospice personnel; or physician inappropriate, the hospice cannot avoid liability for Interdisciplinary Group to review the most current documentation of his or her contribution to the filing improper claims simply because a physician patient/family assessment, evaluate needs and Interdisciplinary Group meetings). has certified the need for hospice care. update the plan of care.
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Otherwise, the hospice may that are part of its conditions of indication of a problem with the quality be reimbursed for a higher level of participation.73 or quantity of services provided to a services than was necessary, e.g., a e. Services Provided to Hospice hospice patient or demonstrate a more hospice that provides and bills for Patients in Nursing Homes. Hospice fundamental concern as to the patient’s continuous care where only routine services may be appropriate and eligibility for the Medicare Hospice home care is necessary. beneficial to terminally ill nursing home Benefit in the first place. Therefore, a As a preliminary matter, the OIG residents who wish to receive palliative hospice should implement policies and recognizes that licensed health care care.74 However, the OIG has found procedures to identify, assess and professionals must be able to order any hospices that enroll nursing home rectify any problems associated with: services that are appropriate for the care patients in hospice care are particularly • Appropriateness of of their patients. However, Medicare vulnerable to fraud and abuse.75 Interdisciplinary Group services and and other Government and private Appropriately, a hospice should set level of services being provided; health care plans will only pay for those sufficient oversight controls in place to • Appropriateness of patient services otherwise covered that meet ensure that care it provides to nursing admission to hospice; appropriate standards (i.e., in the case of home residents is appropriate, • Regular review of patient length of Medicare, ‘‘reasonable and necessary’’ complete, and in accordance with stay; services). Providers may not bill for applicable laws and Federal health care • Delays in admission or in the services that do not meet the applicable program requirements. provision of Interdisciplinary Group standards.70 The hospice is in a unique When a resident of a nursing home services; and position to deliver this information to elects the Medicare Hospice Benefit, the • Specific treatment modalities. the health care professionals on its staff hospice and the nursing home should When utilization problems are and to the physicians who certify jointly establish a coordinated plan of identified, a hospice should implement hospice services. Upon request, a care that reflects the hospice corrective actions and preventative hospice must be able to provide philosophy, and is based on an measures that may include ongoing documentation, such as physician assessment of the individual’s needs monitoring, changes in the provision of orders and other patient medical and unique living situation in the services and revisions of policies and records, to support the level of services nursing home. The coordinated plan procedures. provided to a hospice patient.71 The should identify the care and services d. Levels of Hospice Care. A hospice’s compliance officer should ensure that a that the nursing home will provide to be compliance program should provide clear, comprehensive summary of the responsive to the unique needs of the that it should only seek reimbursement definitions for the different levels of patient/resident and his or her for services that the hospice has reason hospice care 72 and applicable rules of expressed desire for hospice care. to believe are reasonable and the various Government and private In general, a hospice should involve necessary 68 for the palliation or plans is prepared, disseminated, and nursing home personnel in assisting management of terminal illness and explained to appropriate hospice with the administration of a patient’s were ordered by a physician or other personnel. prescribed therapies included in the appropriately licensed individual. The We recommend that hospices plan of care only to the extent that the OIG recommends the hospice’s formulate policies and procedures that hospice would routinely utilize the compliance program communicate to include periodic clinical reviews, both services of a hospice patient’s family/ physicians authorized to certify patients prior and subsequent to billing for caregiver in implementing the plan of for hospice care and hospice personnel services, as a means of verifying that care.76 To satisfy the applicable authorized to admit patients for hospice patients are receiving only reasonable Medicare conditions of participation in care that services will only be paid if and necessary services. As part of such the nursing home context, hospices ordered, certified, covered, reasonable reviews, hospices should examine the should implement policies and and necessary for the patient, given his level, frequency, and duration of the procedures to ensure that: services they perform to determine, in or her clinical condition. • The hospice makes all covered Although hospice services are consultation with a physician, whether services available to meet the needs of reimbursed on a per diem basis and not patients’ medical conditions justify the a patient and does not routinely per individual component of the discharge patients in need of costly pain control or acute or chronic symptom inpatient care; 77 services performed, the payment is management that cannot be managed in other based upon the level of care provided.69 settings). See 42 CFR 418.302. 70 Administrative civil money penalties, 73 See 42 CFR 418.66. 68 See note 34. assessments, and exclusion, as well as remedies 74 See note 33. 69 Payment amounts are determined within each available under criminal and civil law, including 75 In some cases reviewed in nursing homes, OIG of the following categories: (1) routine home care the civil False Claims Act, may be imposed against medical reviewers have found that while the day; (2) continuous home care day (patient who any person who submits a claim for services ‘‘that hospice benefit may eventually have been receives hospice care that consists predominantly of [the] person knows or should know are not appropriate, at the time of election, patients were nursing care on a continuous basis at home, is medically necessary.’’ See, e.g., 42 U.S.C. 1320a– stable and the electionof hospice was premature. furnished only during brief periods of crisis and 7a(a). See OEI report OEI–05–95–00250: ‘‘Hospice only as necessary to maintain the terminally ill 71 Medicare fiscal intermediaries have the Patients in Nursing Homes;’’ see also OIG report A– patient at home); (3) inpatient respite care day authority to require hospices that furnish items or 05–96–00023—‘‘Enhanced Controls Needed to (hospice patient receives care in an approved services under the program to submit Assure Validity of Medicare Hospice Enrollments.’’ facility on a short-term basis for respite—not more documentation that substantiates services were For other examples of potential fraud and abuse in than five consecutive days at a time); and (4) actually provided and medically necessary. See the hospice/nursing home context, see notes 30–33. general inpatient care day (hospice patient receives Medicare Intermediary Manual § 3116.1.B. 76 Hospice Certification Manual § 2082.B. general inpatient care in an inpatient facility for 72 See note 69. 77 See 42 CFR 418.50.
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• The hospice retains professional health care programs claims for patients • Hospice referring its patients to a responsibility for services (e.g., personal who were referred to the hospice nursing home to induce the nursing care, nursing, medication for relieving pursuant to contracts or financial home to refer its patients to the hospice; pain control) furnished by nursing home arrangements that were designed to • Hospice providing free (or below staff; 78 induce such referrals in violation of the fair market value) care to nursing home • All the care furnished by a nursing anti-kickback statute or similar Federal patients, for whom the nursing home is home related to the terminal illness or or State statute or regulation; and receiving Medicare payment under the related conditions is in accordance with • The hospice does not offer or Medicare Skilled Nursing Facility the hospice plan of care; 79 Benefit, with the expectation that after • provide gifts, free services, or other The hospice and the nursing home incentives to patients, relatives of the patient exhausts the skilled nursing communicate with each other when any patients, physicians, nursing facilities, facility benefit, the patient will receive changes are indicated to the plan of hospice services from that hospice; and hospitals, contractors or other potential • care, and each provider is aware of the referral sources for the purpose of Hospice providing staff at its other’s responsibilities in implementing inducing referrals in violation of the expense to the nursing home to perform the plan of care and complete those anti-kickback statute or similar Federal duties that otherwise would be 80 respective functions; or State statute or regulation.87 performed by the nursing home. • Evidence of the coordinated plan of Further, the policies and procedures care is present in the clinical records of In particular, arrangements between should specifically reference and take both providers; 81 nursing homes and hospices are into account the OIG’s safe harbor • Substantially all the core services vulnerable to fraud and abuse because regulations, which clarify those are routinely provided directly by nursing home operators have control payment practices that would be hospice employees 82 and the hospice over the specific hospice or hospices immune from prosecution under the does not rely on employees of the they will permit to provide hospice anti-kickback statute, as well as the 88 inpatient facility to furnish needed services to their residents. Moreover, OIG’s civil money penalty and nursing, physician, counseling, or hospice patients residing in nursing exclusion authorities.92 medical social services; 83 and homes may be particularly desirable • The hospice keeps its forms and from a hospice’s financial standpoint.89 5. Retention of Records documentation of services separate from Therefore, with respect to arrangements Hospice compliance programs should the nursing home’s forms and with nursing homes, a hospice should provide for the implementation of a documentation.84 develop policies and procedures to records system. This system should prevent the following practices from establish policies and procedures 4. Anti-Kickback and Self-Referral occurring, which may constitute regarding the creation, distribution, Concerns potential kickbacks: retention, storage, retrieval and The hospice should have policies and • Hospice offering free or below fair destruction of documents.93 The two procedures in place with respect to market value goods to induce a nursing categories of documents developed compliance with Federal and State anti- home to refer patients to the hospice; under this system should include: (1) all kickback statutes and other applicable • Hospice paying ‘‘room and board’’ records and documentation (e.g., laws.85 Such policies should provide payments to the nursing home in medical records, and billing and claims that: documentation) required either by • amounts in excess of what the nursing All of the hospices’s contracts and home would have received directly from Federal or State law for participation in arrangements with actual or potential Medicaid had the patient not been Federal health care programs 94 or any referral sources are reviewed carefully enrolled in hospice; 90 other applicable Federal and State laws for compliance with all applicable • Hospice paying above fair market and regulations (e.g., document statutes and regulations; 86 • value for ‘‘additional’’ non-core services retention requirements to maintain State The hospice does not submit or licensure); and (2) all records necessary cause to be submitted to the Federal that Medicaid does not consider to be included in its ‘‘room and board’’ to protect the integrity of the hospice’s 91 compliance process and confirm the 78 See 42 CFR 418.56. payments to the nursing home; 79 See 42 CFR 418.58. effectiveness of the program. 80 Hospice Certification Manual § 2082.A. 87 See 42 U.S.C. 1320a–7b(b); 60 FR 40847 (1995). The second category includes: (1) 81 Hospice Certification Manual § 2082.A. 88 While an exclusive or semi-exclusive Documentation that employees were 82 See 42 CFR 418.80. arrangement with a nursing home to provide adequately trained; (2) reports from the 83 In limited circumstances, HFCA may approve hospice services to residents can promote efficiency hospice’s hotline, including the nature a waiver of the requirement for core nursing and safety by permitting the nursing home operator and results of any investigation that was services to be provided by a hospice that is located to coordinate care, screen hospice caregivers, and in a non-urbanized area. See 42 CFR 418.83. maintain control of the premises, such an conducted; (3) documentation of 84 A Hospice may consider creating some type of arrangement may have substantial monetary value corrective action, including disciplinary payroll tracking or time study in an effort to to a hospice. In these circumstances, some nursing action taken and policy improvements properly differentiate services between the hospice home operators and/or hospices may request or introduced, in response to any internal offer illegal remuneration to influence a nursing and the nursing home. investigation or audit; (4) modifications 85 The hospice’s in-house counsel or compliance home’s decision to do business with a particular officer should, among other things, obtain copies of hospice. all relevant OIG regulations, Special Fraud Alerts 89 First, a nursing home’s population represents a 92 See 42 CFR 1001.952. and advisory opinions (these documents are located sizeable pool of potential hospice patients. Second, 93 This records system should be tailored to fit the on the Internet at http://www.dhhs.gov/progorg/ nursing home hospice patients may generate higher individual needs and financial resources of the oig), and ensure that the hospice’s policies reflect gross revenues per patient than patients residing in hospice. the guidance provided by the OIG. their own homes, because nursing home residents 94 For example, Medicare requires that hospices 86 Although hospices may contract with receiving hospice care have, on average, longer must establish and maintain a clinical record for physicians, see note 40, hospices and physicians lengths of stay than hospice patients residing in every individual receiving care and services. The mut still tailor such agreements to avoid violation their own homes. record must be complete, promptly and accurately of the anti-kickback statute or similar Federal or 90 See note 30. documented, readily accessible and systematically State statute or regulation and to comply with 91 See OIG Special Fraud Alert—‘‘Fraud and organized to facilitate retrieval. Any entries are to applicable Medicare conditions of participation. Abuse in Nursing Home Arrangements with be made and signed by the person providing the See 42 CFR 418.56 and 418.86. Hospices’’ (March 1998). services. See 42 CFR 418.74.
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Designating Performance Plan services to the clients of the hospice, or a compliance officer with the billing services to the hospice, are aware Compliance programs should require appropriate authority is critical to the of the requirements of the hospice’s that the promotion of, and adherence to, success of the program, necessitating the compliance program with respect to the elements of the compliance program appointment of a high-level official in eligibility, billing and marketing, among be a factor in evaluating the the hospice with direct access to the other things; performance of all employees, who hospice’s president or CEO, governing • should be periodically trained in new body, all other senior management, and Coordinating personnel issues with compliance policies and procedures. In legal counsel.96 The officer should have the hospice’s Human Resources/ addition, all managers and supervisors sufficient funding and staff to perform Personnel office (or its equivalent) to should: his or her responsibilities fully. ensure that: (i) The National Practitioner • 98 Discuss with all supervised Coordination and communication are Data Bank has been checked with employees and relevant contractors the the key functions of the compliance respect to all medical staff and compliance policies and legal officer with regard to planning, independent contractors (as requirements pertinent to their function; implementing and monitoring the appropriate) and (ii) the List of • 99 Inform all supervised personnel compliance program. Excluded Individuals/Entities has that strict compliance with these The compliance officer’s primary been checked with respect to all policies and requirements is a condition responsibilities should include: employees, medical staff and of employment; and • Overseeing and monitoring the independent contractors (as • 100 Disclose to all supervised personnel implementation of the compliance appropriate); that the hospice will take disciplinary program; 97 • Assisting the hospice’s financial action up to and including termination • Reporting on a regular basis to the management in coordinating internal for violation of these policies or hospice’s governing body, CEO and compliance review and monitoring requirements. compliance committee (if applicable) on activities, including annual or periodic In addition to making performance of the progress of implementation, and reviews of departments; these duties an element in evaluations, assisting these components in • Independently investigating and a compliance program should include a establishing methods to improve the policy for sanctioning managers and acting on matters related to compliance, hospice’s efficiency and quality of including the flexibility to design and supervisors who fail to adequately services, and to reduce the hospice’s instruct their subordinates or fail to coordinate internal investigations (e.g., vulnerability to fraud, abuse and waste; responding to reports of problems or detect noncompliance with applicable • Periodically revising the program in policies and legal requirements, where suspected violations) and any resulting light of changes in the organization’s corrective action (e.g., making necessary reasonable diligence on the part of the needs, and in the law and policies and manager or supervisor would have led improvements to hospice policies and procedures of Government and private practices, taking appropriate to the discovery of any problems or payor health plans; violations and given the hospice the disciplinary action, etc.) with all • Reviewing employees’ certifications hospice departments, subcontracted opportunity to correct them earlier. that they have received, read and The OIG believes all hospices should providers and health care professionals understood the standards of conduct; ensure that its employees understand under the hospice’s control, and any • Developing, coordinating and the importance of compliance. If a small other agents if appropriate; and participating in a multifaceted hospice does not have a formal • Continuing the momentum of the educational and training program that performance evaluation structure, it compliance program and the focuses on the elements of the should informally convey the accomplishment of its objectives long compliance program, and seeks to employee’s compliance responsibilities ensure that all relevant employees and and the importance of these 98 management are knowledgeable of, and The National Practitioner Data Bank is a data responsibilities in a written job base that contains information about medical description or orientation checklist. The malpractice payments, sanctions by boards of 96 The OIG believes that it is not advisable for the medical examiners or State licensing boards, applicable documentation should compliance function to be subordinate to the adverse clinical privilege actions and adverse include a dated signature, with an hospice’s general counsel, or comptroller or similar professional society membership actions. Health indication that the employee has hospice financial officer. Free standing compliance care entities can have access to this data base to received it and will be responsible for functions help to ensure independent and objective seek information about their own medical or legal reviews and financial analyses of the clinical staff, as well as prospective employees or adherence to the responsibilities institution’s compliance efforts and activities. By physician contractors. expressed. separating the compliance function from the key 99 The List of Excluded Individuals/Entities is an management positions of general counsel or chief OIG-produced report available on the Internet at B. Designation of a Compliance Officer financial officer (where the size and structure of the http://www.dhhs.gov/progorg/oig. It is updated on and a Compliance Committee hospice make this a feasible option), a system of a regular basis to reflect the status of health care checks and balances is established to more providers who have been excluded from 1. Compliance Officer effectively achieve the goals of the compliance participation in the Medicare and Medicaid Every hospice should designate a program. programs. In addition, the General Services 97 For multi-hospice organizations or hospital- Administration maintains a monthly listing of compliance officer to serve as the focal owned hospices, the OIG encourages coordination debarred contractors on the Internet at http:// with each hospice owned by the corporation or www.arnet.gov/epls. 95 The creation and retention of such documents hospital through the use of a headquarter’s 100 The compliance officer may also have to and reports may raise a variety of legal issues, such compliance officer, communicating with parallel ensure that the criminal backgrounds of employees as patient privacy and confidentiality. These issues positions in each facility, regional office or business have been checked depending upon State are best discussed with legal counsel. line, as appropriate. requirements or hospice policy. See note 131.
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Conducting Effective Training and implementation.101 hospice chooses the people that will Education The compliance officer must have the accept the responsibilities vested in The proper education and training of authority to review all documents and members of the compliance committee, corporate officers, managers, employees, other information that are relevant to the hospice needs to train these volunteers, nurses, physicians, and compliance activities, including, but not individuals on the policies and other health care professionals, and the limited to, patient medical records, procedures of the compliance program, continual retraining of current billing records, and records concerning as well as how to discharge their duties. personnel at all levels, are significant the marketing efforts of the facility and The committee’s functions should elements of an effective compliance the hospice’s arrangements with other include: program. As part of their compliance • Analyzing the legal requirements parties, including employees, programs, hospices should require with which it must comply, and specific physicians, professionals on staff, personnel to attend specific training on risk areas; relevant independent contractors, a periodic basis, including appropriate • Assessing existing policies and suppliers, agents, and supplemental training in Federal and State statutes, procedures that address these risk areas staffing entities. This policy enables the regulations, and guidelines, and the for possible incorporation into the compliance officer to review contracts policies of private payors, and training compliance program; and obligations (seeking the advice of • Working with appropriate hospice in corporate ethics, which emphasizes legal counsel, where appropriate) that departments to develop standards of the organization’s commitment to may contain referral and payment conduct and policies and procedures to compliance with these legal 104 provisions that could violate the anti- promote compliance with legal and requirements and policies. kickback statute and other legal or ethical requirements; These training programs should regulatory requirements. • Recommending and monitoring, in include sessions highlighting the A small hospice may not have the conjunction with the relevant organization’s compliance program, need or the resources to hire or appoint departments, the development of summarizing fraud and abuse laws, a full time compliance officer. However, internal systems and controls to carry Federal health care program each hospice should have a person in its out the organization’s standards, requirements, claim development and organization (this person may have policies, and procedures as part of its submission processes, patient rights, other functional responsibilities) who daily operations; and marketing practices that reflect can oversee the hospice’s compliance • Determining the appropriate current legal and program standards. with applicable statutes, rules, strategy/approach to promote The organization must take steps to regulations, and policies. The structure compliance with the program and communicate effectively its standards and comprehensiveness of the hospice’s detection of any potential violations, and procedures to all affected compliance program will help such as through hotlines and other fraud employees, physicians, independent determine the responsibilities of each reporting mechanisms; contractors, and other significant agents, individual compliance officer. • Developing a system to solicit, e.g., by requiring participation in evaluate, and respond to complaints and training programs and disseminating 2. Compliance Committee problems; and publications that explain specific • 105 The OIG recommends that a Monitoring internal and external requirements in a practical manner. compliance committee be established to audits and investigations for the Managers of specific departments or advise the compliance officer and assist purpose of identifying troublesome groups can assist in identifying areas in the implementation of the issues and deficient areas experienced that require training and in carrying out such training.106 Training instructors compliance program.102 When by the hospice, and implementing may come from outside or inside the developing an appropriate team of corrective and preventive action. The committee may also address other organization, but must be qualified to people to serve as the hospice’s functions as the compliance concept present the subject matter involved and compliance committee, including the becomes part of the overall hospice experienced enough in the issues compliance officer, a hospice should operating structure and daily routine. presented to adequately field questions consider a variety of skills and The compliance committee is an and coordinate discussions among those personality traits that are expected from extension of the compliance officer and being trained. New employees should be provides the organization with trained early in their employment.107 101 Periodic on-site visits of hospice operations, increased oversight. The OIG recognizes bulletins with compliance updates and reminders, distribution of audiotapes or videotapes on different that small hospices may not have the 104 Specific compliance training should risk areas, lectures at management and employee resources or the need to establish a complement any ‘‘inservice’’ training sessions that meetings, circulation of recent health care articles compliance committee. However, when a hospice may regularly schedule to provide an ongoing program for the training of employees as covering fraud and abuse, and innovative changes potential problems are identified, the to compliance training are various examples of required by its conditions of participation. 42 CFR approaches and techniques the compliance officer OIG recommends the small hospices 418.64. can employ for the purpose of ensuring continued supplier create a ‘‘taskforce,’’ if 105 Some publications, such as OIG’s Special interest in the compliance program and the appropriate, to address the problem. Fraud Alerts, audit and inspection reports, and hospice’s commitment to its policies and The members of the taskforce may vary advisory opinions, as well as the annual OIG work principles. plan, are readily available from the OIG and could 102 The compliance committee benefits from depending upon the issue. be the basis for standards, educational courses, and having the perspectives of individuals with varying programs for appropriate hospice employees. responsibilities in the organization, such as 103 A health care provider should expect its 106 Significant variations in the functions and operations, finance, audit, human resources, and compliance committee members and compliance responsibilities of different departments or groups clinical management (e.g., hospice physician), as officer to demonstrate high integrity, good may create the need for training materials that are well as employees and managers of key operating judgment, assertiveness, and an approachable tailored to compliance concerns associated with units. These individuals should have the requisite demeanor, while eliciting the respect and trust of particular operations and duties. seniority and comprehensive experience within employees of the hospice and having significant 107 Certain positions, such as those that involve their respective departments to implement any professional experience working with billing, the billing of hospice services or patient admission necessary changes to hospice policies and clinical records, documentation, and auditing to hospice care, create a greater organizational legal procedures as recommended by the committee. principles. exposure, and therefore require specialized training.
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Training programs and materials should employment responsibilities.111 For should also develop independent be designed to take into account the example, for certain employees involved reporting paths for an employee to skills, experience, and knowledge of the in the hospice admission functions, report fraud, waste, or abuse so that individual trainees. The compliance periodic training in applicable employees can feel comfortable officer should document any formal reimbursement coverage and eligibility reporting outside the normal chain of training undertaken by the hospice as requirements should be required. In command and supervisors or other part of the compliance program. hospices with high employee turnover, personnel cannot divert such reports.114 A variety of teaching methods, such periodic training updates are critical. The OIG encourages the establishment as interactive training, and training in The OIG recognizes that the format of of a procedure so that hospice personnel several different languages, particularly the training program will vary may seek clarification from the where a hospice has a culturally diverse depending upon the resources of the compliance officer or members of the staff, should be implemented so that all hospice. For example, a small hospice compliance committee in the event of affected employees are knowledgeable may want to create a video for each type any confusion or question with regard to of the institution’s standards of conduct of training session so new employees a hospice policy, practice, or procedure. and procedures for alerting senior can receive training in a timely Questions and responses should be management to problems and manner.112 documented and dated and, if concerns.108 In addition to specific The OIG recommends that attendance appropriate, shared with other staff so training in the risk areas identified in and participation in training programs that standards, policies, practices, and section II.A.2, above, primary training be made a condition of continued procedures can be updated and for appropriate corporate officers, employment and that failure to comply improved to reflect any necessary managers, and other hospice staff with training requirements should result changes or clarifications. The should include such topics as: in disciplinary action, including compliance officer may want to solicit possible termination, when such failure • Government and private payor employee input in developing these is serious. Adherence to the provisions reimbursement principles; communication and reporting systems. of the compliance program, such as • General prohibitions on paying or training requirements, should be a factor 2. Hotlines and Other Forms of receiving remuneration to induce in the annual evaluation of each Communication referrals; The OIG encourages the use of • employee. The hospice should retain Improper alterations to clinical adequate records of its training of hotlines,115 e-mails, written memoranda, 109 records; employees, including attendance logs newsletters, suggestion boxes, and other • Providing hospice services with and material distributed at training forms of information exchange to proper authorization; sessions. maintain these open lines of • Patient rights and patient communication.116 If the hospice education; D. Developing Effective Lines of establishes a hotline, the telephone • Compliance with Medicare Communication number should be made readily conditions of participation; and 1. Access to the Compliance Officer available to all employees and • Duty to report misconduct. An open line of communication independent contractors, possibly by Clarifying and emphasizing these between the compliance officer and circulating the number on wallet cards areas of concern through training and or conspicuously posting the telephone hospice employees is equally important 117 educational programs are particularly to the successful implementation of a number in common work areas. relevant to a hospice’s marketing and compliance program and the reduction Employees should be permitted to financial personnel, in that the pressure of any potential for fraud, abuse, and report matters on an anonymous basis. to meet business goals may render these waste. Written confidentiality and non- Matters reported through the hotline or employees vulnerable to engaging in retaliation policies should be developed other communication sources that prohibited practices. and distributed to all employees to suggest substantial violations of The OIG suggests that all relevant encourage communication and the compliance policies, Federal health care levels of personnel be made part of reporting of incidents of potential program requirements, regulations, or various educational and training fraud.113 The compliance committee statutes should be documented and programs of the hospice.110 Employees investigated promptly to determine their should be required to have a minimum 111 Currently, the OIG is monitoring a significant veracity. A log should be maintained by number of educational hours per year, number of corporate integrity agreements that the compliance officer that records such as appropriate, as part of their require many of these training elements. The OIG usually requires a minimum of one to three hours 114 Hospices can also consider rewarding annually for basic training in compliance areas. employees for appropriate use of established 108 Post-training tests can be used to assess the Additional training is required for specialty fields reporting systems. success of training provided and employee such as billing and marketing. 115 The OIG recognizes that it may not be comprehension of the hospice’s policies and 112 If videos are utilized for compliance training, financially feasible for a smaller hospice to procedures. the OIG suggests that a hospice make an individual maintain a telephone hotline dedicated to receiving 109 This practice involves the hospice altering the available to field questions from video trainees. In calls about compliance issues. These companies attending physician’s or other authorized addition, those hospices that use video training may want to explore alternative methods, e.g., physician’s diagnosis in order to receive should strongly consider requiring trainees to outsourcing the hotline or establishing a written reimbursement for hospice care. A hospice should complete post training comprehension tests to method of confidential disclosure. not claim the patient has a particular medical ensure that trainees actively paid attention to the 116 In addition to methods of communication used condition in order to qualify for reimbursement for video. by current employees, an effective employee exit which it would not otherwise qualify. 113 The OIG believes that whistleblowers should interview program could be designed to solicit 110 In addition, where feasible, the OIG be protected against retaliation, a concept embodied information from departing employees regarding recommends that a hospice afford outside in the provisions of the False Claims Act. See 31 potential misconduct and suspected violations of contractors the opportunity to participate in the U.S.C. 3730(h). In many cases, employees sue their hospice policy and procedures. hospice’s compliance training and educational employers under the False Claims Act’s qui tam 117 Hospices should also post in a prominent, programs, or develop their own programs that provisions out of frustration because of the available area the HHS–OIG Hotline telephone complement the hospice’s standards of conduct, company’s failure to take action when a number, 1–800–447–8477 (1–800–HHS–TIPS), in compliance requirements, and other rules and questionable, fraudulent, or abusive situation was addition to any company hotline number that may practices. brought to the attention of senior corporate officials. be posted.
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Any overpayments information should be included in Although many monitoring discovered as a result of such deviations reports to the governing body, the CEO, techniques are available, one effective should be returned promptly to the and compliance committee.119 Further, tool to promote and ensure compliance affected payor, with appropriate while the hospice should always strive is the performance of regular, periodic documentation and a sufficiently to maintain the confidentiality of an compliance audits by internal or detailed explanation of the reason for employee’s identity, it should also external auditors who have expertise in the refund. 123 explicitly communicate that there may Federal and State health care statutes, An effective compliance program be a point where the individual’s regulations, and Federal health care should also incorporate periodic (at identity may become known or may program requirements. The audits least annual) reviews of whether the have to be revealed in certain instances. should focus on the hospice’s programs program’s compliance elements have The OIG recognizes that assertions of or divisions, including external been satisfied, e.g., whether there has fraud and abuse by employees who may relationships with third-party been appropriate dissemination of the have participated in illegal conduct or contractors, specifically those with program’s standards, training, ongoing committed other malfeasance raise substantive exposure to Government educational programs, and disciplinary numerous complex legal and enforcement actions. At a minimum, actions, among other elements.124 This management issues that should be these audits should be designed to process will verify actual conformance examined on a case-by-case basis. The address the hospice’s compliance with by all departments with the compliance compliance officer should work closely laws governing kickback arrangements, program and may identify the necessity with legal counsel, who can provide claim development and submission, for improvements to be made to the guidance regarding such issues. reimbursement, eligibility, and compliance program, as well as the The OIG recognizes that protecting marketing. The audits and reviews hospice’s operations. Such reviews anonymity may be infeasible for small should inquire into the hospice’s could support a determination that hospices. However, the OIG believes all compliance with the Medicare appropriate records have been created hospice employees, when seeking conditions of participation and the and maintained to document the answers to questions or reporting specific rules and policies that have implementation of an effective potential instances of fraud and abuse, been the focus of particular attention on program.125 However, when monitoring should know to whom to turn to for the part of the Medicare fiscal discloses that deviations were not attention and should be able to do so intermediaries or carriers, and law detected in a timely manner due to without fear of retribution. enforcement, as evidenced by program deficiencies, proper E. Auditing and Monitoring educational and other communications modifications must be implemented. from OIG Special Fraud Alerts, OIG An ongoing evaluation process is Such evaluations, when developed with audits and evaluations, and law critical to a successful compliance the support of management, can help enforcement’s initiatives.121 In addition, program. The OIG believes that an ensure compliance with the hospice’s the hospice should focus on any areas effective program should incorporate policies and procedures. of concern that are specific to the thorough monitoring of its As part of the review process, the individual hospice and have been implementation and regular reporting to compliance officer or reviewers should identified by any entity, whether senior hospice or corporate officers.120 consider techniques such as: Federal, State or internal. • Compliance reports created by this Visits and interviews of patients at Monitoring techniques may include ongoing monitoring, including reports their residences; sampling protocols that permit the • of suspected noncompliance, should be Analysis of utilization patterns; compliance officer to identify and • maintained by the compliance officer Testing clinical and hospice review variations from an established and shared with the hospice’s senior admission staff on their knowledge of baseline. 122 Significant variations from management and the compliance reimbursement coverage criteria (e.g., the baseline should trigger a reasonable committee. The extent and frequency of present hypothetical scenarios of inquiry to determine the cause of the the audit function may vary depending situations experienced in daily practice deviation. If the inquiry determines that on factors such as the size and available and assess responses); the deviation occurred for legitimate, • resources, prior history of Assessment of existing explainable reasons, the compliance relationships with physicians, nursing officer and hospice management may 126 118 To efficiently and accurately fulfill such an homes, hospitals, and other potential obligation, the hospice should create an intake form want to limit any corrective action or referral sources; for all compliance issues identified through take no action. If it is determined that • Unannounced mock audits and reporting mechanisms. The form could include the deviation was caused by improper investigations; information concerning the date that the potential procedures, misunderstanding of rules, problem was reported, the internal investigative methods utilized, the results of the investigation, including fraud and systemic problems, 123 In addition, when appropriate, as referenced in the corrective action implemented, the disciplinary section G.2, below, reports of fraud or systemic measures imposed, and any identified 121 See also section II.A.2. problems should also be made to the appropriate overpayments and monies returned. 122 The OIG recommends that when a compliance governmental authority. 119 Information obtained over the hotline may program is established in a hospice, the compliance 124 One way to assess the knowledge, awareness, provide valuable insight into management practices officer, with the assistance of department managers, and perceptions of the hospice’s employees is and operations, whether reported problems are should take a ‘‘snapshot’’ of their operations from through the use of a validated survey instrument actual or perceived. a compliance perspective. This assessment can be (e.g. employee questionnaires, interviews, or focus 120 Even when a hospice or group of hospices is undertaken by outside consultants, law or groups). owned by a larger corporate entity, the regular accounting firms, or internal staff, with 125 Such records should include, but not be auditing and monitoring of the compliance authoritative knowledge of health care compliance limited to, logs of horline calls, logs of training activities of an individual hospice must be a key requirements. This ‘‘snapshot,’’ often used as part attendees, training agenda meaterials, and feature in any annual review. Appropriate reports of benchmarking analyses, becomes a baseline for summaries of corrective action taken and on audit findings should be periodically provided the compliance officer and other managers to judge improvments make to hospice policies as a result and explained to a parent organization’s senior staff the hospice’s progress in reducing or eliminating of compliance activities. and officers. potential areas of vulnerability. 126 See section II.A.3.e.
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• Reevaluation of deficiencies cited findings to correct identified problems procedures, Federal health care program in past surveys for Medicare conditions and revise hospice policies if necessary requirements, or Federal and State laws, of participation; to improve patient care,129 the OIG or those who have otherwise engaged in • Examination of hospice complaint believes that a hospice’s management wrongdoing, which have the potential to logs; should take whatever steps are impair the hospice’s status as a reliable, • Checking personnel records to necessary to correct identified honest, and trustworthy health care determine whether any individuals who compliance problems and prevent them provider. have been reprimanded for compliance from recurring. In certain cases, The OIG believes that the compliance issues in the past are among those subsequent reviews or studies would be program should include a written policy currently engaged in improper conduct; advisable to ensure that the statement setting forth the degrees of • Questionnaires developed to solicit recommended corrective actions have disciplinary actions that may be impressions of a broad cross-section of been implemented successfully. imposed upon corporate officers, the hospice’s employees and staff; While conducting its monitoring and managers, employees, physicians, and • Evaluation of the timeliness of auditing efforts, as well as its daily other health care professionals for physician referrals and physician operations, a hospice should document failing to comply with the hospice’s signatures for hospice certifications; its efforts to comply with applicable standards and policies and applicable • Reviews of clinical documentation statutes, regulations, and Federal health statutes and regulations. Intentional or (e.g., terminal illness certification, plan care program requirements. For reckless noncompliance should subject of care, nursing notes, etc.), financial example, where a hospice, in its efforts transgressors to significant sanctions. records, and other source documents to comply with a particular statute, Such sanctions could range from oral that support claims for reimbursement; regulation or program requirement, warnings to suspension, termination, or • Validation of qualifications of requests advice from a Government financial penalties, as appropriate. Each hospice physicians and other hospice agency (including a Medicare fiscal situation must be considered on a case- staff, including verification of intermediary or carrier) charged with by-case basis to determine the applicable state license renewals; administering a Federal health care appropriate sanction. The written • Evaluation of written materials and program, the hospice should document standards of conduct should elaborate documentation outlining the hospice’s and retain a record of the request and on the procedures for handling policies and procedures; and any written or oral response. This step disciplinary problems and those who • Trend analyses, or longitudinal is extremely important if the hospice will be responsible for taking studies, that uncover deviations, intends to rely on that response to guide appropriate action. Some disciplinary positive or negative, in specific areas it in future decisions, actions, or claim actions can be handled by department over a given period. reimbursement requests or appeals. A or agency managers, while others may The reviewers should: log of oral inquiries between the hospice have to be resolved by a senior hospice • Have the qualifications and and third parties will help the administrator. Disciplinary action may experience necessary to adequately organization document its attempts at be appropriate where a responsible identify potential issues with the subject compliance. In addition, the hospice employee’s failure to detect a violation matter that is reviewed; agency should maintain records relevant is attributable to his or her negligence or • Be objective and independent of to the issue of whether its reliance was reckless conduct. Personnel should be line management to the extent ‘‘reasonable’’ and whether it exercised advised by the hospice that disciplinary reasonably possible; 127 due diligence in developing procedures action will be taken on a fair and • Have access to existing audit and and practices to implement the advice. equitable basis. Managers and health care resources, relevant The extent of a hospice’s audit should supervisors should be made aware that personnel, and all relevant areas of depend on the hospice’s identified risk they have a responsibility to discipline operation; areas and resources. If the hospice employees in an appropriate and • Present written evaluative reports comes under Government scrutiny in consistent manner. on compliance activities to the CEO, the future, the Government will assess It is vital to publish and disseminate governing body, and members of the whether or not the hospice developed a the range of disciplinary standards for compliance committee on a regular comprehensive audit based upon improper conduct and to educate basis, but no less often than annually; identified risk areas and resources. If the officers and other hospice employees and Government determines the hospice regarding these standards. The • Specifically identify areas where failed to develop an adequate audit consequences of noncompliance should corrective actions are needed. program, given its resources, the be consistently applied and enforced, in Just as a hospice is required by its Government will be less likely to afford order for the disciplinary policy to have conditions of participation to conduct the hospice favorable treatment under the required deterrent effect. All levels ‘‘an ongoing, comprehensive, integrated, the Federal Sentencing Guidelines. of employees should be potentially self-assessment of the quality and subject to the same types of disciplinary 128 F. Enforcing Standards Through Well- appropriateness of care provided,’’ Publicized Disciplinary Guidelines action for the commission of similar the OIG believes that a hospice should offenses. The commitment to monitor its compliance with the Federal 1. Discipline Policy and Actions compliance applies to all personnel health care program requirements in the An effective compliance program levels within a hospice. The OIG same fashion. Furthermore, just as a should include guidance regarding believes that corporate officers, hospice is required by its conditions of disciplinary action for corporate managers, supervisors, clinical staff, and participation to use its quality assurance officers, managers, employees, and other other health care professionals should health care professionals who have be held accountable for failing to 127 The OIG recognizes that hospices that are failed to comply with the hospice’s comply with, or for the foreseeable small in size and have limited resources may not be able to use internal reviewers who are not part standards of conduct, policies and failure of their subordinates to adhere of line management or hire outside reviewers. to, the applicable standards, laws, and 128 42 CFR 418.66. 129 Id. procedures.
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2. New Employee Policy G. Responding to Detected Offenses and Depending upon the nature of the Developing Corrective Action Initiatives alleged violations, an internal For all new employees who have investigation will probably include 1. Violations and Investigations discretionary authority to make interviews and a review of relevant decisions that may involve compliance Violations of a hospice’s compliance documents. Some hospices should with the law or compliance oversight, program, failures to comply with consider engaging outside counsel, hospices should conduct a reasonable applicable Federal or State law, and auditors or health care experts to assist and prudent background investigation, other types of misconduct threaten a in an investigation. Records of the including a reference check,130 as part of hospice’s status as a reliable, honest and investigation should contain every such employment application. trustworthy provider capable of documentation of the alleged violation, The application should specifically participating in Federal health care a description of the investigative require the applicant to disclose any programs. Detected but uncorrected process (including the objectivity of the criminal conviction,131 as defined by 42 misconduct can seriously endanger the investigators and methodologies mission, reputation and legal status of U.S.C. 1320a–7(i), or exclusion action. utilized), copies of interview notes and the hospice. Consequently, upon reports Pursuant to the compliance program, key documents, a log of the witnesses or reasonable indications of suspected interviewed and the documents hospice policies should prohibit the noncompliance, it is important that the employment of individuals who have reviewed, the results of the compliance officer or other management investigation, e.g., any disciplinary been recently convicted of a criminal officials immediately investigate the action taken, and the corrective action 132 or who offense related to health care conduct in question to determine implemented. While any action taken as are listed as debarred, excluded, or whether a material violation of the result of an investigation will otherwise ineligible for participation in applicable law or the requirements of necessarily vary depending upon the 133 Federal health care programs. In the compliance program has occurred, hospice and the situation, hospices addition, pending the resolution of any and if so, take decisive steps to correct should strive for some consistency by criminal charges or proposed debarment the problem.135 As appropriate, such utilizing sound practices and or exclusion, the OIG recommends that steps may include an immediate referral disciplinary protocols.138 Further, after a an individual who is the subject of such to criminal and/or civil law enforcement reasonable period, the compliance actions should be removed from direct authorities, a corrective action plan,136 a officer should review the circumstances responsibility for or involvement in any report to the Government 137 and the that formed the basis for the Federal health care program. That return of any overpayments, if investigation to determine whether individual’s salary should not be paid in applicable. similar problems have been uncovered whole or part, directly or indirectly, by Where potential fraud or False Claims or modifications of the compliance Federal health care programs or Act liability is not involved, the OIG program are necessary to prevent and recommends that normal repayment otherwise with Federal funds.134 With detect other inappropriate conduct or channels should be used for returning violations. regard to current employees or overpayments to the Government as independent contractors, if resolution of If an investigation of an alleged they are discovered. However, even if violation is undertaken and the the matter results in conviction, the overpayment detection and return debarment or exclusion, the hospice compliance officer believes the integrity process is working and is being of the investigation may be at stake should terminate its employment or monitored by the hospice’s audit or because of the presence of employees other contract arrangement with the billing divisions, the OIG still believes under investigation, those subjects individual or contractor. that the compliance officer needs to be should be removed from their current made aware of these overpayments, work activity until the investigation is 130 See note 99. violations or deviations that may reveal completed (unless an internal or 131 States may mandate, and many hospices trends or patterns indicative of a Government-led undercover operation voluntarily conduct, criminal background checks systemic problem. for prospective employees of hospices. known to the hospice is in effect). In Identification of a criminal background of an addition, the compliance officer should 135 Instances of noncompliance must be applicant, who may have been recently convicted determined on a case-by-case basis. The existence, take appropriate steps to secure or of serious crimes that relate to the proposed or amount, of a monetary loss to a health care prevent the destruction of documents or employment duties, could be grounds for denying program is not solely determinative of whether or other evidence relevant to the employment. Further, criminal background not the conduct should be investigated and reported investigation. If the hospice determines screening may deter those individuals with to governmental authorities. In fact, there may be criminal intent from entering the field of hospice. instances where there is no readily identifiable that disciplinary action is warranted, it 132 Because providers of hospice care have monetary loss at all, but corrective action and should be prompt and imposed in frequent, relatively unsupervised access to reporting are still necessary to protect the integrity accordance with the hospice’s written potentially vulnerable people and their property, a of the applicable program and its beneficiaries, e.g., standards of disciplinary action. hospice should also strictly scrutinize whether it where services required by a plan of care were not should employ individuals who have been provided. 2. Reporting 136 Advice from the hospice’s in-house counsel or convicted of crimes of neglect, violence, theft or If the compliance officer, compliance dishonesty, or financial misconduct. an outside law firm may be sought to determine the extent of the hospice’s liability and to plan the committee, or management official 133 Likewise, hospice compliance programs appropriate course of action. should establish standards prohibiting the discovers credible evidence of 137 execution of contracts with companies that have The OIG currently maintains a provider self- misconduct from any source and, after disclosure protocol that encourages providers to been recently convicted of a criminal offense report suspected fraud. The concept of voluntary a reasonable inquiry, has reason to related to health care or that are listed by a Federal self-disclosure is premised on a recognition that the agency as debarred, excluded or otherwise Government alone cannot protect the integrity of 138 The parameters of a claim review subject to an ineligible for participation in Federal health care the Medicare and other Federal health care internal investigation will depend on the programs. See note 99. programs. Health care providers must be willing to circumstances surrounding the issue(s) identified. 134 Prospective employees who have been police themselves, correct underlying problems and By limiting the scope of an internal audit to current officially reinstated into the Medicare and Medicaid work with the Government to resolve these matters. billing, a hospice may fail to discover major programs by the OIG may be considered for The self-disclosure protocol can be located on the problems and deficiencies in operations, as well as employment upon proof of such reinstatement. OIG’s website at http://www.dhhs.gov/progorg/oig be subject to certain liability.
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If well as any other type of health care criminal, civil, or administrative law, the investigation ultimately reveals that provider, should consider the attributes then the hospice should promptly report criminal, civil or administrative of each individual element of its the existence of misconduct to the violations have occurred, the compliance program to assess the appropriate Federal and State appropriate Federal and State program’s ‘‘effectiveness’’ as a whole. authorities 139 within a reasonable authorities 143 should be notified Examining the comprehensiveness of period, but not more than 60 days 140 immediately. policies and procedures implemented to after determining that there is credible As previously stated, the hospice satisfy these elements is merely the first evidence of a violation.141 Prompt should take appropriate corrective step. Evaluating how a compliance reporting will demonstrate the hospice’s action, including prompt identification program performs during a provider’s good faith and willingness to work with of any overpayment to the affected day-to-day operations becomes the governmental authorities to correct and payor and the imposition of proper critical indicator.146 remedy the problem. In addition, disciplinary action. If potential fraud or As previously stated, a compliance reporting such conduct will be violations of the False Claims Act are program should require the considered a mitigating factor by the involved, any repayment of the development and distribution of written OIG in determining administrative overpayment should be made as part of compliance policies, standards and sanctions (e.g., penalties, assessments the discussion with the Government practices that identify specific areas of and exclusion), if the reporting provider following a report of the matter to law risk and vulnerability to a hospice. One becomes the target of an OIG enforcement authorities. Otherwise, way to judge whether these policies, investigation.142 normal repayment channels should be standards and practices measure up is to When reporting misconduct to the used for repaying identified observe how an organization’s Government, a hospice should provide overpayments.144 Failure to disclose employees react to them. Do employees all evidence relevant to the alleged overpayments within a reasonable consistently experience recurring violation of applicable Federal or State period of time could be interpreted as pitfalls because they lack guidance on law(s) and potential cost impact. The an intentional attempt to conceal the certain issues not adequately covered in compliance officer, under advice of overpayment from the Government, company policies? Are employees counsel, and with guidance from the thereby establishing an independent flagrantly disobeying an organization’s governmental authorities, could be basis for a criminal violation with standards of conduct because they requested to continue to investigate the respect to the hospice, as well as any observe no sincere buy-in from senior reported violation. Once the individuals who may have been management? Do employees have investigation is completed, the involved.145 For this reason, hospice trouble understanding policies and compliance officer should be required to compliance programs should emphasize procedures because they are written in notify the appropriate governmental that overpayments obtained from legalese or at difficult reading levels? authority of the outcome of the Medicare or other Federal health care Does an organization routinely investigation, including a description of programs should be promptly disclosed experience systematic billing failures the impact of the alleged violation on and returned to the payor that made the because employees are ill-instructed the operation of the applicable health erroneous payment. how to implement written policies and The OIG believes all hospices, practices? Written compliance policies, 139 Appropriate Federal and State authorities regardless of size, should ensure they standards and practices are only as good include the Office of Inspector General of the are reporting the results of any as an organization’s commitment to Department of Health and Human Services, the overpayments or violations to the Criminal and Civil Divisions of the Department of apply them in practice. Justice, the U.S. Attorney in relevant districts, the appropriate entity and taking the Every hospice should designate a Federal Bureau of Investigation and the other appropriate corrective action to remedy compliance officer or contact to serve as investigative arms for the agencies administering the identified deficiency. the affected Federal or State health care programs, the focal point of compliance activities, such as the State Medicaid Fraud Control Unit, the III. Assessing the Effectiveness of a and, if appropriate, a compliance Defense Criminal Investigative Service, the Compliance Program committee to advise and assist the Department of Veterans Affairs and the Office of compliance officer. An organization Personnel Management (which administers the Because the Government views the needs to seriously consider whoever Federal Employee Health Benefits Program). existence of a compliance program as a 140 fills such integral roles and periodically In contrast, to qualify for the ‘‘not less than mitigating factor when determining double damages’’ provision of the False Claims Act, monitor how the individuals chosen culpability regarding allegations of the report must be provided to the Government satisfy their responsibilities. Does a fraud and abuse only if the compliance within 30 days after the date when the hospice first compliance officer have sufficient obtained the information. 31 U.S.C. 3729(a). program is ‘‘effective,’’ how a hospice 141 professional experience working with The OIG believes that some violations may be may assess its compliance program billing, clinical records, documentation, so serious that they warrant immediate notification becomes quite significant. A hospice, as to governmental authorities, prior to, or and auditing principles to perform simultaneous with, commencing an internal assigned responsibilities fully? Has a investigation, e.g., if the conduct: (1) is a clear 143 See note 139. violation of civil fraud or criminal law; (2) has a 144 A hospice should consult with its Medicare compliance officer or compliance significant adverse effect on the quality of care fiscal intermediary or HCFA for any further committee been negligent in ensuring an provided to program beneficiaries (in addition to guidance regarding normal repayment channels. organization’s compliance due to any other legal obligations regarding quality of The hospice’s Medicare fiscal intermediary or inadequate funding, staff, and authority care); or (3) indicates evidence of a systemic failure HCFA may require certain information (e.g., alleged to comply with applicable laws or an existing violation or issue causing overpayment, description necessary to carry out their jobs? Did corporate integrity agreement, regardless of the of the internal investigative process with financial impact on Federal health care programs. methodologies used to determine any 146 Evaluation may be accomplished through 142 The OIG has published criteria setting forth overpayments, disciplinary actions taken and techniques such as employee surveys, management those factors that the OIG takes into consideration corrective actions taken, etc.) to be submitted with assessments and periodic review of benchmarks in determining whether it is appropriate to exclude return of any overpayments, and that such established for audits, investigations, disciplinary a health care provider from program participation repayment information be submitted to a specific action, overpayments and employee feedback. All pursuant to 42 U.S.C. 1320a–7(b)(7) for violations department or individual. Interest will be assessed, elements of an organization’s compliance program of various fraud and abuse laws. See 62 FR 67392 when appropriate. See 42 CFR 405.376. can be evaluated, including policies, training, (December 24, 1997). 145 See 42 U.S.C. 1320a–7b(a)(3). practices and compliance personnel.
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 54048 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices adding the compliance officer function compliance policies, practices or knowingly disregard associated legal to a key management position with procedures. exposure? Is there a consistent and other significant duties compromise the An effective compliance program methodical approach to the correlation goals of the compliance program (e.g., should include guidance regarding between compliance issues identified chief financial officer who discounts disciplinary action for corporate and the corrective action necessary to certain overpayments identified to officers, managers, health care remedy? Are isolated overpayment improve the company’s bottom line professionals and other employees who matters properly resolved through profits)? Since a compliance officer and have failed to adhere to an normal repayment channels? Is credible a compliance committee can potentially organization’s standards of conduct, evidence of misconduct that may violate have a significant impact on how Federal health care program criminal, civil or administrative law effectively a compliance program is requirements or Federal or State laws. promptly reported to the appropriate implemented, those functions should The number and caliber of disciplinary Federal and State authorities? If any not be taken for granted. actions taken by an organization can be step in this process of responding to As evidenced throughout this insightful. Have appropriate sanctions detected offenses is circumvented or guidance, the proper education and been applied to compliance improperly handled, such conduct training of corporate officers, managers, misconduct? Are sanctions applied to would most likely demonstrate an health care professionals and other all employees consistently, regardless of ineffective compliance program, as well applicable employees of a provider, and an employee’s level in the corporate as potentially result in criminal, civil or the continual retraining of current hierarchy? Have double-standards in administrative liability. personnel at all levels, are significant discipline bred cynicism among Documentation is the key to elements of an effective compliance employees? When disciplinary action is demonstrating the effectiveness of a program. Accordingly, such efforts not taken seriously or applied provider’s compliance program. For should be routinely evaluated. Are haphazardly, such practices reflect example, documentation of the employees trained frequently enough? poorly on senior management’s following should be maintained: audit Do employees fail post-training tests commitment to foster compliance as results; logs of hotline calls and their that evaluate knowledge of compliance? well as the effectiveness of an resolution; corrective actions plans; due Do training sessions and materials organization’s compliance program in diligence efforts regarding business adequately summarize important general. transactions; records of employee Another critical component of a training, including the number of aspects of the organization’s compliance successful compliance program is an training hours; disciplinary action; and program, such as fraud and abuse laws, ongoing monitoring and auditing modification and distribution of policies Federal health care program process. The extent and frequency of the and procedures. Given that the OIG is requirements, and claim development audit function may vary depending on encouraging self-disclosure of and submission processes? Are training factors such as the size and available overpayments and billing irregularities, instructors qualified to present the resources, prior history of maintaining a record of disclosures and subject matter and experienced enough noncompliance, and risk factors of a refunds to the health care programs is to duly field questions? When thorough particular hospice. The hallmark of strongly endorsed. A documented compliance training is periodically effective monitoring and auditing efforts practice of refunding of overpayments conducted, employees receive the is how an organization determines the and self-disclosing incidents of non- reinforcement they need to ensure an parameters of its reviews. Do audits compliance with Federal health care effective compliance program. focus on all pertinent departments of an program requirements can serve as An open line of communication organization? Does an audit cover evidence of a meaningful compliance between the compliance officer and a compliance with all applicable laws and effort by a hospice. provider’s employees is equally Federal health care program Hospices, as well as all health care important to the success of a requirements? Are results of past audits, providers, should acknowledge that it is compliance program. In today’s pre-established baselines or prior their responsibility to formulate intensive regulatory environment, the deficiencies reevaluated? Are the policies, procedures, and practices that OIG believes that a provider cannot elements of the compliance program are tailored to their own operations, and possibly have an effective compliance monitored? Are auditing techniques that are comprehensive enough to program if it receives minimal or no valid and conducted by objective ensure compliance with all applicable feedback from its employees regarding reviewers? The extent and sincerity of Federal health care program compliance matters. For instance, if a an organization’s efforts to confirm its requirements. An organization is in the compliance officer does not receive compliance often proves to be a best position to validate the suitability appropriate inquiries from employees: revealing determinant of a compliance of its compliance efforts based upon its Do policies and procedures fail to program’s effectiveness. own particular circumstances. adequately guide employees to whom As was expressed in the last section and when they should be of this guidance, it is essential that the IV. Conclusion communicating compliance matters? Do compliance officer or other management Through this document, the OIG has employees fear retaliation if they report officials immediately investigate reports attempted to provide a foundation to the misconduct? Are employees reporting or reasonable indications of suspected process necessary to develop an issues not related to compliance through noncompliance. If a material violation effective and cost-efficient hospice the wrong channels? Do employees have of applicable law or compliance compliance program. As previously bad-faith, ulterior motives for reporting? program requirements has occurred, a stated, however, each program must be Regardless of the means that a provider provider must take decisive steps to tailored to fit the needs and resources of employs, whether it be telephone correct the problem. Providers who do an individual hospice, depending upon hotline, email, or suggestion boxes, not thoroughly investigate misconduct its particular corporate structure, employees should seek clarification leave themselves open to undiscovered mission and employee composition. The from compliance staff in the event of fraud, waste and abuse. When a statutes, regulations and guidelines of any confusion or question dealing with provider learns of certain issues, does it the Federal and State health insurance
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.055 pfrm08 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54049 programs, as well as the policies and elementary and higher education, and DEPARTMENT OF HEALTH AND procedures of the private health plans, parents. The Chair of the Panel is Dr. HUMAN SERVICES should be integrated into every Donald N. Langenberg, Chancellor of the hospice’s compliance program. University System of Maryland. Substance Abuse and Mental Health Services Administration The OIG recognizes that the health The Panel will build on the findings care industry in this country, which presented by the National Research reaches millions of beneficiaries and Current List of Laboratories Which Council’s Committee on the Prevention Meet Minimum Standards To Engage in expends about a trillion dollars of Reading Difficulties in Young annually, is constantly evolving. The Urine Drug Testing for Federal Children. Based on these findings and Agencies, and Laboratories That Have time is right for hospices to implement the National Reading Panel’s own a strong voluntary health care Withdrawn From the Program review of the literature, the Panel will: compliance program. As stated Determine the readiness for application AGENCY: Substance Abuse and Mental throughout this guidance, compliance is in the classroom of the results of these Health Services Administration, HHS. a dynamic process that helps to ensure research studies; identify appropriate ACTION: Notice. that hospices and other health care means to rapidly disseminate this providers are better able to fulfill their SUMMARY: The Department of Health and information to facilitate effective commitment to ethical behavior, as well Human Services notifies Federal reading instruction in the schools; and as meet the changes and challenges agencies of the laboratories currently identify gaps in the knowledge base for being imposed upon them by Congress certified to meet standards of Subpart C reading instruction and the best ways to and private insurers. Ultimately, it is of Mandatory Guidelines for Federal close these gaps. OIG’s hope that a voluntarily created Workplace Drug Testing Programs (59 compliance program will enable The agenda for this meeting will FR 29916, 29925). A similar notice hospices to meet their goals, improve include presentations of subgroup listing all currently certified laboratories the quality of patient care, and reports and discussions of the reports by will be published during the first week substantially reduce fraud, waste and The National Reading Panel. A period of of each month, and updated to include abuse, as well as the cost of health care time will be set aside at approximately laboratories which subsequently apply to Federal, State and private health 3 pm on Thursday, October 14 for for and complete the certification insurers. members of the public to address the process. If any listed laboratory’s Dated: September 29, 1999. Panel and express their views regarding certification is totally suspended or the Panel’s mission. Individuals June Gibbs Brown, revoked, the laboratory will be omitted desiring an opportunity to speak before from updated lists until such time as it Inspector General. the Panel should address their requests is restored to full certification under the [FR Doc. 99–25787 Filed 10–4–99; 8:45 am] to F. William Dommel, Jr., J.D., Guidelines. BILLING CODE 4150±04±P Executive Director, National Reading If any laboratory has withdrawn from Panel, c/o Mr. Patrick, Riccards and the National Laboratory Certification either mail them to the Widmeyer-Baker Program during the past month, it will DEPARTMENT OF HEALTH AND Group, 1825 Connecticut Avenue, NW, be identified as such at the end of the HUMAN SERVICES Fifth Floor, Washington, DC 20009, or e- current list of certified laboratories, and National Institutes of Health mail them to [email protected], or fax will be omitted from the monthly listing them to 202–667–0902. Requests for thereafter. National Institute of Child Health and addressing the Panel should be received This Notice is now available on the Human Development by October 11, 1999. Panel business internet at the following website: permitting, each public speaker will be http://www.health.org/workpl.htm Meeting of the National Reading Panel allowed five minutes to present his or FOR FURTHER INFORMATION CONTACT: Mrs. Notice is hereby given of the her views. In the event of a large Giselle Hersh or Dr. Walter Vogl, Washington DC area meeting of the number of public speakers, the Panel Division of Workplace Programs, 5600 National Reading Panel. The meeting Chair retains the option to further limit Fishers Lane, Rockwall 2 Building, will be held on Wednesday, October 13, the presentation time allowed to each. Room 815, Rockville, Maryland 20857; 1999, from 8 am to 6 pm and on Although the time permitted for oral Tel.: (301) 443–6014. Thursday, October 14, 1999 from 8 am presentations will be brief, the full text SPECIAL NOTE: Please use the above to 6 pm. The meeting location is the of all written comments submitted to address for all surface mail and Marriott Residence Inn, 7335 Wisconsin the Panel will be made available to the correspondence. For all overnight mail Avenue, Bethesda, Maryland, 20814. Panel members for consideration. service use the following address: The entire meeting will be open to the For further information contact Mr. Division of Workplace Programs, 5515 public. Patrick Riccards at 202–667–0901. Security Lane, Room 815, Rockville, The National Reading Panel was Individuals who plan to attend and Maryland 20852. requested by Congress and created by need special assistance, such as sign SUPPLEMENTARY INFORMATION: the Director of the National Institute of language interpretation or other Mandatory Guidelines for Federal Child Health and Human Development reasonable accommodations, should Workplace Drug Testing were developed in consultation with the Secretary of contact Mr. Patrick Riccards by October in accordance with Executive Order Education. The Panel will study the 11, 1999. 12564 and section 503 of Pub. L. 100– effectiveness of various approaches to 71. Subpart C of the Guidelines, Dated: September 28, 1999. teaching children how to read and ‘‘Certification of Laboratories Engaged report on the best ways to apply these Yvonne Maddox, in Urine Drug Testing for Federal findings in classrooms and at home. Its Deputy Director, National Institute of Child Agencies,’’ sets strict standards which members include prominent reading Health and Human Development. laboratories must meet in order to researchers, teachers, child [FR Doc. 99–25757 Filed 10–4–99; 8:45 am] conduct urine drug testing for Federal development experts, leaders in BILLING CODE 4140±01±M agencies. To become certified an
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 54050 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices applicant laboratory must undergo three DrugProof, Division of Dynacare/ (Formerly: Roche Biomedical rounds of performance testing plus an Laboratory of Pathology, LLC, 1229 Laboratories, Inc.) on-site inspection. To maintain that Madison St., Suite 500, Nordstrom Marshfield Laboratories, Forensic certification a laboratory must Medical Tower, Seattle, WA 98104, Toxicology Laboratory, 1000 North participate in a quarterly performance 206–386–2672/800–898–0180, Oak Ave., Marshfield, WI 54449, 715– testing program plus periodic, on-site (Formerly: Laboratory of Pathology of 389–3734/800–331–3734 inspections. Seattle, Inc., DrugProof, Division of MAXXAM Analytics Inc.*, 5540 Laboratories which claim to be in the Laboratory of Pathology of Seattle, McAdam Rd., Mississauga, ON, applicant stage of certification are not to Inc.) Canada L4Z 1P1, 905–890–2555, be considered as meeting the minimum DrugScan, Inc., P.O. Box 2969, 1119 (Formerly: NOVAMANN (Ontario) requirements expressed in the HHS Mearns Rd., Warminster, PA 18974, Inc.) Guidelines. A laboratory must have its 215–674–9310 Medical College Hospitals Toxicology letter of certification from SAMHSA, Dynacare Kasper Medical Laboratories, Laboratory, Department of Pathology, HHS (formerly: HHS/NIDA) which 14940–123 Ave., Edmonton, Alberta 3000 Arlington Ave., Toledo, OH attests that it has met minimum Canada T5V 1B4 780–451–3702/800– 43614, 419–383–5213 standards. 661–9876 MedTox Laboratories, Inc., 402 W. In accordance with Subpart C of the ElSohly Laboratories, Inc., 5 Industrial County Rd. D, St. Paul, MN 55112, Guidelines, the following laboratories Park Dr., Oxford, MS 38655, 601–236– 651–636–7466/800–832–3244 meet the minimum standards set forth 2609 MetroLab-Legacy Laboratory Services, in the Guidelines: Gamma-Dynacare Medical 1225 NE 2nd Ave., Portland, OR 97232, 503–413–5295/800–950–5295 ACL Laboratories 8901 W. Lincoln Ave., Laboratories*, A Division of the Minneapolis Veterans Affairs Medical West Allis, WI 53227, 414–328–7840/ Gamma-Dynacare Laboratory Center, Forensic Toxicology 800–877–7016, (Formerly: Bayshore Partnership 245, Pall Mall St., Laboratory 1 Veterans Drive, Clinical Laboratory) London, ON, Canada N6A 1P4, 519– Minneapolis, Minnesota 55417, 612– Advanced Toxicology Network, 3560 679–1630 General Medical Laboratories, 36 South 725–2088 Air Center Cove, Suite 101, Memphis, National Toxicology Laboratories, Inc., Brooks St. Madison, WI 53715 608– TN 38118, 901–794–5770/888–290– 1100 California Ave., Bakersfield, CA 267–6267 1150 93304, 661–322–4250 Hartford Hospital Toxicology Aegis Analytical Laboratories, Inc., 345 NWT Drug Testing, 1141 E. 3900 South, Laboratory, 80 Seymour St., Hartford, Hill Ave., Nashville, TN 37210, 615– Salt Lake City, UT 84124, 801–268– CT 06102–5037, 860–545–6023 255–2400 2431 / 800–322–3361 (Formerly: Info-Meth, 112 Crescent Ave., Peoria, IL Alabama Reference Laboratories, Inc., NorthWest Toxicology, Inc.) 543 South Hull St., Montgomery, AL 61636, 309–671–5199/800–752–1835, One Source Toxicology Laboratory, Inc., 36103, 800–541–4931/334–263–5745 (Formerly: Methodist Medical Center University of Texas Medical Branch, Alliance Laboratory Services 3200 Toxicology Laboratory) Clinical Chemistry Division, 301 Burnet Ave., Cincinnati, OH 45229, Integrated Regional Laboratories, 1400 University Boulevard, Room 5.158, 513–585–9000, (Formerly: Jewish Northwest 12th Ave., Miami, FL Old John Sealy, Galveston, Texas Hospital of Cincinnati, Inc.) 33136, 305–325–5784, (Formerly: 77555–0551, 409–772–3197 American Medical Laboratories, Inc., Cedars Medical Center, Department of (Formerly: UTMB Pathology- 14225 Newbrook Dr., Chantilly, VA Pathology) Toxicology Laboratory) 20151, 703–802–6900 Kroll Laboratory Specialists, Inc. 1111 Oregon Medical Laboratories, P.O. Box Associated Pathologists Laboratories, Newton St., Gretna, LA 70053 504– 972, 722 East 11th Ave., Eugene, OR Inc., 4230 South Burnham Ave., Suite 361–8989/800–433–3823 (Formerly: 97440–0972, 541–687–2134 250, Las Vegas, NV 89119–5412, 702– Laboratory Specialists, Inc.) Pacific Toxicology Laboratories, 6160 733–7866/800–433–2750 LabCorp Occupational Testing Services, Variel Ave., Woodland Hills, CA Baptist Medical Center—Toxicology Inc., 1904 Alexander Drive, Research 91367, 818–598–3110 (Formerly: Laboratory, 9601 I–630, Exit 7, Little Triangle Park, NC 27709, 919–572– Centinela Hospital Airport Toxicology Rock, AR 72205–7299 501–202–2783, 6900/800–833–3984 (Formerly: Laboratory (Formerly: Forensic Toxicology CompuChem Laboratories, Inc.; Pathology Associates Medical Laboratory Baptist Medical Center) CompuChem Laboratories, Inc., A Laboratories, 11604 E. Indiana, Clinical Reference Lab, 8433 Quivira Subsidiary of Roche Biomedical Spokane, WA 99206, 509–926–2400 / Rd., Lenexa, KS 66215–2802, 800– Laboratory; Roche CompuChem 800–541–7891 445–6917 Laboratories, Inc., A Member of the PharmChem Laboratories, Inc., 1505–A Cox Health Systems, Department of Roche Group) O’Brien Dr., Menlo Park, CA 94025, Toxicology, 1423 North Jefferson LabCorp Occupational Testing Services, 650–328–6200 / 800–446–5177 Ave., Springfield, MO 65802, 800– Inc., 4022 Willow Lake Blvd., PharmChem Laboratories, Inc., Texas 876–3652/417–269–3093, (Formerly: Memphis, TN 38118, 901–795–1515/ Division, 7606 Pebble Dr., Fort Worth, Cox Medical Centers) 800–233–6339, (Formerly: TX 76118, 817–215–8800 (Formerly: Dept. of the Navy, Navy Drug Screening MedExpress/National Laboratory Harris Medical Laboratory) Laboratory, Great Lakes, IL, P. O. Box Center) Physicians Reference Laboratory, 7800 88–6819, Great Lakes, IL, 60088–6819, LabOne, Inc., 10101 Renner Blvd., West 110th St., Overland Park, KS 847–688–2045/847–688–4171 Lenexa, KS 66219, 913–888–3927/ 66210, 913–339–0372 / 800–821–3627 Diagnostic Services Inc., dba DSI, 12700 800–728–4064, (Formerly: Center for Poisonlab, Inc., 7272 Clairemont Mesa Westlinks Drive, Fort Myers, FL Laboratory Services, a Division of Blvd., San Diego, CA 92111, 619–279– 33913, 941–561–8200/800–735–5416 LabOne, Inc.) 2600 / 800–882–7272 Doctors Laboratory, Inc., P.O. Box 2658, Laboratory Corporation of America Quest Diagnostics Incorporated, 3175 2906 Julia Dr., Valdosta, GA 31604, Holdings, 69 First Ave., Raritan, NJ Presidential Dr., Atlanta, GA 30340, 912–244–4468 08869, 908–526–2400/800–437–4986, 770–452–1590 (Formerly: SmithKline
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Beecham Clinical Laboratories, Inc., CORNING MetPath Clinical 1701 N. Senate Blvd., Indianapolis, IN SmithKline Bio-Science Laboratories) Laboratories, CORNING Clinical 46202, 317–929–3587 Quest Diagnostics Incorporated, 4444 Laboratory) Richard Kopanda, Giddings Road, Auburn Hills, MI Quest Diagnostics Incorporated, 7600 Executive Officer, Substance Abuse and 48326, 810–373–9120 / 800–444–0106 Tyrone Ave., Van Nuys, CA 91405, Mental Health Services Administration. (Formerly: HealthCare/Preferred 818–989–2520 / 800–877–2520 [FR Doc. 99–25778 Filed 10–4–99; 8:45 am] Laboratories, HealthCare/MetPath, (Formerly: SmithKline Beecham BILLING CODE 4160±20±U CORNING Clinical Laboratories) Clinical Laboratories) Quest Diagnostics Incorporated, Quest Diagnostics LLC (IL), 1355 Mittel National Center for Forensic Science, DEPARTMENT OF THE INTERIOR 1901 Sulphur Spring Rd., Baltimore, Blvd., Wood Dale, IL 60191, 630–595– 3888 (Formerly: Quest Diagnostics MD 21227, 410–536–1485 (Formerly: Office of the Secretary Maryland Medical Laboratory, Inc., Incorporated, MetPath, Inc., National Center for Forensic Science, CORNING MetPath Clinical [WO±640±1820±00 IA] CORNING National Center for Laboratories, CORNING Clinical Laboratories Inc.) Alaska Resource Advisory Council Forensic Science) (State of Alaska), et al.; Renewal Quest Diagnostics Incorporated, 8000 San Diego Reference Laboratory, 6122 Sovereign Row, Dallas, TX 75247, Nancy Ridge Dr., San Diego, CA AGENCY: Bureau of Land Management 214–638–1301 (Formerly: SmithKline 92121, 800–677–7995 (BLM), Interior. Beecham Clinical Laboratories, Scientific Testing Laboratories, Inc., 463 ACTION: Alaska Resource Advisory SmithKline Bio-Science Laboratories) Southlake Blvd., Richmond, VA Council (State of Alaska); Arizona Quest Diagnostics Incorporated, 4770 23236, 804–378–9130 Resource Advisory Council (State of Regent Blvd., Irving, TX 75063, 972– Scott & White Drug Testing Laboratory, Arizona); Central California Resource 916–3376 / 800–526–0947 (Formerly: 600 S. 25th St., Temple, TX 76504, Advisory Council, Northeastern Damon Clinical Laboratories, Damon/ 254–771–8379 / 800–749–3788 California Resource Advisory Council, MetPath, CORNING Clinical S.E.D. Medical Laboratories, 5601 Office and Northwestern California Resource Laboratories) Advisory Council (State of California); Quest Diagnostics Incorporated, 801 Blvd., Albuquerque, NM 87109, 505– 727–6300 / 800–999–5227 Lower Snake Resource Advisory East Dixie Ave., Leesburg, FL 34748, Council, Upper Snake Resource 352–787–9006 (Formerly: SmithKline South Bend Medical Foundation, Inc., Advisory Council, and Upper Columbia- Beecham Clinical Laboratories, 530 N. Lafayette Blvd., South Bend, Salmon Clearwater Resource Advisory Doctors & Physicians Laboratory) IN 46601, 219–234–4176 Council (State of Idaho); Western Quest Diagnostics Incorporated, 400 Southwest Laboratories, 2727 W. Montana (formerly Butte) Resource Egypt Rd., Norristown, PA 19403, Baseline Rd., Tempe, AZ 85283, 602– Advisory Council, Dakotas Resource 610–631–4600 / 800–877–7484 438–8507 Advisory Council (States of North (Formerly: SmithKline Beecham Sparrow Health System, Toxicology Dakota and South Dakota), Central Clinical Laboratories, SmithKline Bio- Testing Center, St. Lawrence Campus, Montana (formerly Lewistown) Science Laboratories) 1210 W. Saginaw, Lansing, MI 48915, Resource Advisory Council, and Eastern Quest Diagnostics Incorporated, 875 517–377–0520, (Formerly: St. Montana (formerly Miles City) Resource Greentree Rd., 4 Parkway Ctr., Lawrence Hospital & Healthcare Advisory Council (State of Montana); Pittsburgh, PA 15220–3610, 412–920– System) Northeastern Great Basin Resource 7733 / 800–574–2474 (Formerly: Med- St. Anthony Hospital Toxicology Advisory Council, Mojave-Southern Chek Laboratories, Inc., Med-Chek/ Laboratory, 1000 N. Lee St., Great Basin Resource Advisory Council, Damon, MetPath Laboratories, Oklahoma City, OK 73101, 405–272– and Sierra Front-Northwestern Great CORNING Clinical Laboratories) 7052 Quest Diagnostics Incorporated, 506 E. * The Standards Council of Canada (SCC) voted State Pkwy., Schaumburg, IL 60173, Toxicology & Drug Monitoring to end its Laboratory Accreditation Program for 800–669–6995/847–885–2010 Laboratory, University of Missouri Substance Abuse (LAPSA) effective May 12, 1998. (Formerly: SmithKline Beecham Hospital & Clinics, 2703 Clark Lane, Laboratories certified through that program were Suite B, Lower Level, Columbia, MO accredited to conduct forensic urine drug testing as Clinical Laboratories, International required by U.S. Department of Transportation Toxicology Laboratories) 65202, 573–882–1273 (DOT) regulations. As of that date, the certification Quest Diagnostics Incorporated, 7470 Toxicology Testing Service, Inc., 5426 of those accredited Canadian laboratories will Mission Valley Rd., San Diego, CA N.W. 79th Ave., Miami, FL 33166, continue under DOT authority. The responsibility for conducting quarterly performance testing plus 92108–4406, 619–686–3200 / 800– 305–593–2260 periodic on-site inspections of those LAPSA- 446–4728 (Formerly: Nichols UNILAB, 18408 Oxnard St., Tarzana, accredited laboratories was transferred to the U.S. Institute, Nichols Institute Substance CA 91356, 818–996–7300 / 800–492– DHHS, with the DHHS’ National Laboratory Abuse Testing (NISAT), CORNING Certification Program (NLCP) contractor continuing 0800, (Formerly: MetWest-BPL to have an active role in the performance testing Nichols Institute, CORNING Clinical Toxicology Laboratory) and laboratory inspection processes. Other Laboratories) Universal Toxicology Laboratories, LLC, Canadian laboratories wishing to be considered for Quest Diagnostics of Missouri LLC, 2320 the NLCP may apply directly to the NLCP 10210 W. Highway 80, Midland, Schuetz Rd., St. Louis, MO 63146, contractor just as U.S. laboratories do. Texas 79706, 915–561–8851 / 888– 314–991–1311 / 800–288–7293 Upon finding a Canadian laboratory to be 953–8851 qualified, the DHHS will recommend that DOT (Formerly: Quest Diagnostics certify the laboratory (Federal Register, 16 July Incorporated, Metropolitan Reference The following laboratory voluntarily 1996) as meeting the minimum standards of the Laboratories, Inc., CORNING Clinical withdrew from the NLCP program on ‘‘Mandatory Guidelines for Workplace Drug Laboratories, South Central Division) October 1, 1999: Methodist Hospital Testing’’ (59 FR, 29908–29931, 9 June 1994). After Toxicology Services of Clarian Health receiving the DOT certification, the laboratory will Quest Diagnostics Incorporated, One be included in the monthly list of DHHS certified Malcolm Ave., Teterboro, NJ 07608, Partners, Inc., Department of laboratories and participate in the NLCP 201–393–5590 (Formerly: MetPath, Pathology and Laboratory Medicine, certification maintenance program.
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Basin Resource Advisory Council (State counsel and advice to BLM on the Advisory Council, and Upper Columbia- of Nevada); New Mexico Resource planning and management of public Salmon Clearwater Resource Advisory Advisory Council (State of New lands as well as advice on public land Council (State of Idaho); Western Mexico); Eastern Washington Resource resource issues. Council members will Montana (formerly Butte) Resource Advisory Council, John-Day Snake be residents of the State(s) in which the Advisory Council, Dakotas Resource Resource Advisory Council (States of Councils have jurisdiction and will be Advisory Council (States of North Oregon, Washington, and Idaho), and appointed by the Secretary. Dakota and South Dakota), Central Southeast Oregon Resource Advisory The purpose of the Councils is to Montana (formerly Lewistown) Council (State of Oregon); and Utah advise the Secretary, through the BLM, Resource Advisory Council, and Eastern Resource Advisory Council (State of on a variety of planning and Montana (formerly Miles City) Resource Utah)—Notice of Renewal. management issues associated with the Advisory Council (State of Montana); management of the public lands. The Northeastern Great Basin Resource SUMMARY: This notice announces the Council responsibilities include Advisory Council, Mojave-Southern renewal of the Bureau of Land providing advice to BLM regarding the Great Basin Resource Advisory Council, Management’s Alaska Resource preparation, amendment, and and Sierra Front-Northwestern Great Advisory Council (State of Alaska); implementation of land use plans; Basin Resource Advisory Council (State Arizona Resource Advisory Council providing advice on long-range of Nevada); New Mexico Resource (State of Arizona); Central California planning and establishing resource Advisory Council (State of New Resource Advisory Council, management priorities; and assisting the Mexico); Eastern Washington Resource Northeastern California Resource BLM in identifying State or regional Advisory Council, John-Day Snake Advisory Council, and Northwestern standards for ecological health and Resource Advisory Council (States of California Resource Advisory Council guidelines for grazing. Oregon, Washington, and Idaho), and (State of California); Lower Snake Council members are representative of Southeast Oregon Resource Advisory Resource Advisory Council, Upper various industries and interests Council (State of Oregon); and Utah Snake Resource Advisory Council, and concerned with the management, Resource Advisory Council (State of Upper Columbia-Salmon Clearwater protection, and utilization of the public Utah) are necessary and in the public Resource Advisory Council (State of lands. These include (a) holders of interest in connection with the Idaho); Western Montana (formerly Federal grazing permits and Butte) Resource Advisory Council, Secretary’s responsibilities to manage representatives of energy and mining the lands, resources, and facilities Dakotas Resource Advisory Council development, the timber industry, (States of North Dakota and South administered by the Bureau of Land rights-of-way interests, off-road vehicle Management. Dakota), Central Montana (formerly use, and commercial recreation; (b) Lewistown) Resource Advisory Council, representatives of nationally or Dated: September 20, 1999. and Eastern Montana (formerly Miles regionally recognized environmental Bruce Babbitt, City) Resource Advisory Council (State organizations, archaeological and Secretary of the Interior. of Montana); Northeastern Great Basin historic interests, dispersed recreation, [FR Doc. 99–25826 Filed 10–4–99; 8:45 am] Resource Advisory Council, Mojave- and wild horse and burro groups; and BILLING CODE 4310±84±P Southern Great Basin Resource (c) representatives of State, county, and Advisory Council, and Sierra Front- local government, employees of a State Northwestern Great Basin Resource agency responsible for management of DEPARTMENT OF THE INTERIOR Advisory Council (State of Nevada); natural resources, Native American New Mexico Resource Advisory Council tribes, academia involved with natural Fish and Wildlife Service (State of New Mexico); Eastern sciences, and the public-at-large. Availability of Draft Environmental Washington Resource Advisory Council, Membership will include individuals Assessment and Habitat Conservation John-Day Snake Resource Advisory who have expertise, education, training, Plan and Receipt of an Application for Council (States of Oregon, Washington, or practical experience in the planning and Idaho), and Southeast Oregon and management of the public lands an Incidental Take Permit for Resource Advisory Council (State of and their resources and who have a Construction of an Office Park and Oregon); and Utah Resource Advisory knowledge of the geographical Business Center, Castle Rock, CO Council (State of Utah) by the Secretary jurisdiction(s) of the Councils. AGENCY: Fish and Wildlife Service, of the Interior (Secretary) in accordance FOR FURTHER INFORMATION CONTACT: Interior. with the provisions of the Federal Melanie Wilson, Intergovernmental ACTION: Notice of availability and Advisory Committee Act (FACA) of Affairs (640), Bureau of Land receipt of application. 1972, 5 U.S.C. Appendix. The Secretary Management, 1620 L Street, NW, Room has determined the Councils are 406 LS, Washington, DC 20240, SUMMARY: Robert L. Heir and H.R. necessary and in the public interest. telephone (202) 452–0377. Gannon have applied to the Fish and Copies of the Council charters will be Wildlife Service for an incidental take filed with the appropriate committees of Certification Statement permit pursuant to section 10(a)(1)(B) of Congress and the Library of Congress in I hereby certify the renewal of the the Endangered Species Act of 1973, as accordance with Section 9(c) of FACA. Alaska Resource Advisory Council amended. The applicant has been The Federal Land Policy and (State of Alaska); Arizona Resource assigned permit number TE–017353. Management Act, as amended, requires Advisory Council (State of Arizona); The permit would authorize the the Secretary to establish advisory Central California Resource Advisory incidental take of the Preble’s meadow councils to provide advice concerning Council, Northeastern California jumping mouse (Zapus hudsonius the problems relating to land use Resource Advisory Council, and preblei), federally listed as threatened, planning and the management of public Northwestern California Resource and loss and modification of its habitat lands within the area for which the Advisory Council (State of California); associated with construction and use of advisory councils are established. The Lower Snake Resource Advisory Brookside Office Park and Brookside Councils will provide representative Council, Upper Snake Resource Business Center. The permit would
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.136 pfrm08 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54053 cover disturbances to areas at the Office The Brookside Office Park and following 6 years, or until success is Park and Business Center subsequent to Brookside Business Center are located achieved if longer than 6 years. Success May 13, 1998, the date of the listing of in portions of Sections 11, 14, 15, and will be measured by the use of photo the Preble’s mouse as a threatened 23 of Township 8 South, Range 67 West, points analysis in each mitigation unit. species, including disturbances that Town of Castle Rock, Douglas County, The Applicants will be responsible for occur prior to the date of issuance of the State of Colorado. The projects will replanting if success is not achieved by Proposed Permit, and it would be in disturb a total of 7.28 acres of ground the end of the first 5-year period. The effect for 11 years from the date of undisturbed as of the Listing Date that Applicants are committed to provide the issuance. may result in incidental take. necessary funding to support the We announce the receipt of the Completion of the Office Park project mitigation. The Applicants will place applicants’ incidental take permit will impact 1.15 acres. The remaining the necessary funds into an escrow or application that includes a combined 6.13 acres, yet to be disturbed, will be similar type account that will limit use proposed Habitat Conservation Plan at the Business Center site. Both sites of the funds for mitigation activities. (HCP) and Environmental Assessment will impact upland areas only. This notice is provided pursuant to (EA) for the Preble’s meadow jumping Alternatives considered in addition to section 10(c) of the Act. We will mouse for the Brookside Office Park and the Proposed Action, were an alternate evaluate the permit application, the Brookside Busines Center. The proposed site location, alternate site design, and Plan, and comments submitted therein HCP/EA is available for public no action. None of these alternatives to determine whether the application comment. It fully describes the eliminated potential take of Preble’s. meets the requirements of section 10(a) proposed project and the measures the The onsite, offsite, and cumulative of the Act. If it is determined that those applicants would undertake to impacts of the Projects and all requirements are met, a permit will be minimize and mitigate project impacts associated development and issued for the incidental take of the to the Preble’s meadow jumping mouse. construction activities and mitigation Preble’s meadow jumping mouse in DATES: Written comments on the permit activities proposed by the HCP will conjunction with the construction and application, Habitat Conservation Plan, have no significant impact on the use of the Brookside Office Park and and Environmental Assessment should Preble’s mouse, other threatened or Brookside Business Center. The final be received on or before November 4, endangered species, vegetation, wildlife, permit decision will be made no sooner 1999. wetlands, geology/soils, land use, water than November 4, 1999. resources, air and water quality, or ADDRESSES: Comments regarding the cultural resources. The Projects will Authority: The authority for this action is permit application and HCP/EA should only disturb upland areas which are less the Endangered Species Act of 1973, as be addressed to LeRoy, Carlson, Field amended (16 U.S.C. 1531 et seq.) and the biologically productive and include less National Environmental Policy Act of 1969, Supervisor, U.S. Fish and Wildlife significant potential Preble’s mouse Service, Colorado Field Office, 755 as amended (42 U.S.C. 4321 et seq.). habitat than the riparian and ecotone Dated: September 22, 1999. Parfet Street, Suite 361, Lakewood, areas undisturbed by the projects and Terry Terrell, Colorado 80215. the focus of the mitigation activities. FOR FURTHER INFORMATION CONTACT: Ms. The mitigation will likely provide a net Deputy Regional Director, Fish and Wildlife Kathleen Linder, Fish and Wildlife benefit to the Preble’s mouse and other Service, Denver, Colorado. Biologist, Colorado Field Office, wildlife by benefitting the more [FR Doc. 99–25534 Filed 10–4–99; 8:45 am] telephone (303) 275–2370. productive riparian and ecotone areas, BILLING CODE 4310±55±M SUPPLEMENTARY INFORMATION: which have more potential as habitat, more than the negative impacts of the Document Availability disturbance of the upland areas on DEPARTMENT OF THE INTERIOR Individuals wishing copies of the potential habitat areas. Bureau of Land Management HCP/EA and associated documents for Only one federally listed species, the review should immediately contact the threatened Preble’s meadow jumping [UT±040±930±1210±00] above office. Documents also will be mouse, occurs on site and has the available for public inspection, by potential to be adversely affected by the Notice of Closure of Public Lands; appointment, during normal business project. To mitigate impacts that may Utah hours at the Lakewood, Colorado field result from incidental take, the HCP office (see ADDRESSES above). provides that mitigation for the Office AGENCY: Bureau of Land Management, Park will be 0.69 acres of restoration Interior. Background and 5.19 acres of enhancement. ACTION: Notice of a temporary closure to Section 9 of the Act and Federal Mitigation for the Business Center will off highway vehicle use in the Spring regulation prohibit the ‘‘take’’ of a be 18.39 acres of enhancement. All of Creek Canyon Wilderness Study Area. species listed as endangered or the proposed mitigation area is within threatened. Take is defined under the the boundaries of the Property, all of SUMMARY: This notice closes to off Act, in part, as to kill, harm, or harass which is included in the drainage basin highway vehicle (OHV) use a federally listed species. However, the of East Plum Creek. The mitigation will approximately 4400 acres of the Spring Service may issue permits to authorize focus on planting of willows and grasses Creek Canyon Wilderness Study Area ‘‘incidental take’’ of listed species under in five units on the property. Russian (WSA). An area within the WSA that limited circumstances. Incidental Take knapweed, a noxious weed, would be will remain open to vehicle use is the is defined under the Act as take of a removed as part of the plan. existing way into Kanarra Creek. listed species that is incidental to, and Success of mitigation efforts will be Signing and a physical barrier in Spring not the purpose of, the carrying out of defined as 70 percent survival and Creek Canyon will be used as necessary an otherwise lawful activity under establishment of plantings, and it will to facilitate this action. The authority for limited circumstances. Regulations be monitored annually in the summer this action is 43 CFR 8341.2. governing permits for threatened species by the Applicants for the first 5-year DATES: This closure will begin are promulgated in 50 CFR 17.32. period and every 2 years for the immediately and remain in effect
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.026 pfrm08 PsN: 05OCN1 54054 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices indefinitely or until action is taken to under an Invitation For Exchange (IFE), through about 75 facility measurement complete a permanent closure. Number MMS–RIK–2000–GOMR–001. points (FMP’s) on five pipeline systems. ADDRESSES: Copies of maps are available DATES: The IFE will be posted on MMS’s Purchasers may bid on production at the Bureau of Land Management Internet Home Page on or about October from individual properties and/or on (BLM), Cedar City Field Office, 176 East 8, 1999. Bids will be due to MMS, at the groups of properties. Under the terms of DL Sargent Drive, Cedar City, Utah posted receipt location, on or about the offer, successful bidders would take 84720 and BLM Utah State Office, 324 October 22, 1999. MMS will notify the royalty gas from specified properties South State Street, P.O. Box 45155, Salt successful bidders on or about October and locations near the lease and, in Lake City, Utah 84145–0155. 29, 1999. The Federal Government will return, deliver natural gas in equivalent FOR FURTHER INFORMATION CONTACT: begin actual taking of awarded royalty amounts and qualities to a specified Craig Egerton, Cedar City Field Office, at gas volumes for delivery to successful location. Bids will be due as specified (435) 586–2401. bidders for a 4-month period beginning in the IFE on October 22, 1999; on December 1, 1999. A preliminary list successful bidders will be notified on or SUPPLEMENTARY INFORMATION: The 4433 about October 29, 1999. acre Spring Creek Canyon WSA was of properties from which MMS is considering taking royalty gas was The following are some of the established in 1980. additional details regarding the offering The WSA is currently designated as posted September 27, 1999, on MMS’s Internet Home Page. that will be posted in the IFE on or open to OHV use as documented in the about October 8, 1999. Off Road Vehicle Designation and ADDRESSES: The IFE will be posted on • List of specific properties; Implementation Plan (OHV Plan) for MMS’s Home Page at http:// • For each property—FMP location Beaver River Resource Area completed www.mms.gov under the icon ‘‘What’s and identification number, average daily in 1987. The OHV plan also prescribes New.’’ The IFE may also be obtained by royalty volume, quality, current that BLM monitor ongoing (OHV) contacting Mr. Michael Del-Colle at the operator; and other pipeline activity and, if necessary, adjust the address in the FURTHER INFORMATION information. time, location, or quantity of use. The section. Bids should be submitted to the • Bid basis; Interim Management Policy for WSA’s address provided in the IFE. • Reporting requirements; restricts vehicle travel to existing ways FOR FURTHER INFORMATION CONTACT: For • Terms and conditions; and present at the time of WSA designation additional information on MMS’s RIK • Contract format. to prevent impairment of areas with pilots, contact.Mr. Bonn J. Macy, Information on the internet posting wilderness characteristics. The Spring Minerals Management Service, 1849 C and availability of the IFE in hard copy Creek Canyon WSA has received Street, N.W., MS–4230, Washington are being made available to oil and gas considerable increase in OHV use, D.C. 20240; telephone number (202) trade journals as well as in this Federal extending of OHV routes, and 208–3827; fax (202) 208–3918; e-mail Register notice. impairment of wilderness character [email protected]. For additional Dated: September 29, 1999. since designation of this WSA. Further, information concerning the IFE Walter D. Cruickshank, a recent action of bulldozing in Spring document, terms, and process for Creek Canyon has occurred which has Associate Director for Policy and Federal leases, contact Mr. Michael Del- Management Improvement. caused further impairment. Therefore, Colle, Minerals Management Service, [FR Doc. 99–25830 Filed 10–4–99; 8:45 am] BLM is temporarily closing to OHV use MS–2510, 381 Elden Street, Herndon, BILLING CODE 4310±MR±P the area as described above. VA 20170–4817; telephone number Dated: September 23, 1999. (703) 787–1375; fax (703) 787–1009; e- mail [email protected]. Craig Egerton, DEPARTMENT OF JUSTICE Acting District Manager. SUPPLEMENTARY INFORMATION: This [FR Doc. 99–25483 Filed 10–4–99; 8:45 am] offering of natural gas in the IFE begins Immigration and Naturalization Service BILLING CODE 4310±DQ±M the third of MMS’s three planned RIK pilots and will involve Federal Agency Information Collection properties in the Gulf of Mexico Region Activities: Proposed Collection; DEPARTMENT OF THE INTERIOR (GOMR). The first Pilot involved crude Comment Request oil from Federal and State of Wyoming Minerals Management Service ACTION: Notice of Information Collection properties in Wyoming and the second under Review: Application to Preserve was limited to Federal properties in the Announcement of Posting of Invitation Residence for Naturalization. 8(g) zone of the GOMR, offshore of for Exchange of Natural Gas From Texas. MMS’s objective in this third Federal Properties in the Gulf of The Department of Justice, pilot, as in all its pilots, is to identify Mexico Immigration and Naturalization Service the circumstances in which taking oil (INS) has submitted the following AGENCY: Minerals Management Service, and gas royalties as a share of information collection request to the Interior. production (RIK) is a viable alternative Office of Management and Budget ACTION: Notice of invitation for to its usual practice of collecting oil and (OMB) for review and clearance in exchange of Federal royalty gas. gas royalties as a share of the value accordance with the Paperwork received by the lessee for sale of the Reduction Act of 1995. The information SUMMARY: The Minerals Management production. This third pilot is expected collection was previously published in Service will post on MMS’s Internet to last 2 to 3 years. the Federal Register on August 17, 1999 Home Page, and make available in hard This IFE will offer approximately 260 at 64 FR 44748, allowing for a 60-day copy, a public competitive offering of million cubic feet per day of natural gas public comment period. No comments approximately 260 million cubic feet from about 146 Federal properties were received by the INS on this per day of natural gas, to be taken as located in the High Island, East and proposed information collection. royalty-in-kind from Federal properties West Cameron, and Sabine Pass areas of The purpose of this notice is to allow in the Gulf of Mexico Region (GOMR) the GOMR. The royalty gas flows an additional 30 days for public
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DATE AND TIME: The meeting will be held notice, especially regarding the If you have additional comments, on Tuesday, October 19, 1999, from 10 estimated public burden and associated suggestions, or need a copy of the a.m.–12 p.m.. response time, should be directed to the proposed information collection Office of Management and Budget, instrument with instructions, or ADDRESSES: The meeting will be held at Office of Information and Regulatory additional information, please contact the Immigration and Naturalization Affairs, Attention: Stuart Shapiro, Richard A. Sloan 202–514–3291, Service Headquarters, 425 I Street NW., Department of Justice Desk Officer, Director, Policy Directives and Washington, DC 20536, Shaughnessy Room 10235, Washington, DC 20530; Instructions Branch, Immigration and Room, 6th floor Conference Room. Naturalization Service, U.S. Department 202–395–7316. FOR FURTHER INFORMATION CONTACT: Written comments and suggestions of Justice, Room 5307, 425 I Street, NW., Service contact: Sally Goya, Office of from the public and affected agencies Washington, DC 20536. Additionally, Policy and Planning, Immigration and concerning the proposed collection of comments and/or suggestions regarding Naturalization Service, 425 I Street NW., information should address one or more the item(s) contained in this notice, Washington, DC 20536, Telephone: of the following four points: especially regarding the estimated (202) 616–0543. Research contact: Dr. (1) Evaluate whether the proposed public burden and associated response Carolyn F. Shettle, Temple University/ collection of information is necessary time may also be directed to Mr. Institute for Survey Research, 4646 40th for the proper performance of the Richard A. Sloan. Street NW., Washington, DC 20016. functions of the agency, including If additional information is required Telephone: (202) 537–6700 Fax: (202) whether the information will have contact: Mr. Robert B. Briggs, Clearance 537–6873. E–mail: [email protected]. practical utility; Officer, United States Department of (2) Evaluate the accuracy of the Justice, Information Management and SUPPLEMENTARY INFORMATION: The Basic agencies estimate of the burden of the Security Staff, Justice Management Pilot was established by the Service in proposed collection of information, Division, Suite 850, Washington Center, response to section 403 of the IIRIRA. including the validity of the 1001 G Street, NW, Washington, DC The Basic Pilot is a free employment methodology and assumptions used; 20530. eligibility confirmation system operated (3) Enhance the quality, utility, and Dated: September 29, 1999. by this Service and the Social Security clarity of the information to be Richard A. Sloan, Administration to test a method of collected; and providing effective, nondiscriminatory (4) Minimize the burden of the Department Clearance Officer, United States Department of Justice, Immigration and employment eligibility verification. The collection of information on those who Naturalization Service. Basic Pilot will allow participating are to respond, including through the [FR Doc. 99–25762 Filed 10–4–99; 8:45 am] employers to confirm the employment use of appropriate automated, BILLING CODE 4410±18±M eligibility of their newly hired electronic, mechanical, or other employees and help maintain a stable, technological collection techniques or legal workforce. The evaluation, which other forms of information technology, DEPARTMENT OF JUSTICE was also mandated by the IIRIRA, is e.g., permitting electronic submission of being conducted by two independent responses. Immigration and Naturalization Service contractors, Temple University’s Overview of This Information [INS No. 2025±99] Institute for Survey Research and the Collection Westat Corporation. Announcement of a Meeting on the Summary of Agenda (1) Type of Information Collection: Status of the Evaluation of the Extension of currently approved Employment Verification Pilots • Introductions collection. • (2) Title of the Form/Collection: AGENCY: Immigration and Naturalization Overview of the Basic Pilot Program Application to Preserve residence for Service, Justice. • Overview of the evaluation goals Naturalization. ACTION: Notice of meeting. • Presentation of the proposed (3) Agency form number, if any, and methodological approach for collecting SUMMARY: the applicable component of the On September 15, 1997, the data on the Basic Pilot Program Department of Justice sponsoring the Immigration and Naturalization Service • Presentation of analysis collection: Form N–470. Adjudications (Service) published a notice in the • Division, Immigration and Federal Register describing pilot Questions and comments Naturalization Service. programs that are required by section Public Participation (4) Affected public who will be asked 403 of the Illegal Immigration Reform or required to respond, as well as brief and Immigrant Responsibility Act of The meeting is open to the public, but abstract: Primary: Individuals or 1996 (IIRIRA). The pilots include: (1) advance notice of attendance is Households. The information will be The Basic Pilot—requiring participating requested to ensure adequate seating. used to determine whether an alien who employers to verify employment Persons planning to attend should intends to be absent from United States authorization for all new employees, notify Dr. Shettle at least 5 days prior to for a period of one year or more is regardless of citizenship; (2) the Citizen the meeting. Members of the public may eligible to preserve residence for Attestation Pilot; and (3) the Machine- pose questions or make comments naturalization purposes. Readable Document Pilot. The purpose during the meeting; however, written (5) An estimate of the total number of of this notice is to announce to questions submitted in advance would respondents and the amount of time interested members of the public a be appreciated.
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Dated: September 29, 1999. Frequency: Annually. Employment Standards Administration Doris Meissner, Affected Public: Businesses or other is soliciting comments concerning the Commissioner, Immigration and for-profit; Not for-profit institutions; proposed new information collection of Naturalization Service. State, Local or Tribal Government. The Office of Federal Contract [FR Doc. 99–25763 Filed 10–4–99; 8:45 am] Number of Respondents: 89,807. Compliance Programs’ Equal BILLING CODE 4410±10±M Estimated Time Per respondent: Opportunity Survey. A copy of the Recordkeeping—Initial Development proposed information collection request of AAP: 179.46. can be obtained by contacting the office Recordkeeping—Annual Update of DEPARTMENT OF LABOR listed below in the addressee section of AAP: 74,889. this Notice. Office of the Secretary Recordkeeping—Maintenance of AAP: DATES: Written comments must be 74,889. submitted to the office listed in the Submission for OMB Review; Recordkeeping—Uniform Guidelines addressee section on or before December Comment Request on Employee Selection Procedures: 6, 1999. 2.18. ADDRESSEE: September 29, 1999. Reporting—SF 100: 3.7. Ms. Patricia A. Forkel, U.S. The Department of Labor (DOL) has Reporting—Scheduling Letter: 4.5. Department of Labor, 200 Constitution Ave., N.W., Room S–3201, Washington, submitted the following public Reporting—Compliance Check Letter: D.C. 20210, telephone (202) 693–0339 information collection requests (ICRs) to .4. (this is not a toll-free number), fax (202) the Office of Management and Budget Total Burden Hours: 13,701,349. 693–1451. (OMB) for review and approval in Total Annualized capital/startup accordance with the Paperwork costs: $0. SUPPLEMENTARY INFORMATION: Total annual costs (operating/ Reduction Act of 1995 (Pub. L. 104–13, I. Background 44 U.S.C. chapter 35). A copy of each maintaining systems or purchasing services): $0. Government contractors provide individual ICR, with applicable information on their personnel activities supporting documentation, may be Description: Recordkeeping and reporting obligations incurred by and the results of their affirmative obtained by calling the Department of efforts to employ and promote Labor, Departmental Clearance Officer, Federal contractors under E.O. 11246, { } Section 503 of the Rehabilitation Act of minorities and women. This Ira Mills ( 202 219–5096 ext. 143) or by information is used to select specifically E-Mail to [email protected]. 1973, and affirmative action provisions of the Vietnam Era Veterans’ identified contractors for compliance Comments should be send to Office of evaluations and technical assistance. Information and Regulatory Affairs, Readjustment Assistance Act, 38 U.S.C. 4212, are necessary to substantiate This requirement has been established Attn: OMB Desk Officer For BLS, DM, under Executive Order 11246, as ESA, ETA, MSHA, OSHA, PWBA, or compliance with nondiscrimination and affirmative action requirement enforced amended; Section 503 of the VETS, Office of Management and Rehabilitation Act of 1973, as amended, Budget, Room 10235, Washington, DC by OFCCP. { } Ira L. Mills, and the Vietnam Era Veterans’ 20503 ( 202 395–7315), within 30 days Readjustment Assistance Act of 1974, as Department Clearance Officer. from the date of this publication in the amended, 38 USC 4212, and OFCCP’s Federal Register. [FR Doc. 99–25812 Filed 10–4–99; 8:45 am] implementing regulations at 41 CFR The OMB is particularly interested in BILLING CODE 4510±27±M (Code of Federal Regulations) Chapter comments which: 60. • Evaluate whether the proposed collection of information is necessary DEPARTMENT OF LABOR II. Review Focus for the proper performance of the The Department of Labor is Employment Standards Administration functions of the agency, including particularly interested in comments whether the information will have Proposed Collection; Comment which: practical utility; • Request evaluate whether the proposed • Evaluate the accuracy of the collection of information is necessary agency’s estimate of the burden of the ACTION: Notice. for the proper performance of the proopsed collection of information, functions of the agency, including including the validity of the SUMMARY: The Department of Labor, as whether the information will have methodology and assumptions used; part of its continuing effort to reduce practical utility; • Enhance the quality, utility, and paperwork and respondent burden, • evaluate the accuracy of the clarity of the information to be conducts a preclearance consultation agency’s estimate of the burden of the collected; and program to provide the general public proposed collection of information, • Minimize the burden of the and Federal agencies with an including the validity of the collection of information on those who opportunity to comment on proposed methodology and assumptions used; are to respond, including through the and/or continuing collections of • enhance the quality, utility and use of appropriate automated, information in accordance with the clarity of the information to be electronic, mechanical, or other Paperwork Reduction Act of 1995 collected; and technological collection techniques or (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This • minimize the burden of the other forms of information technology, program helps to ensure that requested collection of information on those who e.g., permitting electronic submission of data can be provided in the desired are to respond, including through the responses. format, reporting burden (time and use of appropriate automated, Agency: Employment Standards financial resources) is minimized, electronic, mechanical, or other Administration. collection instruments are clearly technological collection techniques or Title: OFCCP Recordkeeping and understood, and the impact of collection other forms of information technology, Reporting Requirements. requirements on respondents can be e.g., permitting electronic submissions OMB Number: 1215–0072. properly assessed. Currently, the of responses.
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III. Current Actions of the Bureau of Labor Statistics These surveys will be mailed in late FY The Department of Labor is Behavioral Science Research Center. 2000, and will be used to select developing an Equal Opportunity This assures that the definitions and establishments for compliance Survey in order to improve its instructions are clearly written and can evaluations during FY 2001. Thereafter implementation of the laws enforced by be readily understood. Suggestions for OFCCP intends to survey contractors on OFCCP: Executive Order 11246, as improving the clarity of the form have an annual basis. amended; Section 503 of the been incorporated into the current Type of Review: New Collection. version. This part of the process began Agency: Employment Standards Rehabilitation Act of 1973, as amended; in August 1999 and was completed in Administration. and the affirmative action provisions of September 1999. Title: Equal Opportunity Survey. the Vietnam Era Veterans’ Readjustment Between October 1999 and January Affected Public: Businesses or other Assistance Act of 1974, as amended, 38 2000 the Department will field test the for-profit; Not-for-profit institutions; U.S.C. 4212. The three-part survey, as survey instrument. This field test, State, Local or Tribal Government. currently envisioned, would collect conducted on a voluntary basis, will be Total Respondents: 60,000. general information on the status of the designed to test the procedures used Frequency: Annually. federal contractor’s affirmative action when the survey is implemented and Total Responses: 60,000. plan and aggregated personnel and will include a follow-up component for Estimated Time Per Response: 12 compensation data, with a breakdown both respondents and nonrespondents. hours. by gender and minority status. The field test will be conducted by Estimated Total Burden Hours: Each year, OFCCP will collect survey OFCCP with the assistance of BLS. 720,000. data from federal contractors who are Following the field test, appropriate Total Burden Cost (capital/startup): 0. subject to the laws enforced by the revisions will be made to the survey Total Burden Cost (operating/ agency. DOL’s goals for the survey are: instrument. The final report of the maintenance): $60,000. to increase compliance with equal results of the field test and the survey Comments submitted in response to employment opportunity requirements in final form will be included with the this notice will be summarized and/or by improving contractor self-awareness; final ICR submission to OMB in January included in the request for Office of to improve the deployment of scarce 2000. Management and Budget approval of the federal government resources toward information collection request; they will contractors more likely than not to be in Phase II—Survey also become a matter of public record. noncompliance; and to increase agency At this time OFCCP intends to send Dated: September 30, 1999. efficiency by building on the tiered- the survey to contractor establishments Margaret J. Sherrill, review process already accomplished by that are ‘‘flagged’’ by OFCCP’s Equal OFCCP’s regulatory reform efforts, Chief, Branch of Management Review and Employment Data System (EEDS) as Internal Control, Division of Financial thereby allowing better resource being potentially out of compliance Management, Office of Management, allocation. with Executive Order 11246. An initial Administration and Planning, Employment In consultation with the Office of mailing of the survey will be made to Standards Administration. Management and Budget (OMB), DOL respondents selected from those [FR Doc. 99–25811 Filed 10–4–99; 8:45 am] has developed a plan for phasing in the establishments that were flagged in BILLING CODE 4510±27±P implementation of the Equal 1999. Approximately 7,000 of the Opportunity Survey. As part of the flagged establishments will be surveyed developmental process, the instrument in April 2000. This number was chosen NUCLEAR REGULATORY first is being tested using procedures to provide a sufficient sample to test the COMMISSION established by the Bureau of Labor data intake and processing procedures. Statistics to assure that it is structured Flagged establishments will be selected Advisory Committee on the Medical in a manner that respondents for the survey based on geographic Uses of Isotopes: Meeting Notice understand and that the data OFCCP is location and size. seeking are readily available. The survey data from the initial AGENCY: U.S. Nuclear Regulatory Once the survey development process mailing will be processed and analyzed Commission. has been completed, the survey will be and the results used to identify ACTION: Notice of meeting. phased in using two mailings in FY establishments for compliance 2000. The phase-in process will allow evaluations. The analytical model will SUMMARY: The U.S. Nuclear Regulatory updating of the flagged contractor list result in a ranking of contractors based Commission (NRC) will convene a with the new EEO–1 data expected in on the nature and number of adverse meeting of the Advisory Committee on the summer of 2000. It will also permit indicators. Compliance evaluations will the Medical Uses of Isotopes (ACMUI) modifications to be made to data be scheduled beginning with those on October 20, 1999. The meeting will processing procedures to assure timely establishments with the highest take place at the address provided processing. rankings on the indicator scale. As part below. All sessions of the meeting will of the compliance evaluation process, be open to the public. Topics of Phase I—Survey Instrument survey responses will be validated for a discussion will include: (1) the revision Development sample of establishments to assure that of the NRC’s medical regulations, in During this phase the survey accurate data are being submitted. preparation for the Committee’s instrument will be put in final form and Establishments where compliance participation in the October 21, 1999, tested for clarity; the analytical model evaluations are not initiated may be Commission briefing on 10 CFR Part 35 will be developed; and, initial notified of areas that require additional (64 FR 44965); and (2) the Committee’s consultation with an outside contractor self-analysis. self-review, using the criteria previously on survey processing procedures will The second mailing will be sent to the developed to evaluate the performance take place. flagged establishments that were not of the Committee. The draft survey instrument has been previously surveyed in the first mailing DATES: The meeting will be held from 2 tested and evaluated using the facilities (i.e., about 53,000 establishments). to 5 p.m. on October 20, 1999.
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ADDRESSES: U.S. Nuclear Regulatory Exchange Act of 1934 (‘‘Act’’) and Rule For the Commission, by the Division of Commission, Two White Flint North, 12d2–2(d) promulgated thereunder, to Market Regulation, pursuant to delegated 11545 Rockville Pike, Room T2B3, withdraw the security specified above authority. Rockville, MD 20852–2738. (‘‘Security’’) from listing and Jonathan G. Katz, FOR FURTHER INFORMATION CONTACT: registration on the American Stock Secretary. Diane Flack, U.S. Nuclear Regulatory Exchange LLC (‘‘Amex’’ or ‘‘Exchange’’). [FR Doc. 99–25828 Filed 10–4–99; 8:45 am] Commission, Office of Nuclear Material The Security has been listed for BILLING CODE 8010±01±M Safety and Safeguards, Mail Stop T–9– trading on the Amex and, pursuant to a F31, Washington DC 20555, Telephone Registration Statement filed with the (301) 415–5681. SECURITIES AND EXCHANGE Commission on Form 8–A, became COMMISSION Conduct of the Meeting designated for quotation on the Nasdaq Stock Market, Inc. (‘‘Nasdaq’’) on Investment Company Act Release No. Manuel D. Cerqueira, M.D., will chair September 17, 1999. Trading in the 24060; 812±11740] the meeting. Dr. Cerqueira will conduct shares of the Security on the Nasdaq J.P. Morgan Securities Inc.; Notice of the meeting in a manner that will commenced at the opening of business Application facilitate the orderly conduct of on September 23, 1999. business. The following procedures apply to public participation in the In making the determination to September 29, 1999. meeting: transfer the trading of shares of its AGENCY: Securities and Exchange 1. Persons who wish to provide a Security from the Amex to the Nasdaq, Commission (‘‘SEC’’). written statement should submit a the Company, whose primary business ACTION: Notice of application for an reproducible copy to Diane Flack relates to technology, has stated its order under section 12(d)(1)(J) of the (address listed previously), by October belief that there exist greater potential Investment Company Act of 1940 (the 12, 1999. Statements must pertain to the benefits to its shareholders from trading ‘‘Act’’) for an exemption from section topics on the agenda for the meeting. on the Nasdaq. 12(d)(1) of the Act, under section 6(c) of 2. At the meeting, questions from The Company has complied with the the Act for an exception from section members of the public will be permitted rules of the Amex by filing with the 14(a) of that Act, and under section at the discretion of the Chairman. Exchange a certified copy of the 17(b) of the Act for an exemption from 3. The transcript and written preambles and resolutions adopted by section 17(a) of the Act. comments will be available for its Board of Directors authorizing the SUMMARY OF APPLICATION: J.P. Morgan inspection, and copying for a fee, at the withdrawal of the Security from listing Securities Inc. (‘‘J.P. Morgan’’) requests NRC Public Document Room, 2120 L on the Amex, and by setting forth in an order with respect to the MEDS trusts Street, NW, Lower Level, Washington detail to the Exchange the reasons and (‘‘MEDS Trusts’’) 1 and future trusts that DC 20555, telephone (202) 634–3273, on supporting facts for such proposed are substantially similar to the MEDS or about November 22, 1999. Minutes of withdrawal. The Amex has in turn Trusts and for which J.P. Morgan will the meeting will be available on or informed the Company that it would not serve as a principal underwriter about December 20, 1999. interpose any objection to the (collectively, the ‘‘Trusts’’) that would 4. Seating for the public will be on a Company’s application to withdraw its (i) permit other registered investment first-come, first-served basis. Security from listing and registration on companies, and companies excepted This meeting will be held in the Exchange. from the definition of investment accordance with the Atomic Energy Act company under section 3(c)(1) or (c)(7) of 1954, as amended (primarily Section The Company’s application relates of the Act, to own a greater percentage 161a); the Federal Advisory Committee solely to withdrawal of its Security from of the total outstanding voting stock (the Act (5 U.S.C. App); and the listing and registration on the Exchange ‘‘Securities’’) of any Trust than that Commission’s regulations in Title 10, and shall not affect the Security’s permitted by section 12(d)(1), (ii) U.S. Code of Federal Regulations, Part 7. designation for quotation on the Nasdaq. By reason of Section 12(g) of the Act exempt the Trusts from the initial net Dated: September 29, 1999. and the rules and regulations of the worth requirements of section 14(a), and Andrew L. Bates, Commission thereunder, the Company (iii) permit the trusts to purchase U.S. Advisory Committee Management Officer. shall continue to be obligated to file government securities from J.P. Morgan [FR Doc. 99–25796 Filed 10–4–99; 8:45 am] reports under Section 13 of the Act with at the time of a Trust’s initial issuance BILLING CODE 7590±01±P the Commission. of Securities. FILING DATES: The application was filed Any interested person may, on or on August 6, 1999. Applicants have before October 20, 1999, submit by letter agreed to file an amendment to the SECURITIES AND EXCHANGE to the Secretary of the Securities and COMMISSION application, the substance of which is Exchange Commission, 450 Fifth Street, reflected in this notice, during the Issuer Delisting; Notice of Application NW, Washington, DC 20549–0609, facts notice period. To Withdraw From Listing and bearing upon whether the application HEARING OR NOTIFICATION OF HEARING: An Registration; (HyperFeed has been made in accordance with the order granting the application will be Technologies, Inc., Common Stock, rules of the Exchange and what terms, issued unless the SEC orders a hearing. $.001 Par Value) File No. 1±11108 if any, should be imposed by the Interested persons may request a Commission for the protection of hearing by writing tot he SEC’s September 29, 1999. investors. The Commission, based on Secretary and serving J.P. Morgan with HyperFeed Technologies, Inc. the information submitted to it, will a copy of the request, personally or by (‘‘Company’’) has filed an application issue an order granting the application mail. Hearing request should be with the Securities and Exchange after the date mentioned above,unless Commission (‘‘Commission’’), pursuant the Commission determines to order a 1 ‘‘MEDS’’ is an acronym for Mandatory Enhanced to Section 12(d) of the Securities hearing on the matter. Dividend Securities.
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54059 received by the SEC by 5:30 p.m. on changes in the market value of the Securities of each Trust. Any such bank October 25, 1999, and should be underlying Shares. will have no other affiliation with, and accompanied by proof of service on J.P. 3. In all cases, the Shares will trade will not be engaged in any other Morgan, in the form of an affidavit, or, in the secondary market and the issuer transaction with, any Trust. The day-to- for lawyers, a certificate of service. of the Shares will be a reporting day administration of each Trust will be Hearing requests should state the nature company under the Securities Exchange carried out by J.P. Morgan or by the of the writer’s interest, the reason for the Act of 1934. The number of Shares, or bank. request, and the issues contested. the value of the Shares, that will be 6. The Trusts will be structured so Persons may request notification of a delivered to a Trust pursuant to the that the trustees are not authorized to hearing by writing to the SEC’s Contracts may be fixed (e.g., one Share sell the Contracts or Treasuries under Secretary. per Security issued) or may be any circumstances or only upon the ADDRESSES: Secretary, SEC 450 Fifth determined pursuant to a formula, the occurrence of certain events under a Street, N.W., Washington, D.C. 20549. product of which will vary with the Contract. The Trusts will hold the Applicant, 60 Wall Street, New York, price of the Shares. A formula generally Contracts until maturity or any earlier New York 10260. will result in each Holder of Securities acceleration, at which time they will be receiving fewer Shares as the market settled according to their terms. FOR FURTHER INFORMATION CONTACT: value of the Shares increases, and more However, in the event of the bankruptcy Bruce R. MacNeil, Staff Attorney, at Shares as their market value decreases.3 or insolvency of any counterparty to a (202) 942–0634, or Mary Kay Frech, At the termination of each Trust, each Contract with a Trust, or the occurrence Branch Chief, at (202) 942–0564 Holder will receive the number of of certain other events provided for in (Division of Investment Management, Shares per Security, or the value of the the Contract, the obligations of the Office of Investment Company Shares, as determined by the terms of counterparty under the Contract may be Regulation). the Contracts, that is equal to the accelerated and the available proceeds SUPPLEMENTARY INFORMATION: The Holder’s pro rata interest in the Shares of the Contract will be distributed to the following is a summary of the or amount received by the Trust under Holders. application. The complete application the Contracts.4 7. The trustees of each Trust will be may be obtained for a fee from the SEC’s 4. Securities issued by the Trusts will selected initially by J.P. Morgan, Public Reference Branch, 450 Fifth be listed on a national securities together with any other initial Holders, Street, N.W., Washington, D.C. 20549 exchange or traded on the Nasdaq or by the grantors of the Trust. The (tel. (202) 942–8090). National Market System. Thus, the Holders of each Trust will have the Securities will be ‘‘national market right, upon the declaration in writing or Applicant’s Representation system’’ securities subject to public vote of more than two-thirds of the 1. Each Trust will be a limited-life, price quotation and trade reporting outstanding Securities of the Trust, to grantor trust registered under the Act as requirements. After the Securities are remove a trustee. Holders will be a non-diversified, closed-end issued, the trading price of the entitled to a full vote for each Security management investment company. J.P. Securities is expected to vary from time hold on all matters to be voted on by Morgan will serve as a principal to time based primarily upon the price Holders and will not be able to underwriter (as defined in section of the underlying Shares, interest rates, cumulate their votes in the election of 2(a)(29) of the Act) of the Securities and other factors affecting conditions trustees. The investment objectives and issued to the public by each Trust. and prices in the debt and equity policies of each Trust may be changed 2. Each Trust will, at the time of its markets. J.P. Morgan currently intends, only with the approval of a ‘‘majority of issuance of Securities, (i) enter into one but will not be obligated, to make a the Trust’s outstanding Securities’’ 5 or or more forward purchase contracts (the market in the Securities of each Trust. any greater number required by the ‘‘Contracts’’) with a counterparty to 5. Each Trust will be internally Trustee’s constituent documents. Unless purchase a formulaically-determined managed by three trustees and will not Holders so request, it is not expected number of a specified equity security or have a separate investment adviser. The that the Trusts will hold any meetings securities (the ‘‘Shares’’) of one trustees will have limited or no power of Holders, or that Holders will ever specified issuer,2 and (ii) in some cases, to vary the investments held by each vote. purchase certain U.S. Treasury Trust. A bank or banks qualified to serve 8. The Trusts will not be entitled to securities (‘‘Treasuries’’), which may as a trustee under the Trust Indenture any rights with respect to the Shares include interest-only or principal-only Act of 1939, as amended, will act as until any Contracts requiring delivery of securities maturing at or prior to the custodian for each Trust’s assets and as the Shares to the Trust are settled, at Trust’s termination. The Trusts will administrator, paying agent, registrar, which time the Shares will be promptly purchase the Contracts from and transfer agent with respect to the distributed to Holders. The Holders, counterparties that are not affiliated therefore, will not be entitled to any with either the relevant Trust or J.P. 3 A formula is likely to limit the Holder’s rights with respect to the Shares participation in any appreciation of the underlying (including voting rights or the right to Morgan. The investment objective of Shares, and it may, in some cases, limit the Holder’s each Trust will be to provide to each exposure to any depreciation in the underlying receive any dividends or other holder of Securities (‘‘Holder’’) (i) Shares. It is anticipated that the Holders will distributions) until receipt by them of current cash distributions from the receive a yield greater than the ordinary dividend the Shares at the time the Trust is proceeds of any Treasuries, and (ii) yield on the Shares at the time of the issuance of liquidated. the Securities, which is intended to compensate 9. Each Trust’s organizational and participation in, or limited exposure to, Holders for the limit on the Holders’ participation in any appreciation of the underlying Shares. In ongoing expenses will not be borne by 2 Initially, no Trust will hold Contracts relating to some cases, there may be an upper limit on the the Shares of more than one issuer. However, if value of the Shares that a Holder will ultimately 5 A ‘‘majority of the Trust’s outstanding certain events specified in the Contracts occur, such receive. Securities’’ means the lesser of (i) 67% of the as the issuer of Shares spinning-off securities of 4 The contracts may provide for an option on the Securities represented at a meeting at which more another issuer to the holders of the Shares, the part of a counterparty to deliver Shares, cash, or a than 50% of the outstanding Securities are Trust may receive shares of more than one issuer combination of Shares and cash to the Trust at the represented, and (ii) more than 50% of the at the termination of the Contracts. termination of each Trust. outstanding Securities.
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.059 pfrm08 PsN: 05OCN1 54060 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices the Holders, but rather, directly or 3. J.P. Morgan states that, in order for limited ongoing fees and expenses indirectly, by J.P. Morgan, the the Trusts to be marketed most incurred by the Trusts and because counterparties, or another third party, as successfully, and to be treated at a price generally these fees and expenses will will be described in the prospectus for that most accurately reflects their value, be borne, directly or indirectly, by J.P. the relevant Trust. At the time of the it is necessary for the Securities of each Morgan or another third party, not by original issuance of the Securities of any Trust to be offered to large investment the Holders. In addition, the Holders Trust, there will be paid to each of the companies and investment company will not, as a practical matter, bear the administrator, the custodian, and the complexes. J.P. Morgan states that these organizational expenses (including paying agent, and to each trustee, a one- investors seek to spread the fixed costs underwriting expenses) of the Trusts. time amount in respect of such agent’s of analyzing specific investment J.P. Morgan asserts that the fee over its term. Any expenses of the opportunities by making sizable organizational expenses effectively will Trust in excess of this anticipated investments in those opportunities. be borne by the counterparties in the amount will be paid as incurred by a Conversely, J.P. Morgan asserts that it form of a discount in the price paid to party other than the Trust itself (which may not be economically rational for the them for the Contracts, or will be borne party may be J.P. Morgan). investors, or their advisers, to take the directly by J.P. Morgan, the 10. J.P. Morgan asserts that the time to review an investment counterparties, or other third parties. investment product offered by the opportunity if the amount that the Thus, a Holder will not pay duplicative Trusts serves a valid business purpose. investors would ultimately be permitted charges to purchase securities in any to purchase is immaterial in light of the Trust. Finally, there will be no The Trusts, unlike most registered total asserts of the investment company duplication of advisory fees because the investment companies, are not marketed or investment company complex. Trusts will be internally managed by to provide investors with either Therefore, J.P. Morgan argues that these their trustees. professional investment asset investors should be able to acquire management or the benefits of b. Section 14(a) Securities in each Trust in excess of the investment in a diversified pool of limitations imposed by sections 1. Section 14(a) of the Act requires, in assets. Rather, J.P. Morgan asserts that 12(d)(1)(A)(i) and 12(d)(1)(C). J.P. pertinent part, that an investment the Securities are intended to provide Morgan requests that the SEC issue an company have a net worth of at least Holders with an investment having order under section 12(d)(1)(J) $100,000 before making any public unique payment and risk characteristics, exempting the Trusts from the offering of its shares. The purpose of including an anticipated higher current limitations. section 14(a) is to ensure that yield than the ordinary dividend yield 4. J.P. Morgan states that section investment companies are adequately on the Shares at the time of the issuance 12(d)(1) was designed to prevent one capitalized prior to or simultaneously of the Securities. investment company from buying with the sale of their securities to the Applicant’s Legal Analysis control of other investment companies public. Rule 14a–3 exempts from and creating complicated pyramidal section 14(a) unit investment trusts A. Section 12(d)(1) structures. J.P. Morgan also state that (‘‘UITs’’) that meet certain conditions in recognition of the fact that, once the 1. Section 12(d)(1)(A)(i) of the Act section 12(d)(1) was intended to address units are sold, a UIT requires much less prohibits (i) any registered investment the laying of costs to investors. 5. J.P. Morgan asserts that the commitment on the part of the sponsor company from owning in the aggregate concerns about pyramiding and undue than does a management investment more than 3% of the total outstanding influence generally do not arise in the company. Rule 14a–3 provides that a voting stock of any other investment case of the Trusts because neither the UIT investing in eligible trust securities company, and (ii) any investment trustees nor the Holders will have the shall be exempt from the net worth company from owning in the aggregate power to vary the investments held by requirement, provided that the trust more than 3% of the total outstanding each Trust or to acquire or dispose of holds at least $100,000 of eligible trust voting stock of any registered the assets of the Trusts. To the extent securities at the commencement of a investment company. A company that is that Holders can change the public offering. excepted from the definition of composition of the board of trustees or 2. Section 6(c) of the Act provides that investment company under section the fundamental policies of each Trust the SEC may exempt persons or 3(c)(1) or (c)(7) of the Act is deemed to by vote, J.P. Morgan argues that any transactions if, and to the extent that, be an investment company for purposes concerns regarding undue influence will the exemption is necessary or of section 12(d)(1)(A)(i) of the Act under be eliminated by a provision in the appropriate in the public interest and sections 3(c)(1) and (c)(7)(D) of the Act. charter documents of the Trust that will consistent with the protection of Section 12(d)(1)(C) of the Act similarly require any investment companies investors and the purposes fairly prohibits any investment company, owning voting stock of any Trust in intended by the policy and provisions of other investment companies having the excess of the limits imposed by sections the Act. same investment adviser, and 12(d)(1)(i) and 12(d)(1)(C) to vote their 3. J.P. Morgan requests an order under companies controlled by such Securities in proportion to the votes of section 6(c) exempting the Trusts from investment companies from owning all other Holders. J.R. Morgan also states the requirements of section 14(a). J.P. more than 10% of the total outstanding that the concern about undue influence Morgan believes that the exemption is voting stock of any closed-end through a threat to redeem does not appropriate in the public interest and investment company. arise in the case of the Trusts because consistent with the protection of 2. Section 12(d)(1)(J) of the Act the Securities will not be redeemable. investors and the policies and provides that the SEC may exempt 6. Section 12(d)(1) also was designed provisions of the Act. J.P. Morgan persons or transactions from any to address the excessive costs and fees asserts that, while the Trusts are provision of section 12(d)(1), if, and to that may result from multiple layers of classified as management companies, the extent that, the exemption is investment companies. J.P. Morgan they have the characteristics of UITs. consistent with the public interest and states that these concerns do not arise in Investors in the Trusts, like investors in protection of investors. the case of the Trusts because of the a UIT, will not be purchasing interests
VerDate 25-SEP-99 18:09 Oct 04, 1999 Jkt 190007 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\05OCN1.XXX pfrm07 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54061 in a managed pool of securities, but purchases of Treasuries because (ii) will maintain and preserve for the rather in a fixed and disclosed portfolio Treasuries do not vary in quality and are longer of (a) the life of the Trusts and that is held until maturity. J.P. Morgan traded in one of the most liquid markets (b) six years following the purchase of believes therefore, that there is no need in the world. Treasuries are available any Treasuries, the first two years in an for an ongoing commitment on the part through both primary and secondary easily accessible place, a written record of the underwriter. dealers, making the Treasury market of all Treasuries purchased, whether or 4. J.P. Morgan states that, in order to very competitive. In addition, market not from J.P. Morgan, setting forth a ensure that each Trust will become a prices on Treasuries can be confirmed description of the Treasuries purchased, going concern, the Securities of each on a number of commercially available the identity of the seller, the terms of Trust will be publicly offered in a firm information screens. J.P. Morgan argues the purchase, and the information or commitment underwriting, registered that because it is one of a limited materials upon which the under the Securities Act of 1933, number of primary dealers in determinations described below were resulting in net proceeds to each Trust Treasuries, it will be able to offer the made. of at least $10,000,000. Prior to the Trusts prompt execution of their 4. The Treasuries to be purchased by issuance and delivery of the Securities Treasury purchases at very competitive each Trust will be sufficient to provide of each Trust to the underwriters, the prices. payments to Holders of Securities that underwriters will enter into an 4. J.P. Morgan states that it is only are consistent with the investment underwriting agreement pursuant to seeking relief from section 17(a) with objectives and policies of the Trust as which they will agree to purchase the respect to the initial purchase of the recited in the Trust’s registration Securities subject to customary Treasuries and not with respect to an statement and will be consistent with conditions to closing. The underwriters ongoing course of business. the interests of the Trust and the will not be entitled to purchase less Consequently, investors will know Holders of its Securities. than all of the Securities of each Trust. before they purchase a Trust’s Securities 5. The terms of the transactions will Accordingly, J.P. Morgan states that the Treasuries that will be owned by the be reasonable and fair to the Holders of either the offering will not be completed Trust and the amount of the cash the Securities issued by each Trust and at all or each Trust will have a net worth payments that will be provided will not involve overreaching of the substantially in excess of $100,000 on periodically by the Treasuries to the Trust or the Holders of Securities of the the date of the issuance of the Trust and distributed to Holders. J.P. Trust on the part of any person Securities. J.P. Morgan also does not Morgan also asserts that whatever risk concerned. anticipate that the net worth of the there is of overpricing the Treasuries 6. The fee, spread, or other Trusts will fall below $100,000 before will be borne by the counterparties and remuneration to be received by J.P. they are terminated. not by the Holders because the cost of Morgan will be reasonable and fair the Treasuries will be calculated into C. Section 17(a) compared to the fee, spread, or other the amount paid on the Contracts. J.P. remuneration received by dealers in 1. Sections 17(a)(1) and (2) of the Act Morgan argues that, for this reason, the connection with comparable generally prohibit the principal counterparties will have a strong transactions at such time, and will underwriter, or any affiliated person of incentive to monitor the price paid for comply with section 17(e)(2)(C) of the the principal underwriter, of a the Treasuries, because any Act. registered investment company from overpayment could result in a reduction 7. Before any Treasuries are selling or purchasing any securities to or in the amount that they would be paid purchased by the Trust, the Trust must from that investment company. The on the Contracts. obtain such available market result of these provisions is to preclude Applicant’s Conditions information as it deems necessary to the Trusts from purchasing Treasuries determine that the price to be paid for, from J.P. Morgan. J.P. Morgan agrees that the order and the terms of, the transaction are at 2. Section 17(b) of the Act provides granting the requested relief will be least as favorable as that available from that the SEC shall exempt a proposed subject to the following conditions: other sources. This will include the transaction from section 17(a) if 1. Any investment company owning Trust obtaining and documenting the evidence establishes that the terms of voting stock of any Trust in excess of competitive indications with respect to the proposed transaction are reasonable the limits imposed by section 12(d)(1) of the specific proposed transaction from and fair and do not involve the Act will be required by the Trust’s two other independent government overreaching, and the proposed charter documents, or will undertake, to securities dealers. Competitive transaction is consistent with the vote its Trust shares in proportion to the quotation information must include policies of the registered investment vote of all other Holders. price and settlement terms. These company involved and the purposes of 2. The trustees of each Trust, dealers must be those who, in the the Act. J.P. Morgan requests an including a majority of the trustees who experience of the Trust’s trustees, have exemption from sections 1(a)(1) and (2) are not interested persons of the Trust, demonstrated the consistent ability to to permit the Trusts to purchase (i) will adopt procedures that are provide professional execution of Treasuries from J.P. Morgan. reasonably designed to provide that the Treasury transactions at competitive 3. J.P. Morgan states that the policy conditions set forth below have been market prices. They also must be those rationale underlying section 17(a) is the complied with; (ii) will make and who are in a position to quote favorable concern that an affiliated person of an approve such changes as are deemed prices. investment company, by virtue of this necessary; and (iii) will determine that relationship, could cause the investment the transactions made pursuant to the For the SEC, by the Division of Investment company to purchase securities of poor order were effected in compliance with Management, pursuant to delegated authority. quality from the affiliated person or to such procedures. overpay for securities. J.P. Morgan 3. The Trusts (i) will maintain and Margaret H. McFarland, argues that it is unlikely that it would preserve in an easily accessible place a Deputy Secretary. be able to exercise any adverse written copy of the procedures (and any [FR Doc. 99–25827 Filed 10–4–99; 8:45 am] influence over the Trusts with respect to modifications to the procedures), and BILLING CODE 8010±01±M
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SMALL BUSINESS ADMINISTRATION submit proposed reporting and SOCIAL SECURITY ADMINISTRATION recordkeeping requirements to OMB for Reporting and Recordkeeping review and approval, and to publish a Agency Information Collection Requirements Under OMB Review notice in the Federal Register notifying Activities: Proposed Request and the public that the agency has made Comment Request AGENCY: Small Business Administration. such a submission. ACTION: Notice of reporting requirements In compliance with Pub. L. 104–13, submitted for OMB review. DATES: Submit comments on or before the Paperwork Reduction Act of 1995, November 4, 1999. If you intend to SSA is providing notice of its SUMMARY: Under the provisions of the comment but cannot prepare comments information collections that require Paperwork Reduction Act (44 U.S.C. promptly, please advise the OMB submission to the Office of Management Chapter 35), agencies are required to Reviewer and the Agency Clearance and Budget (OMB). SSA is soliciting submit proposed reporting and Officer before the deadline. comments on the accuracy of the recordkeeping requirements to OMB for COPIES: Request for clearance (OMB 83– agency’s burden estimate; the need for review and approval, and to publish a 1), supporting statement, and other the information; its practical utility; notice in the Federal Register notifying documents submitted to OMB for ways to enhance its quality, utility and the public that the agency has made review may be obtained from the clarity; and on ways to minimize burden such a submission. Agency Clearance Officer. on respondents, including the use of DATES: Submit comments on or before ADDRESSES: Address all comments automated collection techniques or November 4, 1999. If you intend to concerning this notice to: Agency other forms of information technology. comment but cannot prepare comments Clearance Officer, Jacqueline White, I. The information collections listed promptly, please advise the OMB Small Business Administration, 409 3rd below will be submitted to OMB within Reviewer and the Agency Clearance Street, SW, 5th Floor, Washington, DC 60 days from the date of this notice. Officer before the deadline. 20416; and OMB Reviewer, Office of Therefore, comments and COPIES: Request for clearance (OMB Information and Regulatory Affairs, recommendations regarding the 83–1), supporting statement, and other Office of Management and Budget, New information collections would be most documents submitted to OMB for Executive Office Building, Washington, useful if received by the Agency within review may be obtained from the DC 20503. 60 days from the date of this Agency Clearance Officer. publication. Comments should be FOR FURTHER INFORMATION CONTACT: ADDRESSES: Address all comments directed to the SSA Reports Clearance Jacqueline White, Agency Clearance concerning this notice to: Agency Officer at the address listed at the end Officer, (202) 205–7044. Clearance Officer, Jacqueline White, of this publication. You can obtain a Small Business Administration, 409 3rd SUPPLEMENTARY INFORMATION: copy of the collection instruments by Street, SW, 5th Floor, Washington, DC Title: License Application Statement calling the SSA Reports Clearance 20416; and OMB Reviewer, Office of of Personal History and Qualification of Officer on (410) 965–4145, or by writing Information and Regulatory Affairs, Management. to him at the address listed at the end Office of Management and Budget, New Form No’s: 415, 415A. of this publication. Executive Office Building, Washington, Frequency: On Occasion. 1. Application for Wife’s or Husband’s DC 20503. Description of Respondents: Small Insurance Benefits—0960–0008. The FOR FURTHER INFORMATION CONTACT: Business Investment Companies. Social Security Administration (SSA) uses the information collected on Form Jacqueline White, Agency Clearance Annual Responses: 90. SSA–2–F6 to determine whether Officer, (202) 205–7044. Annual Burden: 14,400. SUPPLEMENTARY INFORMATION: applicants (including those who are Jacqueline White, divorced) can be entitled to wife’s or Title: Pre-Disaster Mitigation Small Chief, Administrative Information Branch. Business Loan Application. husband’s insurance benefits. The Form No: 5M. [FR Doc. 99–25751 Filed 10–4–99; 8:45 am] respondents are applicants for wife or Frequency: On Occasion. BILLING CODE 8025±01±P husband’s benefits (including those who Description of Respondents: Person’s are divorced). applying for SBA Disaster Loans. Number of Respondents: 700,000. Annual Responses: 2,500. SMALL BUSINESS ADMINISTRATION Frequency of Response: 1. Annual Burden: 4,875. Interest Rates Average Burden Per Response: 15 Jacqueline White, minutes. Chief, Administrative Information Branch. The Small Business Administration Estimated Annual Burden: 175,000 [FR Doc. 99–25750 Filed 10–4–99; 8:45 am] publishes an interest rate called the hours. BILLING CODE 8025±01±P optional ‘‘peg’’ rate (13 CFR 120.214) on 2. Application for Supplemental a quarterly basis. This rate is a weighted Security Income—0960–0229. SSA uses average cost of money to the the information collected on Form SSA– SMALL BUSINESS ADMINISTRATION government for maturities similar to the 8000–BK to determine the respondent’s average SBA direct loan. This rate may eligibility for, and amount of, SSI Reporting and Recordkeeping be used as a base rate for guaranteed benefits. The respondents are applicants Requirements Under OMB Review fluctuating interest rate SBA loans. This for SSI Benefits. rate will be 6 percent for the October— Number of Respondents: 1,007,773. AGENCY: Small Business Administration. December quarter of FY 2000. Frequency of Response: 1. ACTION: Notice of reporting requirements Arnold S. Rosenthal, Average Burden Per Response: submitted for OMB review. Acting Deputy Associate Administrator for 35 minutes for paper application (3 SUMMARY: Under the provisions of the Financial Assistance. percent of responses) Paperwork Reduction Act (44 U.S.C. [FR Doc. 99–25749 Filed 10–4–99; 8:45 am] 25 minutes for automated collection of Chapter 35), agencies are required to BILLING CODE 8025±01±P information (97% of responses)
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Estimated Annual Burden: 424,944 entitlement to Social Security Benefits 90 percent of all American adults will hours. and to determine the proper benefit be knowledgeable about Social Security II. The information collections listed amount. The respondents are Social programs in five broad areas: basic below have been submitted to OMB for Security beneficiaries who need to program facts; the financial value of clearance. Written comments and report an event that could affect programs to individuals; the economic recommendations on the information payments. and social impact of SSA programs; how collections would be most useful if Number of Respondents: 70,000. the programs are financed today; and received within 30 days from the date Frequency of Response: 1. financing issues. The respondents will of this publication. Comments should be Average Burden Per Response: 5 be randomly selected adults residing in directed to the SSA Reports Clearance minutes. the United States. Officer and the OMB Desk Officer at the Estimated Annual Burden: 5,833 addresses listed at the end of this hours. Annual Quarterly publication. You can obtain a copy of 5. Black Lung Student’s Statement surveys surveys the OMB clearance packages by calling Regarding Resumption of School Attendance and Report of Black Lung Number of Re- the SSA Reports Clearance Officer on spondents ...... 4,000 12,000 (410) 965–4145, or by writing to him. Student Beneficiary at End of School Year (two forms)-0960–0314. The Frequency of 1. Workers’ Compensation/Public Response ...... 1 1 Disability Benefit Questionnaire—0960– information collected on Forms SSA– Average Burden 0247. Form SSA–546 is used by the 2602 and SSA–2613 is used by SSA to Per Response 1 2 1 12 Social Security Administration (SSA) determine whether or not an entitled Estimated An- whenever an applicant for Title II student beneficiary will resume (or has nual Burden ... 2 800 2 2,400 resumed) full-time school attendance at Disability Insurance (DI) benefits 1 Minutes. indicates he or she has filed for, or an approved educational institution. If 2 Hours. so, the student will be continuously intends to file for, Workmen’s 7. Voluntary Customer Surveys In Compensation/Public Disability Benefits entitled to benefits. The respondents are children of disabled or deceased coal Accordance with E.O. 12862 within the (WC/PDB). The form consolidates all the Social Security Administration—0960– information necessary to identify the miners and officials of schools they attend. 0526. These voluntary customer surveys WC/PDB applied for and/or received, will be used to ascertain customer determines whether offset is applicable SSA±2602 SSA±2613 satisfaction with the Social Security under the statute and, when applicable, Administration in terms of timeliness, computes the offset. The respondents Number of Re- appropriateness, access, and other are applicants for DI benefits. spondents ...... 50 100 measures of quality service. Surveys Number of Respondents: 100,000. Frequency of will involve individuals that are the Frequency of Response: 1. Response ...... 1 1 direct or indirect beneficiaries of SSA Average Burden Per Response: 15 Average Burden services. The average burden per minutes. Per Response response for these activities is estimated Estimated Annual Burden: 25,000 (minutes) ...... 5 71¤2 hours. Estimated An- to range from 5 minutes for a simple 2. Statement of Marital Relationship nual Burden comment card to 2 hours for (by One of the Parties)—0960–0038. (hours) ...... 4 12 participation in a focus group. SSA uses the information collected on FY 2000: Form SSA–754 to determine whether 6. 0960–NEW. SSA has contracted Number of Respondents: 1,530,854. the conditions for establishing a with the Gallup Organization to conduct Frequency of Response: 1. Estimated Annual Burden: 139,571 common-law marriage under State law surveys to gather data on the public’s level of knowledge about Social Hours. are met. The respondents are applicants FY 2001: for spouse’s benefits. Security programs. The 1998 Public Understanding Measurement System Number of Respondents: 1,527,260. Number of Respondents: 30,000. Frequency of Response: 1. Frequency of Response: 1. survey (PUMS) indicated that 45 percent of the population have a lack of Estimated Annual Burden: 138,229. Average Burden Per Response: 30 FY 2002: minutes. understanding of the major Social Number of Respondents: 1,529,990. Estimated Annual Burden: 15,000 Security program areas. The 1999 and Frequency of Response: 1. hours. future Public Understanding Estimated Annual Burden: 138,074. 3. Student Reporting Form—0960– Measurement System surveys (PUMS II) (SSA Address) Social Security 0088. Form SSA–1383 is used by Social will enable SSA to build upon the 1998 Administration, DCFAM, Attn: Security student beneficiaries to report PUMS quantitative baseline measure of Frederick W. Brickenkamp, 6401 events or changes that may affect public understanding. An annual survey Security Blvd., 1–A–21 Operations continuing entitlement to these benefits. will provide annual tracking data of Bldg., Baltimore, MD 21235 The respondents are Social Security public understanding of SSA programs (OMB Address) Office of Management student beneficiaries. against which the outcomes of SSA and Budget, OIRA, Attn: Lori Schack, Number of Respondents: 75,000. performance improvement efforts can be New Executive Office Building, Room Frequency of Response: 1. assessed. Quarterly targeted surveys in 10230, 725 17th St., NW, Washington, Average Burden Per Response: 6 16 SSA areas will test the effectiveness DC 20503 minutes. of several specific communications and Estimated Annual Burden: 7,500 public information outreach efforts. Dated: September 29, 1999. hours. PUMS II is essential to SSA’s goal of Frederick W. Brickenkamp, 4. Reporting Changes that Affect Your strengthening public understanding Reports Clearance Officer, Social Security Social Security Payment—0960–0073. about Social Security programs. The Administration. SSA uses the information collected on relevant Agency goal contained in SSA’s [FR Doc. 99–25794 Filed 10–4–99; 8:45 am] form SSA–1425 to determine continuing strategic plan is that by the year 2005, BILLING CODE 4190±29±P
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DEPARTMENT OF TRANSPORTATION Description: Application of Delta Air Year 2 frequencies to operate daily JFK- Lines, Inc. pursuant to 49 U.S.C. Buenos Aires nonstop service in Office of the Secretary Sections 41102 and 41108, Part 201, and addition to Atlanta. Subpart Q, applies for a new or Docket Number: OST–99–6249. Aviation Proceedings, Agreements amended Certificate of Public Date Filed: September 22, 1999. Filed During the Week Ending Convenience and Necessity (Open Entry Due Date for Answers, Conforming September 24, 1999 Routes) authorizing Delta to provide Applications, or Motions to Modify The following Agreements were filed scheduled foreign air transportation of Scope: October 20, 1999. with the Department of Transportation persons, property and mail between a Description: Application of Atlantic under the provisions of 49 U.S.C. point or points in the United States, on Coast Jet, Inc. pursuant to 49 U.S.C. Sections 412 and 414. Answers may be the one hand, and a point or points in Section 41102, Part 201 and Subpart Q, filed within 21 days of date of filing. each of the countries as listed in Exhibit applies for a certificate of public Docket Number: OST–99–6256 A, on the other hand. Delta further convenience and necessity to authorize Date Filed: September 23, 1999 applies for route integration authority to it to engage in interstate and overseas Parties: Members of the International permit it to combine services on these scheduled air transportation of persons, Air Transport Association routes with all other routes that it is property and mail between any point or Subject: authorized to serve, consistent with points in the United States, its PTC2 EUR 0269 dated 17 September standard route integration conditions. territories and possessions, or the 1999 r1–r4 Docket Number: OST–99–6210. District of Columbia, on the one hand, PTC2 EUR 0270 dated 17 September Date Filed: September 22, 1999. and any other point or points in the 1999 r5–r34 Due Date for Answers, Conforming United States, its territories and PTC2 EUR 0271 dated 17 September Applications, or Motions to Modify possessions. Atlantic Coast Jet also 1999 r35–r38 Scope: September 29, 1999. seeks the right to hold itself out and PTC2 EUR 0272 dated 17 September Description: Application of United trade as ‘‘the Delta Connection.’’ 1999 r39 Air Lines, Inc. pursuant to the Within Europe Resolutions r1–r39 Docket Number: OST–99–6263. Minutes—PTC2 EUR 0268 dated 17 Department’s Notice dated September 8, Date Filed: September 24, 1999. September 1999 1999, requests that it be allocated seven Due Date for Answers, Conforming Tables—None U.S.-Argentina combination service Applications, or Motions to Modify Intended effective dates: 15 October, 1 frequencies for daily nonstop service Scope: October 22, 1999. November 1999, between Los Angeles, California and Description: Application of Allegiant 1 January, 15 January 2000 Buenos Aires, Argentina, effective Air, Inc. pursuant to 49 U.S.C. Section Dorothy W. Walker, September 1, 2000. 41102, Parts 201 and 204 and Subpart Federal Register Liaison. Docket Number: OST–99–6210. Q, applies for a certificate of public convenience and necessity to authorize [FR Doc. 99–25863 Filed 10–4–99; 8:45 am] Date Filed: September 22, 1999. Allegiant to engage in scheduled BILLING CODE 4910±62±P Due Date for Answers, Conforming Applications, or Motions to Modify interstate air transportation of persons, Scope: September, 29, 1999. property and mail. DEPARTMENT OF TRANSPORTATION Description: Amendment of Dorothy W. Walker, Continental Airlines, Inc. to its Federal Register Liaison. Office of the Secretary application for a Certificate of Public [FR Doc. 99–25862 Filed 10–4–99; 8:45 am] Convenience and Necessity and BILLING CODE 4910±62±P Notice of Applications for Certificates Frequency Allocation in Docket OST– of Public Convenience and Necessity 99–6166, consolidated by the and Foreign Air Carrier Permits Filed Department into this proceeding, to add DEPARTMENT OF TRANSPORTATION Under Subpart Q During the Week a request for Houston-Buenos Aires Ending September 24, 1999 authority and the seven weekly Office of the Secretary frequencies which become available The following Applications for North American Free Trade Certificates of Public Convenience and June 1, 2001, so that Continental may offer daily Houston-Buenos Aires Agreement's Land Transportation Necessity and Foreign Air Carrier Standards Subcommittee and Permits were filed under Subpart Q of service as well as Newark-Buenos Aires service. Transportation Consultative Group: the Department of Transportation’s Annual Plenary Session Procedural Regulations (See 14 CFR Docket Number: OST–99–6210. 302.1701 et. seq.). The due date for Date Filed: September 22, 1999. AGENCY: Office of the Secretary, DOT. Answers, Conforming Applications, or Due Date for Answers, Conforming ACTION: Notice: Docket OST–95–246. Motions to Modify Scope are set forth Applications, or Motions to Modify below for each application. Following Scope: September 29, 1999. SUMMARY: This notice amends the notice the Answer period DOT may process the Description: Supplement No. 1 of that appeared in the Federal Register application by expedited procedures. Delta Air Lines, Inc. to its application dated September 10, 1999, Vol. 64, No. Such procedures may consist of the for Atlanta-Buenos Aires certificate 175, on page 49269, titled ‘‘North adoption of a show-cause order, a authority and allocation of seven U.S.- American Free Trade Agreement’s Land tentative order, or in appropriate cases Argentina frequencies, consolidated by Transportation Standards Subcommittee a final order without further the Department into this proceeding. and Transportation Consultative Group: proceedings. Delta seeks certificate authority and Annual Plenary Session.’’ The text of Docket Number: OST–99–6246. seven frequencies to operate Atlanta- the second paragraph under the heading Date Filed: September 21, 1999. Buenos Aires. Delta requests the award ‘‘Meetings and Deadlines’’ is being Due Date for Answers, Conforming of the Year 1 frequencies. In the event amended to change the time of the Applications, or Motions to Modify that Delta receives a Year 1 award, Delta listening session. The paragraph should Scope: October 19, 1999. further requests backup authority for the read as follows:
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MEETINGS AND DEADLINES: Also at the Transportation, Plaza 401, 400 Seventh information for the proper performance same Baltimore site, on October 25, Street SW, Washington, DC 20590–0001. of the functions of the agency, including 1999, from 1:30 p.m. to 4:30 p.m., a You should submit the original and one whether the information will have listening session will be held for copy. If you wish to receive practical utility; (b) the accuracy of the representatives of the truck, bus, and confirmation of receipt of your agency’s estimate of the burden of the rail industries, transportation labor comments, you must include a stamped, proposed collection of information unions, brokers and shippers, chemical self-addressed postcard. The Dockets including the validity of the manufacturers, insurance industry, facility is open from 10:00 a.m. to 5:00 methodology and assumptions used; (c) public safety advocates, and others who p.m., Monday through Friday, except on ways to enhance the quality, utility, and have notified us of their interest to Federal holidays. In addition, the public clarity of the information to be attend and have submitted copies of may also submit or review comments by collected; and (d) ways to minimize the their presentations, in English and accessing the Docket Management burden of the collection of information Spanish, to the address below by System’s home page at http:// on those who are to respond, including October 12, 1999. This is an opportunity dms.dot.gov. the use of appropriate automated, for presenters to voice their concerns, FOR FURTHER INFORMATION CONTACT: electronic, mechanical, or other provide technical information, and offer Marvin Fell, Office of Pipeline Safety, technological collection techniques. suggestions relevant to achieving greater Research and Special Programs Issued in Washington, DC, on September standards compatibility and improving Administration, Department of 30, 1999. cross-border trade. While written Transportation, 400 Seventh Street, SW Richard B. Felder, statements may be of any length, oral Washington, D.C. 20590, (202) 366–6205 Associate Administrator for Pipeline Safety. presentations will be limited to 10 or by electronic mail at [FR Doc. 99–25844 Filed 10–4–99; 8:45 am] minutes per presenter. After October 12, [email protected]. BILLING CODE 4910±60±P statements may be submitted for the SUPPLEMENTARY INFORMATION: record, and requests to present oral Title: Alcohol Misuse Prevention comments at the listening session will Program. DEPARTMENT OF TRANSPORTATION be accommodated only on a time- OMB Number: 2137–0587. available basis. Type of Request: Extension of an Research and Special Programs Dated: September 29, 1999. existing information collection. Administration Roger Dean, Abstract: Alcohol misuse has been [Docket No. RSPA±98±4470] Acting Director, Office of International identified by the Federal government as Transportation and Trade. a significant danger to safety in the Pipeline Safety: Meetings of Pipeline [FR Doc. 99–25831 Filed 10–4–99; 8:45 am] United States, and it is reasonable to Safety Advisory Committees BILLING CODE 4910±62±P assume that the problem exists in the gas pipeline industry, hazardous liquid AGENCY: Office of Pipeline Safety, pipeline industry, and the liquefied Research and Special Programs DEPARTMENT OF TRANSPORTATION natural gas (LNG) industry. The Administration, DOT. potential harmful effects of alcohol ACTION: Notice of advisory committee Research and Special Programs misuse on safe pipeline and LNG meetings. Administration facility operations warrant the SUMMARY: Pursuant to section 10(a)(2) of [Docket RSPA±98±4957; Notice 8] comprehensive alcohol misuse testing regulation imposed on the pipeline the Federal Advisory Committee Act Notice of Extension of Existing industry. The regulations at 49 CFR Part (Pub. L. 92–463, 5 U.S.C. App. 1) notice Information Collection 199 require information collection for is hereby given of the following an alcohol misuse prevention plan and meetings of the Technical Pipeline AGENCY: Research and Special Programs associated testing records. Safety Standards Committee (TPSSC) Administration, DOT. Respondents: Gas pipelines, and the Technical Hazardous Liquid ACTION: Request for public comments. hazardous liquid pipelines, and Pipeline Safety Standards Committee liquefied natural gas (LNG) facility (THLPSSC). Both the TPSSC and the SUMMARY: As required by the Paperwork operators. THLPSSC are statutorily mandated Reduction Act of 1995, this notice Estimate of Burden: 6 hours per advisory committees that assist RSPA’s announces that the Research and operator. Office of Pipeline Safety in its Special Programs Administration Estimated Number of Responses per consideration of proposed safety (RSPA) is publishing this notice seeking Respondent: 1. regulations, risk assessments, and safety public comments on a proposed renewal Estimated Total Burden : 10,278 policies for hazardous liquid and of an information collection for the hours. natural gas pipelines. Each committee Alcohol Misuse Prevention Program for Estimated Number of Respondents: has an authorized membership of 15 Pipeline Operators. This information 1,713. persons, five each from government, collection requires gas pipeline Copies of this information collection industry, and the public. The operators, hazardous liquid pipeline can be reviewed at the Dockets Facility, committees meet in May and November operators, and liquefied natural gas Plaza 401, U.S. Department of of each year. Each Committee meeting, (LNG) operators to document their Transportation, 400 Seventh Street, SW, as well as a joint session of the two alcohol misuse prevention programs. Washington, DC 20590 from 9:00 a.m. to Committees, is held at the Department DATES: Comments on this notice must be 5:00 p.m. Monday through Friday of Transportation, Nassif Building, 400 received December 6, 1999. except Federal holidays. They also can Seventh Street, SW, Washington, DC ADDRESSES: Comments should identify be viewed over the Internet at http:// 20590. The November 3–4, 1999, the docket number of this notice, RSPA– dms.dot.gov meetings will be held in room 8236. 98–4957, and be mailed to the Dockets Comments are invited on (a) the need ADDRESSES: Comments on these Facility, U.S. Department of for the proposed collection of meetings should be sent to the Dockets
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Facility, U.S. Department of 1. Plastic Pipeline Safety Standards & oral presentation at the meeting, please Transportation, Plaza 401, 400 Seventh Research notify Jenny Donohue no later than Street, SW, Washington, DC 20590– 2. Gas Pipeline Safety Standards; SIRRC October 28, 1999, by telephone at 202– 0001. Alternatively, comments may be report 366–4046 or by e-mail at e-mailed to 3. Gas Gathering Line Definition [email protected]. Please [email protected]. All 4. Remotely Controlled Valves on indicate the approximate length of your comments must reference Docket No. Natural Gas Pipelines presentation. RSPA–98–4470. The Dockets Facility is 5. Update on the Local Distribution ADDRESSES: You may submit written located on the plaza level of the Nassif Company Risk Assessment Feasibility comments no later than December 6, Building in Room 401, 400 Seventh Team Initiative 1999, by mail or hand delivery to the Street, SW, Washington, DC. The All three meetings will be open to the Dockets Facility, U.S. Department of Dockets Facility is open from 10:00 a.m. public. Members of the public will have Transportation, Room PL–401, 400 to 5:00 p.m., Monday through Friday, an opportunity to make short statements Seventh Street, SW, Washington, DC except on Federal holidays. on the topics under discussion. Anyone 20590–0001. Comments should identify wishing to make an oral statement must Information on Services for Individuals the docket number RSPA–97–2879. notify Peggy Thompson, Room 7128, With Disabilities Persons should submit the original Department of Transportation, Nassif comment document and one (1) copy. For information on facilities or Building, 400 Seventh Street, SW, Anyone who wants confirmation of services for individuals with disabilities Washington, DC 20590, telephone (202) mailed comments must include a self- or to request special assistance at the 366–1933, not later than October 15, addressed stamped postcard. You also meeting, contact Peggy Thompson at 1999, on the topic of the statement and may submit written comments to the (202) 366–1933. the time requested for presentation. The docket electronically. To do so, log on FOR FURTHER INFORMATION CONTACT: presiding officer at each meeting may to the following Internet Web address: Mary Jo Cooney, OPS, (202) 366-4774 or deny any request to present an oral http://dms.dot.gov. Click on ‘‘Help & Richard Huriaux, OPS, (202) 366–4565, statement and may limit the time of any Information’’ for instructions on how to regarding the subject matter of this presentation. file a document electronically. Late-filed notice. Authority: 49 U.S.C. 60102, 60115. comments will be considered so far as SUPPLEMENTARY INFORMATION: On Issued in Washington, DC, on September practicable. November 3, 1999, at 9:00 a.m., the 30, 1999. Information on Services for Individuals Technical Hazardous Liquid Pipeline Richard B. Felder, With Disabilities Safety Standards Committee will meet Associate Administrator for Pipeline Safety. For information on facilities or in room 8236 of the Nassif Building. [FR Doc. 99–25845 Filed 10–4–99; 8:45 am] The preliminary agenda includes: services for individuals with disabilities BILLING CODE 4910±60±P or to request special assistance at the 1. Bellingham, WA Incident & meeting, contact Peggy Thompson at Investigation (202) 366–1933. 2. Industry Performance Report DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: 3. Corrosion Control on Hazardous Liquid Pipelines Research and Special Programs Lloyd Ulrich, OPS, (202) 366–4556, 4. Pressure Testing Older Pipelines in Administration regarding the subject matter of this Terminals notice. Contact the Dockets Unit, (202) [Docket No. RSPA±97±2879] 366–5046, for docket material. 5. Update on Unusually Sensitive Areas Comments may also be reviewed online (USA) Project Pipeline Safety: Rapid Isolation of at the DOT Docket Management System 6. Oil Pollution Act Developments Ruptured Sections of Gas website at http://dms.dot.gov. On November 3, 1999, at 1:00 p.m., Transmission Pipelines SUPPLEMENTARY INFORMATION: Since the the THLPSSC will be joined by AGENCY: Office of Pipeline Safety, March 23, 1994, Edison, New Jersey, members of the TPSSC for a joint Research and Special Programs pipeline failure in which two-and-one- session of the gas and hazardous liquid Administration, DOT. half hours elapsed before the operator pipeline advisory committees. The ACTION: Notice of public meeting and could locate and close functional valves, preliminary agenda includes: request for comments. OPS has been exploring means of 1. Administration/RSPA/OPS Initiatives limiting the time for isolating ruptured 2. Program Update SUMMARY: This notice announces a sections of gas transmission pipelines. 3. OPS Reauthorization: Congressional public meeting to consider the need for In 1995, NTSB recommended that RSPA Perspectives a rulemaking to establish time limits for expedite requirements for installing 4. Challenges of the Current Regulatory isolating ruptured sections of gas automatic-or remote-operated mainline Climate, Government Accounting transmission pipelines. The meeting valves on high-pressure pipelines in Office & Inspector General Audits agenda will include presentation of urban and environmentally sensitive 5. Issues Raised by Recent Incidents & findings from a recent Office of Pipeline areas to provide for rapid shutdown of NTSB Perspectives Safety (OPS) study on remote control failed pipeline segments. In the Federal 6. Opportunities for Improving Integrity valves (RCV) and opportunity for public pipeline safety law (49 U.S.C. 60102 (j)), Assurance comments and suggestions. Congress directed DOT to prescribe 7. Underwater Abandoned Pipeline DATES: The public meeting will be on standards for the use of remote control Facilities (VOTE) November 4, 1999, from 1:00 pm to 5:00 valves (RCV), if a study showed that 8. Enforcement Procedures (VOTE) pm in Room 8236 of the Nassif they reduced risk and were technically On November 4, 1999, from 9:00 a.m. Building, 400 Seventh Street, SW, and economically feasible. to 11:30 a.m., the Technical Pipeline Washington, DC. We encourage the OPS has completed a study on RCVs Safety Standards Committee will meet. public to present oral remarks at the titled ‘‘Remotely Controlled Valves on The preliminary agenda includes: public meeting. If you want to make an Interstate Natural Gas Pipelines,’’ which
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.116 pfrm08 PsN: 05OCN1 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Notices 54067 is available in this Docket (RSPA–97– a basis for risk assessment and response standard, e.g., less time in Class 4 than 2879) and on the OPS website at http:/ planning, important considerations in in Class 3 locations? /ops.dot.gov. The study shows that heavily populated or commercial areas, Issued in Washington, DC, on September installing and using RCVs can and important factors in maintaining 30, 1999. effectively limit the time required to public confidence in the safety of Richard B. Felder, isolate ruptured pipe sections when natural gas transmission pipelines. Associate Administrator for Pipeline Safety. manual valve operation is not feasible, Although it may be appropriate to thereby minimizing the consequences of issue a standard limiting the time to [FR Doc. 99–25843 Filed 10–4–99; 8:45 am] certain gas pipeline ruptures. The study isolate failed pipe sections, we need BILLING CODE 4910±60±P supports RCVs’ effectiveness, technical additional information. At the feasibility, and potential for reducing November 4 public meeting we will risk. We base these conclusions on an present findings from our study on DEPARTMENT OF THE TREASURY October 30, 1997, public meeting in RCVs and solicit public comments and Houston, Texas, a field evaluation of suggestions. To focus on the issue of Customs Service RCVs conducted by the Texas Eastern establishing a time limit for isolating a List of Foreign Entities Violating Transmission Corporation (TETCO), ruptured pipeline section, we request Textile Transshipment and Country of comments from the Technical Pipeline that oral comments at the public Origin Rules Safety Standards Committee (TPSSC), meeting and written comments and a review of technical studies of submitted to Docket No. RSPA–97–2879 AGENCY: U.S. Customs Service, RCVs and other valves. include responses to the following six Department of the Treasury. Several factors must be considered in questions— ACTION: General notice. determining whether to establish a (1) What are the variables that should standard. Our study shows that the most be considered in establishing a time-to- SUMMARY: This document notifies the significant consequences, including isolate standard? As an example, one public of foreign entities which have injuries, fatalities, and the majority of variable could be the time for gas been issued a penalty claim under property and environmental damage, contained in the ruptured section to section 592 of the Tariff Act, for certain occur within the first few minutes of a burn, if there is a fire, after the section violations of the customs laws. This list rupture, before any valves (including is isolated by closing valves on each is authorized to be published by section RCVs) can be operated. Also, once side of the rupture. 333 of the Uruguay Round Agreements valves have closed, a fire burning the (2) Should an operator’s time to Act. residual gas in the isolated section isolate a ruptured pipeline section be FOR FURTHER INFORMATION CONTACT: For could continue for the better part of an the same in each class location? If not, information regarding any of the hour, depending on variables such as what difference should there be in the operational aspects, contact Scott the section’s length, pipe diameter, and time to isolate for each of the four class Greenberg, National Seizures and operating pressure. Our study indicates locations? Penalties Officer, Seizures and Penalties that the quantifiable costs of RCV (3) Should the definitions for class Division, Office of Field Operations, installations would almost always location in 49 CFR 192.5 be revised to (415) 782–9442. For information exceed the benefits. provide for more stringent requirements regarding any of the legal aspects, However, we believe that significant in areas where there would be more contact Ellen McClain, Office of Chief risk exists at many locations as long as significant consequences from a Counsel, at (202) 927–6900. gas is being supplied to a rupture site, ruptured transmission pipeline where and operators lack the ability to quickly the escaping gas caught fire? Examples SUPPLEMENTARY INFORMATION: close existing manual valves. Any fire of areas of more significant Background would be of greater intensity, and would consequences are commercial areas and have greater potential for damaging apartment buildings with high Section 333 of the Uruguay Round surrounding infrastructure, if the fire population concentrations. Agreements Act (URAA)(Public Law were constantly replenished with gas. (3)a. What are other examples of areas 103–465, 108 Stat. 4809)(signed Our data show that as much as 45% of subject to more significant December 8, 1994), entitled Textile gas transmission pipelines traverse consequences in case of a transmission Transshipments, amended Part V of title commercial areas (including highways, pipeline rupture where the escaping gas IV of the Tariff Act of 1930 by creating railroads, other pipelines, airports, and catches fire? a section 592A (19 U.S.C. 1592A), businesses) and 6% are located within (3)b. Should areas of more significant which authorizes the Secretary of the U.S. Census Bureau defined urban areas. consequences be included in the Treasury to publish in the Federal The degree of disruption in these areas definitions for Class 3 and 4 locations or Register, on a semiannual basis, a list of would be in direct proportion to the should separate sub-class locations be the names of any producers, duration of the fire. Although we lack established for these areas? manufacturers, suppliers, sellers, data to quantify the potential (4) Should the transmission line valve exporters, or other persons located consequences, we believe considering a spacing requirement in 49 CFR 192.179 outside the Customs territory of the new standard limiting the time to isolate be reduced for Class 3 and 4 locations United States, when these entities and/ failed pipe in these areas merits further in order to reduce the risk in locations or persons have been issued a penalty exploration. Under certain of highest consequences? If not, why claim under section 592 of the Tariff circumstances, we believe it may be not? Act, for certain violations of the customs appropriate to require RCVs or other (5) What should be the maximum laws, provided that certain conditions measures to promptly isolate a failed time for closing valves to isolate a are satisfied. pipeline section. ruptured valve section? Should RCVs be The violations of the customs laws Also, setting a time limit for isolating installed to assure the closing time is referred to above are the following: (1) a line following a rupture would not exceeded? Using documentation, or providing determine when a fire could be (6) Should there be a tiered approach documentation subsequently used by extinguished. This knowledge provides to establishing a time-to-isolate the importer of record, which indicates
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Reliance solely upon irregularities that would call its subsequently used by the importer of information regarding the imported authenticity into question? record, with respect to the entry into the product from a person named on the list The law authorizes a semiannual Customs territory of the United States of is clearly not the exercise of reasonable publication of the names of the foreign textile or apparel products; (3) care. Thus, the textile and apparel entities and/or persons. On April 6, Manufacturing, producing, supplying, importers who have some commercial 1999, Customs published a Notice in the or selling textile or apparel products relationship with one or more of the Federal Register (64 FR 16781) which which are falsely or fraudulently labeled listed parties must exercise a degree of identified 24 (twenty-four) entities as to country of origin or source; and (4) reasonable care in ensuring that the which fell within the purview of section Engaging in practices which aid or abet documentation covering the imported 592A of the Tariff Act of 1930. the transshipment, through a country merchandise, as well as its packaging other than the country of origin, of and labeling, is accurate as to the 592A List textile or apparel products in a manner country of origin of the merchandise. For the period ending September 30, which conceals the true origin of the This degree of reasonable care must 1999, Customs has identified 26 textile or apparel products or permits involve reliance on more than (twenty-six) foreign entities that fall the evasion of quotas on, or voluntary information supplied by the named within the purview of section 592A of restraint agreements with respect to, party. the Tariff Act of 1930. This list reflects imports of textile or apparel products. In meeting the reasonable care the addition of 8 new entities and 6 If a penalty claim has been issued standard when importing textile or removals to the 24 entities named on the with respect to any of the above apparel products and when dealing with list published on April 6, 1999. The violations, and no petition in response a party named on the list published parties on the current list were assessed to the claim has been filed, the name of pursuant to section 592A of the Tariff a penalty claim under 19 U.S.C. 1592, the party to whom the penalty claim Act of 1930, an importer should for one or more of the four above- was issued will appear on the list. If a consider the following questions in described violations. The administrative petition, supplemental petition or attempting to ensure that the penalty action was concluded against second supplemental petition for relief documentation, packaging, and labeling the parties by one of the actions noted from the penalty claim is submitted is accurate as to the country of origin of above as having terminated the under 19 U.S.C. 1618, in accord with the imported merchandise. The list of administrative process. the time periods established by sections questions is not exhaustive but is The names and addresses of the 26 171.32 and 171.33, Customs Regulations illustrative. foreign parties which have been (19 CFR 171.32, 171.33) and the petition (1) Has the importer had a prior assessed penalties by Customs for is subsequently denied or the penalty is relationship with the named party? violations of section 592 are listed mitigated, and no further petition, if (2) Has the importer had any detentions below pursuant to section 592A. This allowed, is received within 30 days of and/or seizures of textile or apparel list supersedes any previously the denial or allowance of mitigation, products that were directly or published list. The names and addresses then the administrative action shall be indirectly produced, supplied, or of the 26 foreign parties are as follows deemed to be final and administrative transported by the named party? (the parenthesis following the listing remedies will be deemed to be (3) Has the importer visited the sets forth the month and year in which exhausted. Consequently, the name of company’s premises and ascertained the name of the company was first the party to whom the penalty claim that the company has the capacity to published in the Federal Register): was issued will appear on the list. produce the merchandise? Austin Pang Gloves & Garments Factory, However, provision is made for an (4) Where a claim of an origin conferring Ltd., Jade Heights, 52 Tai Chung Kiu appeal to the Secretary of the Treasury process is made in accordance with Road, Flat G, 19/F, Shatin, New by the person named on the list, for the 19 CFR 102.21, has the importer Territories, Hong Kong. (9/99) removal of its name from the list. If the ascertained that the named party Beautiful Flower Glove Manufactory, Secretary finds that such person or actually performed the required Kar Wah Industrial Building, 8 Leung entity has not committed any of the process? Yip Street, Room 10–16, 4/F, Yuen enumerated violations for a period of (5) Is the named party operating from Long, New Territories, Hong Kong. (9/ not less than 3 years after the date on the same country as is represented by 99) which the person or entity’s name was that party on the documentation, BF Manufacturing Company, Kar Wah published, the name will be removed packaging or labeling? Industrial Building, Leung Yip Street, from the list as of the next publication (6) Have quotas for the imported Flat 13, 4/F, Yeun Long, New of the list. merchandise closed or are they Territories, Hong Kong. (9/99) Cupid Fashion Manufacturing Ltd., 17/ Reasonable Care Required nearing closing from the main producer countries for this F Block B, Wongs Factory Building, Section 592A also requires any commodity? 368–370 Sha Tsui Road, Tsuen Wan, importer of record entering, introducing, (7) What is the history of this country Hong Kong. (9/97) or attempting to introduce into the regarding this commodity? Ease Keep, Ltd., 750 Nathan Road, commerce of the United States textile or (8) Have you asked questions of your Room 115, Kowloon, Hong Kong. (9/ apparel products that were either supplier regarding the origin of the 99) directly or indirectly produced, product? Excelsior Industrial Company, 311–313 manufactured, supplied, sold, exported, (9) Where the importation is Nathan Road, Room 1, 15th Floor, or transported by such named person to accompanied by a visa, permit, or Kowloon, Hong Kong. (9/98)
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Eun Sung Guatemala, S.A., 13 Calle 3– Mei Street, Sanpokong, Bk 1⁄2, Fabrica de Vestuario Wing Tai, 45 62 Zona Colonia Landivar, Guatemala Kowloon, Hong Kong. (9/97) Estrada Marginal Da Areia Preta, Edif. City, Guatemala. (3/98) Takhi Corporation, Huvsgalchdyn Centro Poltex, 3/E, Macau. (3/98) Everlast Glove Factory, Goldfield Avenue, Ulaanbaatar 11, Mongolia. Galaxy Gloves Factory, Annking Industrial Centre, 1 Sui Wo Road, (3/98) Industrial Building, Wang Yip East Room 15, 15th Floor, Fo Tan, Shatin, Any of the above parties may petition to Street Room A, 2/F, Lot 357, Yuen New Territories, Hong Kong. (3/99) have its name removed from the list. Long Industrial Estate, Yuen Long, Fabrica de Artigos de Vestuario E-Full, Such petitions, to include any New Territories, Hong Kong. (3/98) Lda. Rua Um doi Bairro da Concordia, documentation that the petitioner Golden Perfect Garment Factory, Wong’s Deificio Industrial Vang Tai, 8th deems pertinent to the petition, Industrial Building, 33 Hung To Road, Floor, A–D, Macau. (9/99) should be forwarded to the Assistant 3rd Floor, Kwun Tong, Kowloon, Fabrica de Artigos de Vestuario Fan Commissioner, Office of Field Hong Kong. (9/98) Wek Limitada, Av. Venceslau de Operations, United States Customs Golden Wheel Garment Factory, Flat A, Morais, S/N 14 B–C, Centro Ind. Keck Service, 1300 Pennsylvania Avenue, 10/F, Tontex Industrial Building, 2–4 Seng (Torre 1), Macau. (9/99) N.W., Washington, D.C. 20229. Sheung Hei Street, San Po Kong, Fabrica de Artigos de Vestuario Pou Chi, Kowloon, Hong Kong. (9/99) Avenida General Castelo Branco, 13, Additional Foreign Entities Grey Rose Maldives, Phoenix Villa, Andar, ‘‘C’’ Edificio Wang Kai, In the April 6, 1999, Federal Register Majeedee Magu, Male, Republic of Macau. (9/99) notice, Customs also solicited Maldives. (3/98) Glory Growth Trading Company, No. 6 information regarding the whereabouts K & J Enterprises, Witty Commercial Ping Street, Flat 7–10, Block A, 21st of 31 foreign entities, which were Building, 1A–1L Tung Choi Street, Floor, New Trade Plaza, Shatin, New identified by name and known address, Room 1912F, Mong Kok, Kowloon, Territories, Hong Kong. (9/98) concerning alleged violations of section Hong Kong. (9/98) Great Southern International Limited, 592. Persons with knowledge of the Konivon Development Corp., Shun Tak Flat A, 13th floor, Foo Cheong whereabouts of those 31 entities were Center, 200 Connaught Road, No. Building, 82–86 Wing Lok Street, requested to contact the Assistant 3204, Hong Kong. (3/98) Central, Hong Kong. (9/98) Commissioner, Office of Field Kwuk Yuk Garment Factory, Kwong G.T. Plus Ltd., Kowloon Centre, 29–43 Operations, United States Customs Industrial Building, 39–41 Beech St., Ashley Road, 4/Fl, Tsimshatsui, Service, 1300 Pennsylvania Avenue, Flat A, 11th Floor, Tai Kok Tsui, Kowloon, Hong Kong. (3/99) N.W., Washington, D.C. 20229. Kowloon, Hong Kong. (3/98) Jentex Industrial, 7–1 Fl., No. 246, In this document, a new list is being Land Global Ltd., Block c, 14/F, Y.P. Fat Chang An E. Rd., Sec. 2, Taipei, published which contains the names Building, Phase 1, Taiwan. (3/97) and last known addresses of 32 entities. 77 Hoi Yuen Road, Kowloon, Hong Jiangxi Garments Import and Export This reflects the addition of two new Kong. (9/97) Corp., Foreign Trade Building, 60 entities and the removal of 1 entity to Leader Glove Factory, Tai Ping Zhangqian Road, Nanchang, China. the list of 31 entities published on April Industrial Centre, 57, Ting Kok Road, (3/98) 6, 1999. 25/F, Block 1, Flat A, Tai Po, New Liable Trading Company, 1103 Kai Tak Customs is soliciting information Territories, Hong Kong. (3/98) Commercial Building, 62–72 Stanley regarding the whereabouts of the Maxwell Garment Factory, Unit C, 21/F, Street, Kowloon, Hong Kong. (9/98) following 32 foreign entities concerning 78–84, Wang Lung Street, Tseun Wan, Lucky Mind Industrial Limited, Lincoln alleged violations of section 592. Their New Territories, Hong Kong. (3/99) Centre, 20 Yip Fung Street, Flat 11, New Leo Garment Factory Ltd, Galaxy names and last known addresses are 5/F, Fan Ling, New Territories, Hong Factory Building, 25–27 Luk Hop listed below (the parenthesis following Kong. (9/99) Street, Unit B, 18th Floor, San Po the listing sets forth the month and year Mabco Limited, 6/F VIP Commercial Kong, Kowloon, Hong Kong. (9/98) in which the name of the company was Centre, 116–120 Canton Road, Patenter Trading Company, Block C. 14/ first published in the Federal Register): Kowloon, Hong Kong. (3/99) F, Yip Fat Industrial Building, Phase McKowan Lowe & Company Limited, Au Mi Wedding Dresses Company, 1, 77 Hoi Yuen Road, Kowloon, Hong 1001–1012 Hope Sea Industrial Dragon Industry Building, 98, King Kong. (9/97) Centre, 26 Lam Hing Street, Kowloon Law Street, Unit F, 9/F, Lai Chi Kok, Penta-5 Holding (HK) Ltd., Metro Center Bay, Kowloon, Hong Kong. (9/98) Kowloon, Hong Kong. (9/99) II, 21 Lam Hing Street, Room 1907, Rex Industries Limited, VIP Commercial Balmar Export Pte. Ltd., No. 7 Kampong Kowloon Bay, Kowloon, Hong Kong. Center, 116–120 Canton Road, 11th Kayu Road, Singapore, 1543. (3/98) (9/98) Floor, Tsimshatsui, Kowloon, Hong Envestisman Sanayi A.S., Buyukdere Round Ford Investments, 37–39 Ma Tau Kong. (9/98) Cad 47, Tek Is Merkezi, Istanbul, Wai Road, 13/f Tower B, Kowloon, Sannies Garment Factory, 35–41 Tai Lin Turkey. (9/97) Hong Kong. (9/97) Pai Road, Gold King Industrial Essence Garment Making Factory, Shanghai Yang Yuan Garment Factory, Building, Flat A & B, 2nd Floor, Kwai Splendid Centre, 100 Larch Street, 2 Zhaogao Road, Chuanshin, Chung, New Territories, Hong Kong. Flat D, 5th Floor, Taikoktsui, Shanghai, China. (9/97) (9/98) Kowloon, Hong Kong. (3/98) Silver Pacific Enterprises Ltd., Shun Tak Shing Fat Gloves & Rainwear, 2 Tai Lee Fabrica de Artigos de Vest. Dynasty, Center, 200 Connaught Road, No. Street, 1–2 Floor, Yuen Long, New Lda., Avenida do Almirante 3204, Hong Kong. (3/98) Territories, Hong Kong. (9/98) Magalhaes Correia, Edificio Industrial Tak Hing Textile Company Limited, Wo Sun Kong Glove Factory, 188 San Wan Keck Seng, Block III, 4th Floor ‘‘UV’’, Fung Industrial Building, 3/F, block Road, Units 32–35, 3rd Floor, Block B, Macau. (3/98) D, Lot No. 5180, IN D.D 51, On Lok Sheung Shui, New Territories, Hong Fabrica de Artigos de Vestuario Lei Kou, Village, Fanling, New Territories, Kong. (9/98) No. 45 Estrada Marginal de Areia Hong Kong. (3/99) Sun Weaving Mill Ltd., Lee Sum Preta, Edif.Ind.Centro Polytex, 6th Tat Hing Garment Factory, Tat Cheong Factory Building, Block 1 & 2, 23 Sze Floor, D, Macau. (9/98) Industrial Building, 3 Wing Ming
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Street, Block C, 13/F, Lai Chi Kok, 9:00 p.m. at the Internal Revenue Individual comments will be limited to Kowloon, Hong Kong. (3/98) Service Brooklyn Building located at 5 minutes. If you would like to have the Tientak Glove Factory Limited, 1 Ting One Lefrak City Plaza, Corona, Queens, CAP consider a written statement, Kok Road, Block A, 26/F, Tai Po, New NY 11368. For more information or to please call 1–888–912–1227 or 718– Territories, Hong Kong. (3/98) confirm attendance, notification of 488–3555, or write Kevin McKeon, CAP United Textile and Weaving, P.O. Box intent to attend the meeting must be Office, P.O. Box R, Brooklyn, NY 11201. 40355, Sharjah, United Arab Emirates. made with Kevin McKeon. Mr. McKeon The Agenda will include the following: (3/97) can be reached at 1–888–912–1227 or various IRS issues. Wealthy Dart, Wing Ka Industrial 718–488–3555. The public is invited to Note: Last minute changes to the agenda Building, 87 Larch Street, 7th Floor, make oral comments from 6:00 p.m. to are possible and could prevent effective Kowloon, Hong Kong. (3/98) 6:30 p.m. on Friday October 22, 1999. advance notice. Wilson Industrial Company, Yip Fat Individual comments will be limited Dated: September 24, 1999. Factory Building, 77 Hoi Yuen Road, to 5 minutes. If you would like to have MaryClare Whitehead, Room B, 3/F, Kwun Yong, Kowloon, the CAP consider a written statement, Executive Assistant to the National Taxpayer Hong Kong. (3/98) please call 1–888–912–1227 or 718– Advocate. Wing Lung Manufactory, Hing Wah 488–3555, or write Kevin McKeon, CAP [FR Doc. 99–25880 Filed 10–4–99; 8:45 am] Industrial Building, Units 2, 5–8, 4th Office, P.O. Box R, Brooklyn, NY, BILLING CODE 4830±01±U Floor YLTL 373, Yuen Long, New 11201. The Agenda will include the Territories, Hong Kong. (9/98) following: various IRS issues. Yogay Fashion Garment Factory Ltd, Note: Last minute changes to the agenda DEPARTMENT OF THE TREASURY Lee Wan Industrial Building, 5 Luk are possible and could prevent effective Hop Street, San Po Kong, Kowloon, advance notice. Internal Revenue Service Hong Kong. (3/98) Dated: September 24, 1999. Open Meeting of Citizen Advocacy Zuun Mod Garment Factory Ltd., Tuv MaryClare Whitehead, Panel, South Florida Aimag, Mongolia. (9/97) Executive Assistant to the National Taxpayer If you have any information as to a Advocate. AGENCY: Internal Revenue Service (IRS), correct mailing address for any of the [FR Doc. 99–25879 Filed 10–4–99; 8:45 am] Treasury. above 32 firms, please send that BILLING CODE 4830±01±U ACTION: Notice. information to the Assistant Commissioner, Office of Field SUMMARY: An open meeting of the So. Operations, U.S. Customs Service, DEPARTMENT OF THE TREASURY Florida Citizen Advocacy Panel will be 1300 Pennsylvania Avenue, N.W., held in Sunrise, Florida. Washington, D.C. 20229. Internal Revenue Service DATES: The meeting will be held Friday, Dated: September 29, 1999. October 15, 1999 and Saturday, October Open Meeting of Citizen Advocacy 16, 1999. Charles W. Winwood, Panel, Brooklyn District FOR FURTHER INFORMATION CONTACT: Assistant Commissioner, Office of Field Operations. AGENCY: Internal Revenue Service (IRS), Nancy Ferree at 1–888–912–1227, or Treasury. 954–423–7973. [FR Doc. 99–25786 Filed 10–4–99; 8:45 am] ACTION: Notice. SUPPLEMENTARY INFORMATION: Notice is BILLING CODE 4820±02±P hereby given pursuant to Section SUMMARY: An open meeting of the 10(a)(2) of the Federal Advisory Brooklyn District Citizen Advocacy DEPARTMENT OF THE TREASURY Committee Act, 5 U.S.C. App. (1988) Panel will be held in Brooklyn, New that an open meeting of the Citizen Internal Revenue Service York. Advocacy Panel will be held Friday, DATES: The meeting will be held Friday October 15, 1999 from 6:00 p.m. to 9:00 Open Meeting of Citizen Advocacy October 8, 1999. p.m. and Saturday, October 16, 1999 Panel, Brooklyn District FOR FURTHER INFORMATION CONTACT: from 9:00 a.m. to 1:00 p.m., in Room Kevin McKeon at 1–888–912–1227 or 225, CAP Office, 7771 W. Oakland Park AGENCY: Internal Revenue Service (IRS), 718–488–3555. Blvd., Sunrise, Florida 33351. The Treasury. SUPPLEMENTARY INFORMATION: Notice is public is invited to make oral ACTION: Notice. hereby given pursuant to Section comments. Individual comments will be limited to 10 minutes. If you would like SUMMARY: An open meeting of the 10(a)(2) of the Federal Advisory to have the CAP consider a written Brooklyn District Citizen Advocacy Committee Act, 5 U.S.C. App. (1988) statement, please call 1–888–912–1227 Panel will be held in Queens, New that an operational meeting of the or 954–423–7973, or write Nancy York. Citizen Advocacy Panel will be held Friday October 8, 1999, 6:00 p.m. to Ferree, CAP Office, 7771 W. Oakland DATES: The meeting will be held Friday 9:00 p.m. at the Internal Revenue Park Blvd., Rm. 225, Sunrise, FL 33351. October 29, 1999. Service Brooklyn Headquarters Building Due to limited conference space, FOR FURTHER INFORMATION CONTACT: located at 625 Fulton Street, Brooklyn, notification of intent to attend the Kevin McKeon at 1–888–912–1227 or NY 11201. meeting must be made with Nancy 718–488–3555. For more information or to confirm Ferree. Ms. Ferree can be reached at 1– SUPPLEMENTARY INFORMATION: Notice is attendance, notification of intent to 888–912–1227 or 954–423–7973. The hereby given pursuant to Section attend the meeting must be made with agenda will include the following: 10(a)(2) of the Federal Advisory Kevin McKeon. Mr. McKeon can be various IRS issue updates and reports by Committee Act, 5 U.S.C. App. (1988) reached at 1–888–912–1227 or 718– the CAP sub-groups. that an operational meeting of the 488–3555. The public is invited to make Note: Last minute changes to the agenda Citizen Advocacy Panel will be held oral comments from 6:00 p.m. to 6:30 are possible and could prevent effective Friday October 29, 1999, 6:00 p.m. to p.m. on Friday October 8, 1999. advance notice.
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Dated: September 24, 1999. SUPPLEMENTARY INFORMATION: Under the g. Improved Pension Eligibility MaryClare Whitehead, PRA of 1995 (Public Law 104–13; 44 Verification Report (Veteran With No Executive Assistant to the National Taxpayer U.S.C., 3501–3520), Federal agencies Children), VA Forms 21–0516 and 21– Advocate. must obtain approval from the Office of 0516–1. [FR Doc. 99–25881 Filed 10–4–99; 8:45 am] Management and Budget (OMB) for each h. Improved Pension Eligibility BILLING CODE 4830±01±U collection of information they conduct Verification Report (Veteran With or sponsor. This request for comment is Children), VA Forms 21–0517 and 21– being made pursuant to Section 0517–1. DEPARTMENT OF VETERANS 3506(c)(2)(A) of the PRA. i. Improved Pension Eligibility AFFAIRS With respect to the following Verification Report (Surviving Spouse collection of information, VBA invites [OMB Control No. 2900±0101] With No Children), VA Forms 21–0518 comments on: (1) Whether the proposed and 21–0518–1. Proposed Information Collection collection of information is necessary j. Improved Pension Eligibility Activity: Proposed Collection; for the proper performance of VBA’s Verification Report (Child or Children), Comment Request functions, including whether the VA Forms 21–0519C and 21–0519C–1. information will have practical utility; AGENCY: Veterans Benefits (2) the accuracy of VBA’s estimate of the k. Improved Pension Eligibility Administration, Department of Veterans burden of the proposed collection of Verification Report (Surviving Spouse Affairs. information; (3) ways to enhance the With Children), VA Forms 21–0519S ACTION: Notice. quality, utility, and clarity of the and 21–0519S–1. information to be collected; and (4) OMB Control Number: 2900–0101. SUMMARY: The Veterans Benefits ways to minimize the burden of the Type of Review: Extension of a Administration (VBA), Department of collection of information on currently approved collection. Veterans Affairs (VA), is announcing an respondents, including through the use opportunity for public comment on the Abstract: The Eligibility Verification of automated collection techniques or proposed collection of certain Reports are used to report changes in the use of other forms of information information by the agency. Under the entitlement factors in VA’s income- technology. Paperwork Reduction Act (PRA) of based benefit programs, pension and 1995, Federal agencies are required to Title and Form Numbers: Eligibility parents’ Dependency and Indemnity publish notice in the Federal Register Verification Reports (EVR) (Eleven of Compensation (DIC). Any individual concerning each proposed collection of the EVRs are computer-generated forms who has applied for or receives pension information, including each proposed which may be dispatched from VA’s or parents’ DIC must promptly notify extension of a currently approved central computer. The remaining 11 VA in writing of any changes in collection and allow 60 days for public forms (those with a ‘‘-1’’ suffix on the entitlement factors. The reports are also comment in response to the notice. This form number) are stocked forms). used to confirm that there have been no notice solicits comments on the a. Old Law Eligibility Verification changes in entitlement factors. requirements of eligibility verification Report (Surviving Spouse), VA Forms Affected Public: Individuals or reports. 21–0511S and 21–05151S–1. households. DATES: Written comments and b. Old Law Eligibility Verification Estimated Annual Burden: 146,947 recommendations on the proposed Report (Veteran), VA Forms 21–0511V hours. collection of information should be and 21–0511V–1. Estimated Average Burden Per received on or before December 6, 1999. c. Section 306 Eligibility Verification Respondent: 30 minutes. ADDRESSES: Submit written comments Report (Surviving Spouse), VA Forms Frequency of Response: On occasion. 21–0512S and 21–0512S–1. on the collection of information to Estimated Number of Respondents: d. Section 306 Eligibility Verification Nancy J. Kessinger, Veterans Benefits 293,894. Administration (20S52), Department of Report (Veteran), VA Forms 21–0512V Veterans Affairs, 810 Vermont Avenue, and 21–0512V–1. Dated: August 20, 1999. NW, Washington, DC 20420. Please refer e. Old Law and Section 306 Eligibility By direction of the Secretary: to ‘‘OMB Control No. 2900–0101’’ in Verification Report (Children Only), VA Sandra McIntyre, any correspondence. Forms 21–0513 and 21–0513–1. Management and Program Analyst, FOR FURTHER INFORMATION CONTACT: f. DIC Parent’s Eligibility Verification Information Management Service. Nancy J. Kessinger at (202) 273–7079 or Report, VA Forms 21–0514 and 21– [FR Doc. 99–25870 Filed 10–4–99; 8:45 am] FAX (202) 275–5947. 0514–1. BILLING CODE 8320±01±P
VerDate 22-SEP-99 13:15 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\A05OC3.144 pfrm08 PsN: 05OCN1 eDt 2SP9 55 c 4 99Jt134 O000Fm001Ft41 ft41 :F\M0OP.X fm1PsN:05OCP2 pfrm01 E:\FR\FM\05OCP2.XXX Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 15:59Oct04, 1999 VerDate 22-SEP-99 federal register October 5,1999 Tuesday Proposed Rule Resource ManagementPlanning; National ForestSystemLandand 36 CFRParts217and219 Forest Service Agriculture Department of Part II 54073 54074 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules
DEPARTMENT OF AGRICULTURE Purpose, Goals, and Principles Applicability and Transition Proposed section 219.1—Purpose. Proposed section 219.34—Applicability. Forest Service Proposed section 219.2—Goals and Proposed section 219.35—Transition. principles for planning. 36 CFR Parts 217 and 219 Definitions The Framework for Planning Proposed section 219.36—Definitions. RIN 0596±AB20 Proposed section 219.3—Overview. Public Comment Invited Proposed section 219.4—Topics of general National Forest System Land and interest or concern. Regulatory Certifications Resource Management Planning Proposed section 219.5—Information development and interpretation. Regulatory Impact AGENCY: Forest Service, USDA. Proposed section 219.6—Proposed actions. No Takings Implications ACTION: Proposed rule. Proposed section 219.7—Plan decisions that Civil Justice Reform Act guide future actions. Unfunded Mandates Reform SUMMARY: The Department requests Proposed section 219.8—Amendment. Environmental Impact comment on a proposed rule to guide Proposed section 219.9—Revision. Controlling Paperwork Burdens on The land and resource management Proposed section 219.10—Site-specific Public Description of the Information planning for the National Forest System. decisions and authorized uses of land. Collection Use of Comments This proposed rule describes the Proposed section 219.11—Monitoring and Federalism framework for National Forest System evaluation. Background planning; makes sustainability the Collaborative Planning for Sustainability foundation for National Forest System Proposed section 219.12—Collaboration and The Forest Service is responsible for planning and management; and cooperatively developed landscape goals. managing the lands and resources of the establishes requirements for Proposed section 219.13—Coordination National Forest System which includes implementation, monitoring, evaluation, among federal agencies. 192 million acres of land in 42 states, amendment, and revision of land and Proposed section 219.14—Involvement of the Virgin Islands, and Puerto Rico. The state and local governments. resource management plans. The system is composed of 155 national intended effects are to simplify, clarify Proposed section 219.15—Interaction with American Indian Tribes and Alaska. forests, 20 national grasslands, and and otherwise improve the planning Proposed section 219.16—Relationships with various other lands under the process; to reduce burdensome and interested individuals and organizations. jurisdiction of the Secretary of costly procedural requirements; and to Proposed section 219.17—Interaction with Agriculture (the Secretary). According strengthen collaborative relationships private landowners. to the Multiple-Use Sustained-Yield Act with the public and other government Proposed section 219.18—Role of advisory of 1960 (MUSYA) (16 U.S.C. 528) and entities. groups and committees. the National Forest Management Act of DATES: Comments must be submitted in Ecological, Social, and Economic 1976 (16 U.S.C. 1600 et seq.), the writing and received by January 4, 2000. Sustainability National Forest System lands are to be Public meetings will be held at places Proposed section 219.19—Ecological, social, managed for a variety of uses on a and on dates yet to be determined. and economic sustainability. sustained-yield basis to ensure a Notice of the times, places, and Proposed section 219.20—Ecological continued supply of products and locations will be published in a future sustainability. services in perpetuity. edition of the Federal Register. Proposed section 219.21—Social and economic sustainability. The National Forest Management Act ADDRESSES: Send written comments to (NFMA) guides land management the CAET–USDA, Att. Planning Rule, The Contribution of Science planning for National Forest System Forest Service, USDA, 200 East Proposed section 219.22—The role of lands. It directs the Secretary to Broadway, Room 103, P.O. Box 7669, assessments, analyses, and monitoring. develop, maintain, and, as appropriate, Missoula, Montana 59807, via email at Proposed section 219.23—The participation revise land and resource management planreg/[email protected], or FAX of scientists in planning. Proposed section 219.24—Science plans for units of the National Forest (406) 329–3021. System and sets forth the requirements Comments, including names and consistency evaluations. Proposed section 219.25—Science advisory for doing so. During the 23 years since addresses when provided, are subject to boards. enactment of NFMA, much has been public inspection and copying. The Special Considerations learned about land and resource public may inspect comments received management planning. Yet, many on this proposed rule in the Office of Proposed section 219.26—Identifying and controversial issues regarding the Deputy Chief, Third Floor, Southwest designating suitable uses. Proposed section 219.27—Special appropriate short- and long-term use of Wing, Yates Building, 14th and national forests and grasslands remain. Independence Avenue, SW, designations. Proposed section 219.28—Determination of While some advocates of land and Washington, DC, between the hours of land suitable for timber removal. 8:30 a.m. and 4:00 p.m. resource management planning believed Proposed section 219.29—Limitation on it would lead to resolution of the issues FOR FURTHER INFORMATION CONTACT: timber removal. associated with the management of Robert S. Cunningham at (406) 329– Planning Documentation natural resources, it has not. Difficult 3388. Proposed section 219.30—Land and resource issues remain among competing SUPPLEMENTARY INFORMATION: The management plan documentation. interests. Land and resource following outline displays the contents Proposed section 219.31—Maintenance of the management planning and attendant of the preamble to this proposed rule. plan and planning records. decisionmaking cannot be expected to Background National Forest Management Act Objections and Appeals resolve all problems; however, Requirements Proposed section 219.32—Objections to improved planning procedures can The Proposed Planning Process amendments or revisions. more fully engage the public and lead to Section-by-Section Description of the Proposed section 219.33—Appeals of site- mutually developed landscape goals Proposed Rule specific decisions. and improved public participation in
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The expanded diversity, use of ecosystem assessments Committee’s report, in developing this requirements for collaboration and in land and resource management proposed rule the team also considered scientific input in the proposed new planning, spatial and temporal scales for the 1990 Critique of land and resource planning process will result in planning, public participation management planning, and the various expanded management choices and processes, sustainable forestry, laws, regulations, and reports influential more fully informed decisionmaking to interdisciplinary analysis, and any other in guiding planning and management of ensure the long-term sustainability and issues that the Committee identifies that the National Forest System, including, health of national forests and should be addressed in revised planning but not limited to: grasslands. regulations.’’ USDA Under Secretary The National Forest Management Act; In March 1989, the Forest Service Lyons noted at the Committee’s initial The National Environmental Policy initiated a comprehensive review of its meeting that the Committee’s challenge Act; land and resource management was to ‘‘produce a set of The Multiple-Use Sustained-Yield planning process. Results of the review recommendations that will guide us in Act; were published in May 1990, in a developing the next generation of forest The Endangered Species Act; summary report entitled ‘‘Synthesis of plans.’’ The Federal Land Policy and the Critique of Land Management Following a series of meetings around Management Act; Planning’’ (Vol. 1), accompanied by ten the country with Forest Service Administrative direction in the Forest other more detailed reports. The 1990 employees, representatives of tribes, Service Manual and Handbooks; Critique documented lessons learned state and local governments, related The Council on Environmental since passage of the NFMA and federal natural resource agencies, and Quality, ‘‘The Cumulative Effects adoption of initial plans under that law. members of the public, the Committee Handbook’’ The Critique provided of Scientists issued a final report on The 1983 Bureau of Land recommendations to improve planning March 15, 1999. The Committee Management Planning Regulations (40 and the management of national forests recognized the extraordinary legacy that CFR Part 1600); and and grasslands and to more effectively is the National Forest System and The Council on Environmental engage the public in addressing future characterized these lands as ‘‘a grand Quality, ‘‘The National Environmental natural resource management experiment in multiple-use Policy Act: A Study of its Effectiveness challenges. management.’’ The Committee After Twenty-five Years.’’ On February 15, 1991, the Forest concluded that, through careful National Forest Management Act Service published an Advance Notice of management, National Forest System Requirements Proposed Rulemaking (56 FR 6508) lands can continue to provide many and which included preliminary regulatory diverse benefits to the American people Section 6 of the National Forest text revising the existing planning rule. in perpetuity. These benefits include Management Act (NFMA) specifies the Four public informational meetings clean air and water, productive soils, requirements for the regulations that were held to explain and discuss ideas biological diversity, a wide variety of guide National Forest System planning. for revising the planning procedure. products and services, employment, A synopsis of those requirements Over 600 individuals and several groups community development opportunities, follows, along with an identification of of people submitted written comments. and recreation. National Forest System the sections of the proposed planning These comments were used in the lands also can provide incalculable rule where the requirements are development of a proposed rule benefits such as beauty, inspiration, addressed. published on April 13, 1995 (60 FR wonder, and a refuge for the renewal of Section 6(d) of NFMA requires public 18886). the human spirit. Finally, recognizing participation in the development, A substantial number of public innovative efforts in the field, the review, and revision of land comments were received on the Committee concluded that the Forest management plans. In response to this proposed rule, generally expressing Service, as the steward of the people’s provision and the Committee’s strong dissatisfaction with proposed changes lands, can improve its planning and recommendations on collaborative in the planning process. In part, as a decisionmaking by relying on the planning, the proposed rule places result of public concern with changes concepts and principles of sustainable increased emphasis on the cooperative proposed, the Secretary elected not to natural resource stewardship, by development of land management plans, proceed with this proposal. applying the best available scientific requiring planners and managers to In order to take a fresh look at the knowledge to management choices, and provide the opportunity and motivation issues associated with land and resource by effectively collaborating with a broad for public participation in every phase management planning and to obtain an array of citizens, other public servants, of the planning process. In § 219.2(d)(1) independent perspective, in December and governmental and private entities. of the proposed rule, the goal, as written 1997, the Secretary of Agriculture Based on the Committee of Scientists’ by the Committee of Scientists, convened a 13-member Committee of findings, the draft regulatory text it specifically speaks to meaningfully Scientists to review the Forest Service contained, and over two decades of engaging the American people in the planning process and to offer experience in developing and stewardship of their national forests and recommendations for improvements. implementing land and resource grasslands to ‘‘build stewardship The Committee’s charter was to management plans, a team of Forest capacity.’’ Sections 219.12 through ‘‘provide scientific and technical advice Service employees, aided by an 219.18 (Collaborative planning for to the Secretary of Agriculture and the interagency steering committee, sustainability) would establish the Chief of the Forest Service on prepared this proposed rule. The Forest requirements for public involvement improvements that can be made in the Service rule writing team was selected including consultation and interaction National Forest System Land and from different management levels with American Indian Tribes and Resource Management Planning Process within the organization and included Alaska Natives, adjacent landowners and to address such topics as how to representation from the National Forest and interested individuals as well as consider the following in land and System, Research, and State and Private establishing the requirements for resource management plans: biological program areas. In addition to the involving state and local governments
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The requirements for resource protection. standards to ensure that trees have public involvement described in these In § 219.12 (Collaboration and reached the culmination of mean annual sections are a key feature in the cooperatively developed landscape increment, the use of sound silvicultural proposed planning rule. goals), the proposed rule addresses practices, and that standards do not Section 6(e) of NFMA requires plans application of the nation’s preclude salvage or sanitation harvest. to provide for: (1) The multiple-use and environmental policy as described in Exceptions to these standards include sustained-yield of products and services the NEPA. Compliance with the consideration of other resource uses. from National Forest System lands; and procedural requirements of NEPA is The requirement for the identification (2) the determination of forest addressed in §§ 219.3 through 219.11 of lands not suitable for timber silvicultural systems, harvest levels and (The framework for planning). It is production is included in § 219.28 procedures, and the availability of lands important to note that the Forest Service (Determination of land suitable for and their suitability for timber NEPA procedures are to guide timber removal). The process for production. decisionmaking procedures described in estimating long-term costs and benefits The multiple-use, sustained-yield these sections. related to timber management is objective is embodied in the goal at Land suitability and the identification addressed in § 219.21 (Social and § 219.2(b)(1). Sections 219.19 through of special conditions and resource economic sustainability). The 219.21 make ecological, social, and hazards are addressed in § 219.26 requirement for a summary of economic sustainability the overall goal (Identifying and designating suitable information in the form of an annual for National Forest System management uses) and in § 219.27 (Special report is included in §§ 219.30 and to provide for the multiple-use and designations). Inventory data collection 219.31 (Planning documentation). The sustained-yield of the products and is addressed in §§ 219.22 through procedures to ensure harvest of timber services derived there from. Additional 219.25 (The contribution of science) and within the requirements of NFMA statutory requirements, including timber § 219.5 (Information development and including the mean annual increment, management systems (§ 219.7), harvest interpretation). the practice of sound silvicultural levels, and availability and suitability of The economic and environmental systems, and direction for salvage or lands, are incorporated in §§ 219.26 aspects of resource management are sanitation harvests are included in the through 219.29 (Special considerations). addressed in §§ 219.19 through 219.21 Forest Service Directive System. Section 6(f) of NFMA lists five (Ecological, social and economic requirements: (1) The development of sustainability), § 219.4 (Topics of The Proposed Planning Process one integrated land and resource general interest or concern) and in Statutory Background and Overview management plan for each unit of the § 219.6 (Proposed actions). The diversity National Forest System; (2) the of plant and animal species, protection Under the Forest and Rangeland embodiment of the plan in appropriate of riparian or wetland resources, and Renewable Resources Planning Act of written material; (3) interdisciplinary research needs are addressed indirectly 1974, as amended by the National Forest plan development; (4) amendment of in §§ 219.22 through 219.25 (The Management Act of 1976 (NFMA), the the plan as needed; and (5) revision of contribution of science), and directly in Secretary of Agriculture is required to the plan from time to time or at least §§ 219.19 through 219.21 (Ecological, ‘‘develop, maintain, and, as appropriate, every 15 years. The requirements of this social and economic sustainability). revise land and resource management section are addressed in §§ 219.3 Various requirements for the plans for units of the National Forest through 219.11 which describe the management of timber resources are System.’’ 16 U.S.C. 1604(a). Land and proposed planning framework, in addressed in § 219.28 (Determination of resource management plans, in large §§ 219.30 and 219.31 (Planning land suitable for timber removal) and part, furnish overall programmatic documentation) which describe the § 219.29 (Limitation on timber removal). guidance for the management of content of a land and resource Fundamental natural resource individual national forests and management plan, and in § 219.8 protection is highlighted in §§ 219.3 grasslands and the design of site- (Amendment) and § 219.9 (Revision). through 219.11 (The framework for specific projects such as timber sales or Section 6(g) of NFMA requires the planning) and in §§ 219.19 through watershed restoration projects. development of planning regulations 219.21 (Ecological, social, and economic Currently, all national forests and that are in compliance with the sustainability). grasslands are operating under land and Multiple-Use Sustained-Yield Act. Sections 6(i) and (j) of NFMA require resource management plans developed Section 6(g) also requires: (1) that resource management actions be under the existing forest planning Compliance with the National consistent with land management plan regulations. There are two ways that Environmental Policy Act (NEPA); (2) direction and define when plans these plans can be changed: revision guidelines for the identification of land become effective. Consistency with land and amendment. The NFMA requires suitability, gathering inventory data and and resource management plan revision of plans at least every 15 years, the identification of resource hazards; decisions and the date when land and and revision can also occur whenever and (3) guidelines that ensure economic resource management plans become circumstances affecting the entire plan and environmental aspects of resource effective are addressed in §§ 219.3 area or major portions of it have management; ensure maintenance of the through 219.11 (The framework for changed significantly. The proposed diversity of plant and animal species; planning) and in § 219.35 (Transition). rule will set standards for the upcoming ensure that research is conducted; Section 6(k) of NFMA requires the revision of most of the existing land and permit increases in harvest based on identification of lands not suitable for resource management plans, which specific requirements; ensure the timber production. Section (6)(k)(1) were adopted in the 1980’s and early harvest of timber based on various requires a process for estimating long- 1990’s. Amendment is a means of resource conditions; specify term costs and benefits related to timber updating the forest plan’s programmatic silvicultural requirements; identify management; and section (6)(k)(2) direction between the periodic revisions riparian or wetland protection needs; requires a summary of this information that must occur every 15 years. The and describe specific harvest systems in the form of an annual report. The proposed rule provides for a flexible
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54077 ongoing process of investigating and Any person may file objections to a applicable land management plan does responding to new information, which proposed revision within 30 days of not mean that it will actually go can lead to either the revision or publication of the availability of the forward, or that it can be undertaken amendment of plans or the development final NEPA document (§ 219.32). The without further scrutiny. Rather, when of appropriate site-specific projects to responsible official must prepare a an individual project (such as a timber address changing circumstances as they written response to the objection by the sale or closure and obliteration of an arise. time a decision is reached. Any final unneeded road) is proposed, the agency decision to revise plans will become undertakes an individual study of its The Content of Plans effective 30 days after notice of the likely environmental effects and renders Under the proposed rule, land and decision is published in the Federal a formal decision regarding it. The resource management plans would Register. Forest Service is required by statute to contain four categories of decisions provide opportunities for public notice Amendment (§ 219.7). First, they establish desired and comment, along with a right of resource conditions to achieve long- In addition to revision, a land and administrative appeal for all ‘‘proposed term sustainability (which may include, resource management plan may also be actions of the Forest Service concerning but are not limited to, the desired amended (§ 219.8) to add, remove, or projects and activities implementing watershed and ecological conditions modify one or more of the decisions land and resource management plans.’’ and aquatic and terrestrial habitat embodied in a forest plan. characteristics). Second, the plans Like other Forest Service actions, Ongoing Process contain goals (statements of intent), proposed amendments require The proposed planning rule sets out objectives (measurable results intended compliance with NEPA. As part of the an innovative planning framework to to achieve goals), standards, and NEPA process, the responsible official update land and resource management guidelines. The standards and must determine whether the plans. The goal is to create a planning guidelines provide criteria for the significance of the proposed process that enables responsible design of site-specific projects that amendment’s impact on the officials to amend their plans quickly address such important considerations environment, and whether an and soundly in response to new as species and their habitat, timber environmental impact statement is information or changed conditions. harvest guidelines, and watershed required. The NFMA also requires that Formally, the proposed planning integrity. Third, plans include the the Forest Services determine whether process (Appendix A) for updating designation and identification of amendments are significant under this plans begins with a topic(s) of general suitable uses within the plan area (e.g., statute as well. The proposed rule interest or concern (§ 219.4). Sources for lands where timber production is an simplifies this NFMA finding by linking these topics of general interest or appropriate objective) and designations it to the required significance concern may include new Forest Service of special areas. Finally, the plans determination under NEPA. Thus, the conservation initiatives, enactment of contain monitoring and evaluation responsible official must make only one new laws or policies, discussions among requirements, which guide ongoing determination of significance, under the people, organizations, or governments, forest or grassland management. well-known standards of NEPA. For etc. or information generated from a The addition, removal, or significant amendments, the preparation later stage of the planning process. For modification of any of these decisions of an environmental impact statement example, monitoring and evaluation requires either revision or amendment and a 90-day public comment period are plays a key role in the proposed of the plan. required. For non-significant planning process. Under the proposed amendments, less detailed levels of rule, information from inventory and Revision NEPA compliance such as the monitoring would feed back into the Under the proposed planning rule, a preparation of environmental proposed planning process at various land and resource management plan assessments are appropriate. There is points throughout the process and could must be revised whenever the same opportunity for persons to file lead to the development of a topic of circumstances affecting the entire plan objections to proposed amendments as general interest or concern. Information area or major portions of the plan area there is for proposed revisions from a broad-scale assessment or local have changed significantly or the plan (§ 219.32). All decisions to approve analysis could also lead to the has reached its 15-year statutory age amendments become effective after the development of a topic of general limit (§ 219.9). To begin the revision responsible official gives notice of the interest or concern. process, the responsible officials would proposed decision. Once a general topic of concern arises, summarize existing information and the responsible official would have to provide for scientific review of the Site-Specific Projects determine whether the topic should effectiveness of current management, The NFMA provides that ‘‘[r]esource receive consideration (§ 219.4). In so among other steps, and make this plans and permits, contracts, and other doing, the official would consider the information available for public review. instruments for the use and occupancy criteria listed in § 219.4(b). If, after using The responsible officials must then of the National Forest System lands these criteria, the responsible official publish a Notice of Intent to revise in shall be consistent with the land determined that a topic of general the Federal Register, and provide for a management plans.’’ 16 U.S.C. 1604 (i). interest or concern should receive second opportunity for public comment If a proposed site-specific activity is not further consideration, the responsible for at least 45 days regarding the scope consistent with the land management official would then evaluate whether of the proposed revision. Following any plan, the responsible official may adequate information existed about the adjustment in the scope of the revision ‘‘[m]odify the proposal to make it topic (§ 219.5). Information could come in response to these comments, the consistent with the plan’’; ‘‘[r]eject the from a number of existing sources, responsible officials must prepare a proposal’’; or ‘‘[a]mend the plan to including existing inventories, broad- NEPA document on the proposed permit the proposal.’’ 53 FR 26,836 scale assessments, local analyses, or revision and provide at least a 90-day (1988). However, the fact that a from information voluntarily submitted public comment period. proposed activity is consistent with the from interested parties. If obtaining
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 54078 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules more information was desirable and and evaluation would aid in for people, communities, and could be obtained at a reasonable cost identification of new topics of general organizations to work together to and in a timely manner, a broad-scale interest or concern, the development of develop mutual understanding assessment or local analysis could be new assessments, and the selection regarding desired resource conditions developed or supplemented. process for site-specific projects. and outcomes as well as to develop Broad-scale assessments provide Although monitoring and evaluation multiple-use management options information regarding ecological, is the last step in describing the designed to achieve desired resource economic, or social topics that are broad planning process, it does not end the conditions and outcomes in ways that in geographic scale. In most cases, they planning process. Indeed, in practice respond to public interests or concerns. go well beyond individual national these monitoring and evaluation Consistent with the 1990 Critique, as forest and grassland boundaries. The requirements, like the broad-scale validated by the Committee of results from assessments are not assessments and local analyses Scientists’ report, the proposed rule proposed actions or decisions subject to described above, would provide emphasizes monitoring and evaluation NEPA procedures. But under the important feedback information that so that managers and others can proposed rule, their findings and would continuously link planning to evaluate management performance, conclusions could be used to inform the plan implementation. Under the determine if desired and/or anticipated planning process and/or develop new proposed planning rule, a national outcomes are achieved, and adapt as topics of general interest or concern. forest or grassland, like a business or resource conditions change over time. Similarly, local analyses provide other large organization, would always This emphasis is in keeping with information that aids in the be ready to respond quickly to new NFMA’s mandate to evaluate the effects identification of possible actions or information or changed conditions. of management systems, based on projects on a more local scale. Under the proposed rule, the exact continuous monitoring and assessment Depending on the situation, broad-scale planning process might be very different in the field, to ensure that substantial assessments and local analyses should on two different national forests or and permanent impairment of the provide information related to grasslands, depending on the amount of productivity of the land will not result ecological factors set forth in § 219.20 monitoring and assessment information (16 U.S.C. 1604(g)(3)(C)). and/or social and economic factors set that exists, the problems and The proposed rule would affirm forth in § 219.21. These assessments and opportunities facing the administrative ecological, social, and economic analyses do not make decisions, but units, the level of public involvement in sustainability as the overall goal for instead provide information which may the planning process, etc. These management of National Forest System assist in subsequent decisions. Although differences would enable National lands. To achieve sustainability, the first the assessments and analyses will often Forest and Grassland Supervisors to priority for management is the involve extensive public participation, amend or revise their land and resource maintenance and restoration of persons only have legal rights to management plans in ways that best ecological sustainability to provide a comment or participate if the match the complex issues and sustainable flow of products, services responsible officials make actual conditions they face. It would also make and other values from these lands. As decisions regarding revisions, planning a meaningful exercise that the Committee of Scientists explained, amendments, or site-specific projects. If better promotes the health of the making ecological sustainability the first the assessments or analyses affect actual resources on our national forests and priority does not mean that the agency decisions, the public will necessarily grasslands setting more realistic will maximize the protection of plant have an opportunity to comment before expectations for the goods, services, and and animal species to the exclusion of actual decisions are made. Furthermore, amenities the national forests and human values and uses. Rather, it there is no right to judicial review of the grasslands can provide. Of course, plans means that, without ecologically broad-scale assessments and local would still have to meet the broad sustainable systems, other uses of the analyses, which responsible officials are framework goals and principles for lands and their resources would be encouraged rather than legally planning and specific requirements in impaired (Committee of Scientists’ mandated to undertake to update their the proposed rule. report, page xvi.). knowledge of changing conditions. The proposed rule also would Based on consideration of the criteria Key Elements of Planning simplify required planning steps to in § 219.4(b) and available information The proposed planning process is enable responsible officials to more in § 219.5, responsible officials could built upon the fundamental statutes that readily address emerging issues than is propose to revise a plan, amend it, and/ have guided national forest management now possible with current required or propose a site-specific project for nearly a century as well as the planning steps. For example, the (§ 219.10). In each case, they would be wealth of experience gained since the proposed rule would clarify that, where required to analyze alternatives and passage of NFMA and the initiation of appropriate, multiple planning activities effects of the proposal in conformance the land and resource management of one or more national forests or with agency NEPA procedures. A formal process. The Committee of Scientists’ grasslands can be combined among NEPA process would ensue, although, a report serves as a synthesis of this administrative boundaries. responsible official may use the above information and provides valuable Additionally, current requirements for planning process to accomplish the guidance in understanding the detailed analyses, such as those NEPA scoping process. These decisions successes and failures of forest planning required for benchmark analyses, would all give the public opportunities for to date. be streamlined or eliminated. The input, either through objections The proposed rule sets forth a new current regulatory criteria for (revision or amendment), or notice and collaborative, adaptable planning determining whether a proposed comment and administrative appeal process that fully engages the public amendment would result in a significant (site-specific projects). and requires use of the best available change in a plan, triggering Monitoring and evaluation assess the science to ensure informed requirements under section 6(f)(4) of effectiveness of the plan (§ 219.11). decisionmaking. The process set forth in NFMA, would be revised. Under the Under the proposed rule, monitoring the proposed rule creates opportunities proposed rule, the significance of a
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00006 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54079 proposed amendment for NFMA Through this collaborative approach, time. Consistent with the 1990 Critique purposes would be linked to the and by providing interested publics as validated by the Committee of threshold for significance under NEPA with additional information regarding Scientists’ report, the proposed rule procedures. This will coordinate NFMA management direction, outcomes, and emphasizes monitoring and evaluation and NEPA requirements, and eliminate accomplishments for each management so that management can be adapted as confusion associated with having two unit, the proposed planning process conditions change over time. This different thresholds for significance in seeks to encourage the public’s active emphasis is in keeping with NFMA’s the planning process. The proposed rule involvement in forest planning. This direction to ensure research on also allows the steps in the planning approach is not only consistent with the evaluation of the effects of each framework to be coordinated with the direction provided in NFMA and other management system, based on scoping requirements under the Forest statutes guiding land and resource continuous monitoring and assessment Service NEPA procedures when management, but is also in concert with in the field, to the end that it will not appropriate. This will reduce the underlying philosophy of national produce substantial and permanent duplication when preparing forest management as reflected in impairment of the productivity of the environmental documents associated guidance provided by Gifford Pinchot in land (16 U.S.C. 1604(g)(3)(C)). As noted with management of the National Forest the first Forest Service administrative by the Committee, ‘‘Monitoring is a key System. manual, ‘‘Uses of the National Forests’’ component of planning * * *. A key element of the proposed rule is (1907), in which he stated, ‘‘National Monitoring procedures need to be increased emphasis on collaboration as Forests are made for and owned by the incorporated into planning procedures a means to encourage broader public people. They should also be managed by and should be designed to be part of the participation in the planning process. the people. * * * If National Forests information used to inform decisions. The rules provide for regular and are going to accomplish anything Adaptive management and learning are sustained involvement of other federal worthwhile the people must know all not possible without effective natural resource agencies, tribal about them and must take a very active monitoring of actual consequences from governments, state and local part in their management. What the management activities.’’ governments, interested organizations, people as a whole want will be done. To Finally, the proposed planning and the public in a continuing process do it, it is necessary that the people process provides for the establishment of discussion and collaboration. carefully consider and plainly state just of science advisory boards to improve The Committee of Scientists heard what they want and then take a very access for decisionmakers and planners that many people are tired of the active part in seeing that they get it.’’ to current scientific information and demands placed on the public and the analysis. The role of these science agency by the current planning process. Emphasis on Science in Planning boards, and of scientists in the planning Many report that detailed analyses and Another key element in the proposed process, in general, is emphasized by seemingly endless meetings have planning process is renewed emphasis the following observation of the resulted in planning documents deemed on the use of science in planning and Committee of Scientists, ‘‘To ensure obsolete before their completion. Public the role of scientists in the public trust and support innovation, concerns and events have sometimes decisionmaking process. The proposed scientific and technical review overtaken the Forest Service’s ability to rule requires use of the best available processes need to become essential respond. In an effort to avoid this in the science to improve the ability of people, elements of management and future, the proposed rule provides a communities, and organizations to work stewardship. * * * The more that planning framework that facilitates the together to develop mutual conservation strategies and management identification and responsive resolution understandings about desired resource actions are based on scientific findings to emerging problems such that plans conditions and outcomes as well as to and analysis, the greater the need for an ensure long-term sustainability and develop multiple-use management ongoing process to ensure that the most address evolving conditions. options that respond to public interests current and complete scientific and Under the proposed rule, or concerns in the context of best technical knowledge is used.’’ improvements to management practices available information and analysis. would be made based upon The rule would incorporate science Learning and Improving Planning cooperatively developed landscape and scientists in the planning and In summary, the proposed planning goals and other topics of general interest decisionmaking process in a number of process provides for a continuous, or concern which can emerge from a ways. collaborative approach to planning variety of sources such as collaboration, First, the rule recognizes the lessons based upon best available scientific monitoring, evaluation, broad-scale learned in recent years in the information and analysis and the assessments, local analyses, new laws development and analysis of scientific concepts of ecological, social, and and policies, or simply from discussions information as it affects natural resource economic sustainability. This new and among interested persons. The proposed management on a regional basis. The improved approach to planning is planning process would provide for use of regional ecosystem assessment, as consistent with the statutory consideration of identified topics of a basis for understanding the scientific, foundations for national forest and general interest or concern, ecological, social, and economic issues grassland management, experiences development of information as needed, affecting resource conditions and trends learned over the course of two decades and proposals for agency action when has proved extremely valuable as a of land and resource management appropriate for resolution. Additionally, means of generating baseline data for planning under the NFMA, and the the proposed rule requires annually use in planning and decisionmaking. recommendations of the Committee of updated displays of proposed, In addition, as efforts continue to Scientists. authorized, and completed actions, and adopt the principle of adaptive The proposed planning process is annually updated 2-year projections of management to guide natural resource built upon the learning and innovation anticipated outcomes, products, and stewardship, greater emphasis needs to that has occurred and continues to services to provide realistic estimates be placed on evaluating resource occur among decisionmakers, scientists, based upon on-the-ground analyses. conditions and monitoring trends over and collaborators, as observed by the
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Committee of Scientists. Thus, the to be at once visionary and pragmatic in this proposed rule. Thus, the plan is a proposed process is not a ‘‘cookbook’’ guiding decisionmaking. repository of the information and for making decisions, but a process that decisions required by the proposed rule. The Framework for Planning encourages learning and the evolution Paragraph (b) describes the levels of of new ideas that will improve the Proposed Section 219.3—Overview. planning at the national, regional, or planning process over time. Paragraph (a) of this section lays out national forest or grassland level depending on the nature and scope of Section-by-Section Description of the the conceptual foundation of the topics of general interest or concern. Proposed Rule proposed rule. Rather than viewing planning as an activity with a fixed This paragraph also establishes the Purpose, Goals, and Principles beginning and ending, with rigid Forest or Grassland Supervisor as the responsible official for the land and Proposed Section 219.1—Purpose. procedural steps and somewhat artificial analytical requirements, the resource management plan. Under the This section describes the purpose of proposed rule recognizes planning as a existing rule, the Regional Forester is the proposed rule. The proposed rule continuous, dynamic process that is the responsible official for land and would (1) describe the framework for driven by public interests or concerns resource management plans. This National Forest System resource about National Forest System resources proposed change in responsibility is planning and decisionmaking; (2) or management, the results of based on the changing nature of the encourage public participation and monitoring and evaluation, or other new planning process. The existing rule was collaboration in resource management information. One of the underlying designed for the initial development of decisionmaking; (3) incorporate concepts is that now that the first round land and resource management plans principles of sustainable resource of plans are in place, the process should and, because such plans had never been management; and (4) establish not focus on how to create new plans, prepared, it was decided that the requirements for implementing, but rather on how to improve upon the Regional Forester should be the amending, revising, monitoring, and plans that are in effect. Thus, the responsible official. However, now that evaluating land and resource proposed rule focuses on amending and the first iteration of plans has been management plans. Land and resource revising plans and gathering better and adopted, a revised planning rule should management plans for all units of the more comprehensive information on focus on the revision, amendment, and National Forest System have been which to base plan decisions. The key implementation of the existing land and developed under the existing rule. to gathering better information is resource management plans. The Therefore, the proposed rule focuses on through conducting broad-scale proposed rule would allow for one or planning procedures and the assessments and ensuring independent more Regional Foresters or the Chief of amendment and revision of the existing reviews and advice from scientists. the Forest Service to undertake planning land and resource management plans. Another important conceptual which would amend simultaneously Proposed Section 219.2—Goals and difference between this proposed rule several relevant land and resource Principles for Planning. and the existing planning rule is the management plans for needs affecting a emphasis on collaborative planning. larger geographic area than that covered This section of the proposed rule Under the proposed rule, the by a single national forest or grassland. would establish five goals to be responsible official is expected to Issues that might warrant such a considered in land and resource actively seek and encourage citizens, regional approach include the recovery management planning and organizations, and governments to of an endangered species or regional decisionmaking. For each goal, this participate fully in identifying topics of forest health issues. section sets out associated principles. general interest or concern that may The proposed rule provides for The goals and principles for planning require some action and to participate in linkage of various planning processes are those recommended by the deciding whether an interest or concern and levels. In the proposed rule, Committee of Scientists, and emphasize is ready to be addressed. This is a resource management plans would be the concepts of sustainable resource fundamentally different approach than related in substantive and meaningful management, collaboration, and that in the existing rule. The existing ways to the long-term goals and stewardship of the National Forest rule requires input from others less objectives of the Forest Service to System and are intended to be frequently and more formally than ensure progress toward those national- statements of best planning practices. anticipated under the proposed rule. level goals and objectives. Proposed The five goals of planning and Another significant addition to the paragraph (b) would establish the management are, in the words of the planning process under this proposed context for land and resource Committee of Scientists, (1) to strive to rule is the integration of site-specific, management plans and the need for assure the ecological sustainability of project-level analysis and consideration of the Forest Service’s our watersheds, forests, and rangelands; decisionmaking into the planning national strategic, long-term goals, (2) as part of the overall goal of framework. The current planning rule is objectives, and outcome measures in sustainability, promote economic and limited to forest planning at the resource management planning. social sustainability by providing for a programmatic level; no direction is Proposed paragraph (c) identifies the wide variety of uses, values, products, given on planning, analyzing, and key elements in land and resource services, and community benefits; (3) to approving site-specific actions that management planning and the recognize and efficiently integrate apply the decisions adopted in plans or decisionmaking process: (1) Broad-scale national forest and grassland that achieve the desired conditions, assessments (§ 219.4(b)) and management into the broader goals, or objectives established in plans. Cooperatively developed landscape geographic, legal, political, and social In addition, another significant goals (§ 219.12(b)); (2) Topics of general landscape within which national forests change from the existing rule is the interest or concern; (3) Information and grasslands exist; and (4) to recognition that a meaningful forest or development and interpretation; (4) meaningfully engage the American grassland plan cannot be bound Proposed actions; (5) Plan decisions that people in the stewardship of their between two covers, but must allow for guide future actions; (6) Amendment; national forests and grasslands; and (5) the continuous changes anticipated by (7) Revision; (8) Monitoring and
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These assessments would appropriate, acting on topics of general either too quick to act in initiating use the best available scientific interest or concern that may emerge procedural requirements of NEPA to information and analysis in describing from a variety of sources, such as the resolve potential problems or too slow. the historic and current biological, results of monitoring and evaluation, With regard to the former, acting too physical, social, and economic new information, collaboratively quickly without all of the information conditions. The assessments would developed landscape goals, or needed to properly define and resolve present findings and conclusions that discussions with those interested in the issue, and without initially describe the status and trends of National Forest System management. involving the public, has made issues ecological, social, and economic Paragraph (a) describes topics of more controversial and less clear, and conditions and their relation to general interest or concern. These topics resolutions harder to reach. The sustainability, and whether additional may originate from many sources. The proposed rule would provide the agency research is needed. existing rule refers to ‘‘issues’’ in a with the framework and direction to Section 219.5(a)(2) would establish a similar context; however, the Committee move forward in addressing topics of of Scientists viewed the word ‘‘issue’’ as connection to nationwide Forest Service interest or concern so that the public assessments, as they provide the context having a negative connotation, referring has confidence that the agency is taking to a problem that needs to be solved or for broad-scale assessments. Nationwide appropriate action when and where it is Forest Service assessments and something that required action. A topic needed. of general interest or concern is a strategies provide a national portrait of broader concept than an issue in that it Proposed Section 219.5—Information the status and trends in supply, includes any subject of interest or Development and Interpretation demand, and resource conditions for concern to any of the many partners and This section describes information various natural resources on all forest individuals interested in how the needed to further consider a topic of and range lands within the United National Forest System is managed. A general interest or concern and provides States and are useful in the preparation topic of general interest or concern may direction on conducting broad-scale of broad-scale assessments. Other not require immediate action; it may assessments and local analyses. When sources of information are also available simply spur discussion or the need for the responsible official determines that to aid in the preparation of broad-scale better understanding among the public readily available scientific information assessments. and interested individuals. is not adequate, a broad-scale Local analyses are conducted at a To help determine when action on a assessment or local analysis should be geographic scale that is smaller than the topic of general interest or concern is conducted to obtain the needed area covered in a broad-scale needed rather than just discussion and information. The proposed rule makes assessment. A local analysis focuses on better understanding, paragraph (b) clear that the findings and reports from an aquatic or terrestrial ecological unit includes several factors for the assessments and analyses are not or a social or economic community that responsible official to consider. These proposed actions or decisions subject to is appropriate for the type and factors include the level of public NEPA analyses and documentation. complexity of the topic of general interest generated by the topic of Broad-scale assessments would be interest or concern under consideration. interest or concern, the opportunities to conducted to provide information Local analyses use the best available contribute to ecological, social and specific to identified topics of general scientific information and analysis, and economic sustainability by resolving the interest or concern with a broad may be used to collect additional issue, the opportunities to improve geographic scale. Broad ecological information, such as inventory data or ecological conditions or contribute to boundaries or a broad social or current conditions.
COMPARISON OF THE COMPONENTS OF BROAD-SCALE ASSESSMENTS AND LOCAL ANALYSES
Components Broad-scale assessment Local analysis
Purpose ...... Gathering and synthesizing existing information for Gathering existing information and/or collecting identified issues. new information that is synthesized. Who does it ...... Scientists and managers together. A Regional For- Forest Service managers with input from sci- ester and Research Station Director share the entists. lead. Scale ...... Broad and appropriate to address identified Usually a watershed within a subpart of a plan issues. Usually greater than or equal to one or area. May be a subpart of a broad-scale as- more plan areas. sessment area and often used for site-specific projects. Information source ...... Usually existing information, including monitoring Existing information and/or new inventory data. data. Conclusion ...... Findings. Recommendations. Use ...... Development of proposed management direction, Development of project proposals necessary to conservation strategies, policies, or programs. carry out decisions of a land and resource man- agement plan.
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Proposed Section 219.6—Proposed address the nature of land and resource monitoring and evaluation. The Actions management plan decisions and the environmental document accompanying In this section, the concept of a appropriate scope of environmental an amendment or revision to a land and proposal for Forest Service action is analyses. Confusion over the nature of resource management plan, usually a described. Under this proposed rule, the the decisions embodied in a land and broad statement (45 CFR Part 1502.20), agency would not initiate the NEPA resource management plan has been a would identify the scope of the federal procedures until the agency has principal source of controversy. action and associated environmental determined it is appropriate to propose Initially, many people believed land and impacts. The environmental reviews of an action based on the consideration of resource management plans would lead pending site-specific actions within a factors in § 219.4, available information to irretrievable resource commitments watershed could then tier to existing and analyses (§ 219.5), and the ability to for all projects necessary to fully environmental documents to reduce meaningfully evaluate the effects of one achieve the goals and objectives of the unnecessary paperwork as described in or more alternative actions. The intent plan. It was often argued that land and NEPA procedures (45 CFR part 1500.4). here is to require more up-front thought resource management plans The proposed rule is significantly when considering and framing irretrievably committed the Forest different from the existing rule with proposals for action. Paragraph (b) Service to individual projects but failed regard to the linking of different levels explains that the responsible official to provide the analysis and of planning. The proposed rule is may use the planning framework to documentation required by statutes responsive to the Committee of accomplish the scoping process such as NEPA. Scientists’ report in terms of described in Forest Service NEPA Under the proposed rule, each land connections between planning levels procedures. This is a more inclusive, and resource management plan would and the roles of the National collaborative approach to scoping than include four categories of decisions that Assessment and the RPA Program, each the agency has used in the past, and would guide future agency actions: (1) required by the Forest and Rangeland would streamline the planning process. Desired conditions which describe the Renewable Resources Planning Act of long-term sustainability sought over a 1974. Sections 219.7(b)(1) and Proposed Section 219.7—Plan Decisions period of time; (2) goals, objectives, 219.9(d)(1) address how decisions made That Guide Future Actions standards, and guidelines applicable to for land and resource management plans This section describes the decisions all or a portion of the plan area; (3) and decisions to change such plans that would be made through the identification and designation of would be linked to the Forest Service planning process of the proposed rule. suitable uses and designation of special strategic plan goals and objectives The existing rule does not precisely areas; and (4) identification of required (Table 1).
TABLE 1.ÐTHE PLANNING AND DECISIONMAKING LEVELS OF THE EXISTING AND PROPOSED RULES
Existing rule Proposed rule
Levels of Information Collection and National, Regional, and national forest and grass- Broad-scale assessmentÐthe scope and scale of Interpretation. landÐthe scope of information set by adminis- information gathering is based on the scope and trative unit. scale of information needs. Other information needs based on issues ...... Local AnalysisÐprovides information for site-spe- cific projects such as a timber sale or watershed improvement project and, if appropriate, ties to the findings of a broad-scale assessment. Required Plans ...... Regional GuideÐone per Region ...... No Regional Guide after 3 yearsÐThe direction for management would reside in the applicable LRMP. One land and resource management plan (LRMP) Same. per national forest and grassland (units can be combined when under the jurisdiction of a For- est Supervisor). Responsible Official ...... Regional GuideÐChief ...... Regional GuideÐEliminated. LRMPÐRegional Forester for adoption, significant LRMPÐForest Supervisor with authority for a amendment and revision. Forest Supervisor for higher-level official to amend or revise as need- non-significant amendment. ed. Amendment ...... Large amendments (significant) similar to revision Only one type of amendment. The scope of the while less extensive amendments (non-signifi- change in the plan dictates the appropriate pub- cant) are possible for changes in the content of lic review and necessary steps in agency NEPA a plan. procedures. Revision ...... Start as if no plan existed and project high and Evaluate plan, provide for public review, and make low output and budget options. appropriate changes to plan following agency NEPA procedures. All national forests and grasslands now have plans in effect. Site-specific projects ...... Not addressed ...... The planning framework is used to guide project identification and authorization.
Section 219.7(b) describes the goals, Executive Orders, regulations and Examples might include obliterating objectives, standards, and guidelines applicable Forest Service strategic plans roads to improve watershed health or which are applicable to all or a portion with specific measurable objectives. treating forested areas to reduce fuels of the plan area. Goals link Forest Objectives describe measurable results and associated wild fire risks. Standards Service policies, procedures, laws, intended to achieve one or more goals. and guidelines describe the criteria
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Rather contracts, or other authorizing and guidelines for management than being a zero-based event as instruments must be consistent with the activities and land use, and preferred envisioned in the existing rule, revision management direction in the applicable practices. This section includes the becomes a time for review in the land and resource management plan. NFMA requirement (16 U.S.C. 1604(g)) planning framework (§§ 219.3 through This proposal seeks to remedy some of that guidance be provided for timber 219.11). The responsible official would harvest and regeneration methods, the confusion and inconsistent conduct a public review of the overall maximum harvest size openings, and interpretation that has occurred under outcomes of a land and resource techniques for achieving aesthetic the existing planning rule. The management plan to determine if objectives by blending the boundaries of proposed rule clearly requires that an corrections in the plan decisions or vegetation treatments. authorization for occupancy and use be In the proposed rule, standards and changes in management direction are consistent with the plan at the time of guidelines are to be implemented needed. The findings from monitoring its issuance. This policy is well according to the criteria they establish. and evaluation, new data, new or established and understood. The more Each provides criteria, within the revised policy, and changes in difficult matter is what to do with authority of the Forest Service, on circumstances affecting the entire or permits, etc. when plans are amended or management activities within the plan large portion of the plan area would all revised. The proposed rule makes clear area to ensure compliance with be considered at the time of revision. the options available to the responsible applicable laws and regulations or The results of the review would be used official. First, the responsible official regulate management activities. to identify issues for further must consider the effect of an Standards and guidelines may describe consideration in the planning process, amendment or revision on ongoing required or preferred or advisable and could lead the responsible official permits and contracts, etc. Ongoing courses of action. The specific to proposing one or more changes to the activities or uses may be exempt from requirement of each standard or plan decisions. Plans that have been provisions of a plan amendment or guideline would dictate its specific actively amended consistent with the revision. Second, the responsible application to an on-the-ground proposed rule may not require many official can require changes in the situation. changes at the time of revision. Also, at authorized use, subject to valid existing Paragraph (c) directs the responsible the time of revision the responsible rights and applicable statutes, to make official to identify the suitability of official must adjust the next decade the activity consistent with the plan. Or, lands for specific uses as described in estimates of outcomes and outputs the amendment or revision can exempt § 219.26, including identification of the (§ 219.9(b)(6)). the authorization from conformance necessary transportation system and Proposed Section 219.10—Site-Specific with the new amendment or revision. special areas such as research natural Decisions and Authorized Uses of Land However, the proposed rule provides a areas, geologic areas, reference safeguard or condition regarding landscapes, and botanical areas as In paragraph (a), the responsible waivers; namely that consistency cannot described in § 219.27. official is directed to conduct planning be waived if the authorized use would within the framework described in Proposed Section 219.8—Amendment prevent achievement of the desired §§ 219.3 through 219.11 to make site- condition of the plan area. The This section addresses amendments to specific project decisions. This is a proposed rule also provides that should land and resource management plans. significant shift from the approach of an authorized use not be exempted from The process for amendments would the existing rule, which is limited to the application of a new plan amendment or follow the planning framework (§§ 219.3 preparation of forest plans. Under the revision, the decision document must thorough 219.11) and agency NEPA proposed rule, the same basic steps and include a schedule for compliance. procedures. While the proposed process requirements apply to land and resource for amendment is similar to that of the management planning as to planning for Proposed Section 219.11—Monitoring existing rule, amendments to land and a site-specific project. The only and Evaluation resource management plans under the differences between the decisions While monitoring and evaluation are proposed rule would be based on the embodied within a land and resource addressed in the existing rule, the scope and scale of the issues selected for management plan and those related to a emphasis has been on developing and resolution from collaboration, new site-specific project plan are the scope, amending plans. Attention to information, monitoring and evaluation, breadth, specificity, and commitment of monitoring and evaluation has been and appropriate broad-scale assessments resources. sporadic or inconsistent. For planning and local analyses. For example, if a As in the existing rule, this proposed to provide for adaptive management and management strategy to protect a group paragraph requires the decision to select achieve the desired conditions that the of wide-ranging species is needed, a site-specific project to be consistent public supports, monitoring and several responsible officials for units of with decisions in the applicable land evaluation must receive careful the National Forest System could and resource management plan. If a attention. combine their planning efforts to make proposed action were found to be not Paragraph (a) of proposed § 219.11 broad-scale plan decisions through consistent with the land and resource would require land and resource amendments to their land and resource management plan, the responsible management plans to establish management plans. These decisions official, subject to valid existing rights, monitoring requirements. At a would be further refined through on- would have several options: modify the minimum, this would require that plans the-ground analyses, site-specific proposal to make it consistent with the identify the actions, effects, resources to projects, and monitoring and evaluation direction in the land and resource be measured; the frequency of of actual results on each unit. management plan; reject the proposal; measurement; the method of
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00011 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 54084 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules monitoring; and the appropriate Collaborative Planning for grounded on the following eight core reporting intervals. Under the proposed Sustainability elements: (1) Trust. For the planning process to rule, monitoring and evaluation would Proposed Section 219.12—Collaboration be used to determine if actions are being and Cooperatively Developed be trusted, planning must be perceived implemented in accordance with Landscape Goals to be legitimate, credible, and fair to the applicable plan direction; if the diverse groups, individuals, and Paragraph (a) describes the aggregated outcomes and effects of communities who care about national collaborative relationships of land and actions are sustainable and are forests and grasslands. To achieve resource management planning that achieving desired conditions; and if key legitimacy, planning must be sanctioned enhances the ability of people to work by administrative procedures, have the assumptions underlying management together, build their capacity for direction are valid. support and commitment of agency stewardship, and achieve ecological, officials, and recognize other rights and Paragraph (b) would require the economic, and social sustainability. The authorities. Planning, to be credible, responsible official to provide responsible official, functioning as a must have a sound and complete base opportunities for the involvement of leader, convener, facilitator, or of knowledge to inform decisionmaking. others in monitoring and evaluation, participant, as appropriate, should To be fair, planning must be inclusive and actively promote and seek stronger foster positive relationships with people and representative, with mutually coordination with other federal interested in and/or affected by the agreeable criteria for decisionmaking agencies, state, local, and tribal management of the National Forest and equal access to information. governments; scientific and academic System lands, as well as with other (2) Collaborative relationships. To communities; and other interested federal agencies and state, local, and effectively pursue sustainability, tribal governments that wish to parties. planners and managers must engage participate in defining the future of the those who: Paragraph (c) addresses monitoring at National Forest System. The responsible (i) have information, knowledge, and the site-specific project level. This official should provide opportunities for expertise to contribute to developing paragraph would require that when early, open, and frequent meaningful courses of action; monitoring and evaluation are required participation in planning. (ii) have sole control or authority over in conjunction with a site-specific Traditionally, the relationship lands and activities adjacent to national project, the monitoring requirements between the national forests and forests and grasslands: must be identified in the project grasslands and the broader society was (iii) have the skills, energy, time, and decision document. Moreover, in such a primarily viewed as a one-way street— goods flowed from federal lands to resources to carry out stewardship case, subject to valid existing rights and activities; other statutory requirements, the project numerous beneficiaries and public servants made choices based on their (iv) can help monitor and assess on- could not be initiated, unless there is a the-ground consequences of reasonable expectation that adequate best judgments about what was best for society. To achieve long-term management actions to better inform funding will be available to complete sustainability, the relationship between future decisions; and the required monitoring and evaluation. the public and the agency in managing (v) can independently validate the Paragraph (d) would require the these forests must be a two-way credibility of stewardship decisions and development of an annual monitoring relationship. The existing rule and the reality of achievements. and evaluation report. The report would planning process has the Forest Service (3) Understanding. To achieve become part of the land and resource positioned as an arbiter in the middle of effective stewardship, the planners and management plan. It would include the the conflict. The proposed rule managers must build broad-based following: a list of required monitoring; recognizes that the responsible official understanding and engage those who a summary of the results of monitoring may play several roles, such as can provide a voice for the interests that performed during the previous fiscal convener, facilitator, leader, or must be recognized and understood. year; a description of achievement participant, in achieving collaboration Planning must provide opportunities toward desired conditions and and understanding regarding conditions and incentives for people to come together and strengthen a community’s sustainability as identified in the land and needed actions or outcomes. The ability to chart and pursue a common and resource management plan; current planning process is designed to future course and to be able to assist in identification of any new topics of solicit input and then criticism from non-agency groups and individuals. It the pursuit of sustainability for public general interest or concern arising from lands. monitoring and evaluation; a list of does not create a process for constructive dialogue leading to the (4) Joint fact finding. When planning amendments made to the plan in the resolution of problems. The proposed and assessment processes are viewed as previous year; and a summary of rule calls for collaboration in resolving joint-inquiry processes between the outputs, outcomes, and budgetary issues of mutual concern in a manner agency and the public, then the trends related to the achievement of that best fits the needs of the people attitudes of both are aimed toward desired conditions. concerned, the place, and the issues at mutual learning, issue identification, Paragraphs (e) and (f) would describe hand. and problem solving, thereby enhancing the specific monitoring and evaluation The Committee of Scientists stated the ability of the process to promote requirements necessary for assessing that the planning process should effective stewardship. achievement of ecological, social, and provide for recognizing, enhancing, and (5) Dealing with conflict. Planners and economic sustainability which is capitalizing upon the capacity of managers must recognize the described in §§ 219.19 through 219.21. interested and affected people to engage inevitability of legitimate, yet in stewardship activities and the competing, values in National Forest achievement of sustainability. System management and must Building stewardship capacity to encourage divergent interests to enhance achievement of sustainability is collectively deal with their differences
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00012 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54085 while pursuing shared goals for the areas of interest. The establishment of by tribal and village representatives in national forests and grasslands. collaboratively developed landscape the planning process. (6) Capabilities. Planners and goals among interests may identify a Proposed Section 219.16—Relationships managers must ensure that the Forest topic of general interest or concern With Interested Individuals and Service takes an active role in which could lead to proposals for action Organizations considering the types of communities by the Forest Service or others. and business capabilities necessary for A central function of the planning Proposed Section 219.13—Coordination effective stewardship. In addition, the process is to facilitate community Among Federal Agencies planning process should foster the building by providing the opportunity development and awareness of the This section addresses the special and incentives for people to come relationship of local entrepreneurship relationship the responsible official together. This section acknowledges and the capability to treat vegetation, must develop with other federal both communities of place and interest. restore watersheds, and other tasks agencies in recognition of the fact that One goal of land and resource necessary to achieve sustainability. many issues affecting the national management planning is to enhance the (7) Will. By providing encouragement, forests and grasslands can only be capacity of diverse communities and flexibility, support, resources, skills, resolved through the collaborative people to work together and work with training, and rewards, planners and efforts of federal agencies. Under the the agency, and in so doing, facilitate managers should provide a supportive proposed rule, responsible officials their ability to constructively contribute agency environment to build the must provide opportunities for other to national forest and grassland internal stewardship capacity needed to agencies to participate in identification management. achieve sustainability. of topics of general interest or concern Collaboration with scientific experts (8) A learning organization. The and the formulation of proposed and knowledgeable persons is internal capacity for stewardship within actions, and resolution of emphasized as a way to bring the best the Forest Service is effectively inconsistencies among policies, plans, available scientific and other established within an organization that or programs. To further solidify the information into the planning and promotes learning and appropriate cooperative effort among federal decisionmaking process. Finally, this change in behavior. The planners and agencies, the responsible official is paragraph requires the responsible mangers should foster appropriate urged to develop joint plans where official to collaborate with a broad change in organizational behavior and appropriate and practicable. spectrum of individuals and entities to gain information about current and past promote the development of several key Proposed Section 219.14—Involvement public uses of the assessment area. indicators of a learning organization. of State and Local Governments These indicators of a learning This section addresses the special Proposed Section 219.17—Interaction organization include, but are not limited With Private Landowners to, the following: relationship the responsible official (i) A recognized need for learning and must develop with state and local This section highlights the need for action to achieve it; governments. Much has been the Forest Service to be a good neighbor (ii) Learning from results and accomplished during the first round of and to consider the overall context in modifying successive steps accordingly; planning, but better interaction with which the national forests and (iii) Team approaches that bridge state and local governments is needed. grasslands exist. Nothing in this section skills, expertise, and interests and The proposed rule provides for more should be interpreted as any desire to provide helping hands with shared involvement. Under the proposed rule, infringe upon or limit private property ideas and responsibilities; the responsible official must provide rights. Rather, this section would direct (iv) Flexibility that prompts creativity opportunities for early involvement of the responsible official to consider the and innovation; state and local governments in the pattern and distribution of land (v) Learning from what did or did not discussion and resolution of issues ownership in the plan area and to work; related to land and resource consider the conditions and activities (vi) Use of constructive feedback management planning. The responsible on adjacent lands in evaluating the loops and mechanisms for external official is called upon to recognize the cumulative effects of management reviews; and unique jurisdiction, expertise, and role decisions. It would also direct the (vii) Champions who provide these governments play on lands both responsible official to actively seek the leadership and enthusiasm for the affected by and affecting the national involvement of individuals who control learning process. Paragraph (b) provides forests and grasslands. or have authority over lands near or direction that the responsible official, adjacent to national forests and Proposed Section 219.15—Interaction using information from available broad- grasslands. scale assessments or other available With American Indian Tribes and information, should seek to join in or Alaska Natives Proposed Section 219.18—Role of initiate collaborative efforts to develop This section requires the responsible Advisory Groups and Committees or propose landscape goals for official to recognize the government-to- This section of the proposed rule ecological units. In addition, government relationship that the Forest describes the formal and informal role responsible officials, managers, and Service has with American Indian tribes of advisory groups. Paragraph (b) planners should strive to communicate and Alaska Natives. It requires the early describes the use of advisory and foster understanding of the nation’s identification of treaty rights, treaty committees to assist the responsible declaration of environmental policy protected resources, and other tribal official in determining whether there is expressed, in part, by section 101(b) of concerns during the planning process. a reasonable basis for proposing an NEPA. The national declaration of Responsible officials must invite action to address a topic of general environmental policy provides a American Indian tribes and Alaska interest or concern. Each Forest or common focus from which people of Natives to participate throughout the Grassland Supervisor would be required potentially differing views can consider planning process and consider tribal to have access to an advisory committee mutually beneficial goals within their data and resource knowledge provided that can address local conditions and
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00013 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 54086 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules topics of general interest or concern. systems increases their resistance to systems and natural resources important The committees would consist of a natural disturbance events, allows for to the Nation; (2) recognized the critical diverse cross-section of knowledgeable renewal following use or degradation, importance of restoring and maintaining persons interested in the planning for and preserves options for future environmental quality to the overall and management of National Forest generations. welfare and development of man; and System lands. The concept of managing the national (3) directed the Federal Government, forests and grasslands in an ecologically among other things, to use all Ecological, Social, and Economic sustainable manner can be traced back practicable means to attain the widest Sustainability over 100 years. As early as 1897, the range of beneficial uses of the Proposed Section 219.19—Ecological, Congress directed that national forests environment without degradation * ** Social, and Economic Sustainability would be established to improve and (42 U.S.C. 4321,4331); the Endangered protect the forests * * * or for the Species Act which provides a means This section would confirm purpose of securing favorable whereby the ecosystems upon which ecological, social and economic conditions of water flows, and to endangered species and threatened sustainability as the foundation for furnish a continuous supply of timber species depend may be conserved (16 National Forest System management. ** * (16 U.S.C. 473–82 & 551). To U.S.C. 1531(b)); the Clean air Act which The first priority for management is the carry out this mission, Congress vested seeks to protect and enhance the quality maintenance and restoration of the Secretary of Agriculture with broad of the Nation’s air resources, with a ecological sustainability which is authority to make rules needed to primary goal of promoting reasonable consistent with laws guiding use and regulate occupancy and use of national federal, state and local government enjoyment of National Forest System forests and to preserve the forests actions * * * for pollution prevention lands. These laws clearly proclaim a therein from destruction (16 U.S.C. 551). (42 U.S.C. 7401); and the Clean Water national policy to provide for In 1960, Congress enacted the Act the objective of which is to restore sustainability of these lands in MUSYA, which expressly directs the and maintain the chemical, physical, perpetuity. The MUSYA directs the Forest Service to manage the national and biological integrity of the Nation’s Secretary of Agriculture to develop and forests and grasslands for multiple uses waters (33 U.S.C. 1251). administer the renewable surface under the balance the agency deems In 1976, Congress enacted the NFMA, resources of the National Forest System will best meet the needs of the continuing the long line of statutory for multiple-use and sustained-yield of American people and make the most direction to provide for ecological the several products and services judicious use of the forest resources sustainability in the management of the obtained there from (16 U.S.C. 528, under its jurisdiction (16 U.S.C. 528– national forests and grasslands. The 529). The NFMA affirms this statutory 531). In MUSYA Congress declared that Committee of Scientists and the agency policy by directing the Secretary, among the national forests are established and believe NFMA’s direction to provide other things, to assure that the shall be administered for outdoor species diversity and maintain development and administration of the recreation, range, timber, watershed, ecological productivity is consistent renewable resources of the National and wildlife and fish purposes (16 with the concept of ecological Forest System are in full accord with the U.S.C. 528). The Act calls for the sustainability (Committee of Scientists’ concepts for multiple-use and harmonious and coordinated report, p. xvi). Senator Humphrey sustained-yield of products and services management of the various resources described NFMA as: ‘‘an Act designed as set forth in the MUSYA (16 U.S.C. ** * without impairment of the to build our forests as a bulwark of 1600, 1607). productivity of the land, with renewable resources. It is a full In developing and maintaining land consideration being given to the relative storehouse, providing a perpetual high and resource management plans for values of the various resources, and not yield of multiple-use benefits. It is a units of the National Forest System, necessarily the combination of uses that managed system of forest and rangeland NFMA mandates use of a systematic will give the greatest dollar return or with the water, wildlife, soil, and beauty interdisciplinary approach to achieve greatest unit output (16 U.S.C. 532(a)). maintained. This is an Act that assures integrated consideration of physical, In the late 1960’s and 1970’s, that our public forests are managed with biological, economic and other sciences Congress enacted several statutes advice from the several publics, and (16 U.S.C. 1604(b)). Moreover, NFMA applicable to all federal agencies which managed in a framework that makes requires consideration of the economic significantly expanded public ecological and environmental sense’’ and environmental aspects of various participation in federal decisionmaking (Compilation of the Forest and systems of renewable resource and provided procedures for Rangeland Renewable Resources management to provide for multiple-use consideration and disclosure of the Planning Act of 1974 (as amended) and sustained-yield of the National effects of Federal actions upon the August 20, 1979, Committee on Forest System products and services. In environment. The enactment of these Agriculture, Nutrition and Forestry, p. fulfilling the policies articulated by the environmental laws has greatly 768). Congress, it is paramount that the units influenced the process of National In NFMA, the Congress directed of the National Forest System sustain Forest System management. These laws promulgation of regulations that specify their capacity for renewal to continue augment the multiple-use, sustained- forest planning guidelines that ensure their ability to provide for various yield mandate and reinforce ecological consideration of the economic as well as multiple-use benefits. sustainability as the first priority of environmental aspects of various National Forest System management. systems of renewable resource Proposed Section 219.20—Ecological Examples of these statutes include: the management, including the related Sustainability National Environmental Policy Act systems of silviculture and protection of This section of the proposed rule (wherein Congress: (1) declared a forest resources * * * for multiple use would establish that it is necessary to national policy to promote efforts which management (16 U.S.C. 1604(g)(3)(A)). maintain and restore ecological integrity will prevent or eliminate damage to the Similarly, the regulatory guidelines for to achieve ecological sustainability. environment and biosphere and * ** planning are to provide for diversity of Sustaining the integrity of ecological enrich the understanding of ecological plant and animal communities based on
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00014 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54087 the suitability and capability of the component requires the maintenance of information needed to support and specific land area in order to meet ecological conditions necessary to develop scientifically sound overall multiple-use objectives * ** provide for a high likelihood of management approaches to ecological (16 U.S.C. 1604(g)(3)(B)). maintaining species viability over time sustainability. The second paragraph, In sum, the first priority for in the plan area. Together, these management decisions, identifies management, to achieve sustainability approaches are presumed to address and specific components and actions that through the maintenance or restoration sustain ecosystem productivity as direct management activities to meet the of ecological integrity of national forests required in the MUSYA and provide for objective of ecological sustainability. and grasslands, affirms Congressional the diversity of plant and animal Monitoring is the third paragraph direction. Perhaps Judge Dwyer said it communities as required in NFMA (16 (§ 219.20(c)). It outlines a framework to best in his opinion reviewing a U.S.C. 1604(g)(3)(B)). assess the effectiveness of management challenge to Forest Service efforts to This section incorporates the key action in maintaining or restoring conduct inter-agency, ecosystem-based principles and desired outcomes for ecosystem integrity. planning associated with the Northern ecological sustainability that were Sections 219.20(a) describes the Spotted Owl: ‘‘Given the current outlined in the Committee of Scientists’ ecological information and analysis that condition of the forests, there is no way report. The Committee acknowledged would be needed to support the goal of the agencies could comply with the that providing for sustainability of ecological sustainability. This includes environmental laws without planning ecological systems on national forests the information necessary to on an ecosystem basis’’ (Seattle and grasslands is an imprecise process characterize the current biological and Audubon Society v. Lyons, 871 F. Supp. with many unknowns and potential physical environment (§ 219.20(a)(1)) 1291 (W.D. Wash. 1994) aff’d 80 F.3d pitfalls that are not under the control of and principle ecological processes 1401 (9th Cir. 1996)). resource managers. Therefore, this (§ 219.20(a)(2)) within the planning area Ecosystem integrity, defined in section of the regulation would: and is similar in some respects to the § 219.36, refers to the completeness of • Acknowledge the dynamic nature of analysis of the management situation in an ecosystem that, at multiple ecological systems (§ 219.20(a)). the current regulations. geographic and temporal scales, Maintaining composition, structure, and The concept of the historical range of maintains its characteristic diversity of processes within the expected bounds of variability (§ 219.20(a)(4)) is used as an biological and physical components, variation is proposed as an approach to ecological context to assess ecosystem spatial patterns, structure, and sustain ecological diversity and integrity. The historic range of functional processes within its productivity for future generations variability describes the limits of change approximate range of historic (§ 219.20(b)(1), (2), and (3)). in composition, structure, and processes variability. These processes include • Acknowledge the uncertainty and of the biological and physical disturbance regimes, nutrient cycling; inherent variability of ecological components of an ecosystem resulting hydrologic functions, vegetation systems (§§ 219.20(a)(10) and from variations in the frequency, succession, and species adaptation and 219.20(b)(1)). Uncertainty and magnitude, and patterns of natural and evolution. Ecosystems with integrity are variability are acknowledged in human disturbance and ecological resilient and capable of self-renewal in decisionmaking, monitoring and processes characteristic of an area before the presence of the cumulative effects of adaptive management so change is European settlement. Measures of the human and natural disturbances. incorporated into the dynamics of historical range of variability could Section 219.20 would provide a more stewardship. include the forest types and the explicit, comprehensive, and • Acknowledge the significance of proportion of successional stages ecologically integrated framework for natural processes (§ 219.20(b)(3)) by represented in an area, the size and ecological sustainability than the requiring responsible officials to make return intervals of stand replacing fires, existing regulation. The existing rule decisions that provide for ecosystem or the variability in instream flows and entails program-specific direction for integrity at appropriate planning levels. associated periodicity and effects of different resources, such as soil and • Acknowledge cumulative effects major flood events. The effects of pre- water, wildlife and fish, and so on. (§ 219.20(a)(8)). Europeans are considered as factors Under the existing rule, the NFMA • Preserve options as a way of when estimating the historical range of requirement to provide for the diversity explicitly acknowledging our variability and human disturbance. The of plant and animal communities is met incomplete knowledge of complex effects of post-European settlement primarily through the requirement to ecological systems (§ 219.20(b)(4)). activity are also described. Historical provide habitat to maintain viable • Conserve habitat for native species pre-European settlement conditions are populations of native and desired non- (§ 219.20(b)(8)) and productivity of compared to current conditions to native vertebrate species. To achieve ecological systems in order to maintain estimate the degree of ecosystem ecological sustainability it is necessary ecological sustainability. The integrity. Ecosystems whose current to maintain and restore ecosystem productivity of an ecosystem can be range of variability, through space and integrity. The proposed rule would add sustained over the long term only if time, approximates the historical range an ecological systems approach that species that provide the appropriate are considered to have high integrity focuses on ecosystem integrity to structure and function for the system are and to be in a sustainable condition complement the existing focus on maintained. since biotic components had species viability in assessment and • Recognize the special role that theoretically adapted to ecological management. national forests and grasslands play in conditions occurring within that range. Paragraph (a) describes information regional landscapes (§ 219.20(b)(10)). Focal species (§ 219.20(a)(7)(i)) would necessary to assess ecological • Analyze issues at the appropriate be identified and used as surrogate sustainability. Maintaining ecological scale (§ 219.20(a)). measures in assessing ecological integrity provides for resiliency to Three major components are included integrity, including the diversity of environmental change and disturbance in this section. The first is paragraph (a), native and desirable non-native species, occurring within the historical range of ecological information and analysis, in evaluating differences in effects natural variability. The species which outlines the underlying between alternatives, and in monitoring
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00015 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 54088 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules and assessing the effects of management species for which there is a viability The proposed rule implements the activities on ecological sustainability. concern throughout the species’ range, NFMA requirement to provide for the Focal species are expected to convey or species for which there are concerns diversity of plant and animal information about the status of the about distribution in the plan area. communities by expressly defining larger ecological system in which they In addition to the above indicators of species to include any taxon of the plant reside or about the integrity of specific ecological integrity, demand species or animal kingdom (§ 219.36). The ecosystem components or processes. will be identified and their status existing rule only requires that viable Focal species would include those evaluated. Demand species populations of vertebrate fish and which play key roles in maintaining (§ 219.20(a)(9)) are plant and animal wildlife be maintained. Furthermore, in community structure or processes, serve species with high social, cultural, or an attempt to more effectively meet the an umbrella function in terms of economic values. agency’s commitment to avoid actions encompassing habitats needed for many Proposed section 219.20(b) requires that would contribute to the need to list other species, or whose population the responsible official to make species under the Endangered Species status and habitat relationships serve to decisions that provide for maintenance Act, the definition of species and level convey information about the status and and restoration of ecosystem integrity, of biological organization for which integrity of the larger ecosystem in including species viability, at the viability is assessed and managed is which they occur. These species could appropriate planning level. Decisions intended to match the listable entities be used to evaluate conditions needed made at subsequent levels would have concept used by the Departments of the to provide for the viability of other to be consistent with decisions at higher Interior and Commerce in execution of species and in monitoring the levels. Decisions should either maintain their Endangered Species Act effectiveness of plan decisions for conditions within the historical range of requirements to include the concept of maintaining or restoring ecosystem variability or provide for restoration subspecies, distinct population integrity. toward conditions within that range. segments, and significant evolutionary Focal species should not be confused The intent is to manage for the historical units. Objectives, standards, and with the concept of ‘‘management range of conditions of key ecological guidelines would include measures indicator species’’ under the existing attributes across the landscape rather such that Forest Service actions, within rule. The existing rule uses population than for a single point within that range conditions or events under its control, trends of management indicator species such as the upper or lower extreme. would not contribute to the need to list to evaluate the effects of management The proposed regulation would species (§ 219.20(b)(10)). activities and indicate the status of other The proposed rule would maintain clearly articulate expectations relative to species with similar habitat needs. The the current cooperative relationship maintaining species viability concept of management indicator with state fish and wildlife agencies (§ 219.20(b)(8)). Decisions, at the species has been the subject of (§ 219.20(b)(11)). The Forest Service role appropriate levels of planning, would substantial criticism and would not be has traditionally been to address habitat adopted in the proposed regulation. provide ecological conditions such that rather than population management and Procedures will be developed for there is high likelihood of maintaining to work cooperatively with states to evaluating species viability species viability over time. The resolve issues involving fish and (§ 219.20(a)(7)(i)) under current and proposed regulation clarifies the wildlife management. States generally proposed strategies on all lands in the requirement of maintaining well- exercise jurisdiction over hunting and assessment area. These analyses will distributed and interacting populations fishing on National Forest System lands. highlight risks to species viability, and clarifies the objective for viability Objectives for sustainable use levels of document cumulative effects, and given different patterns of overlap demand species would be jointly identify ecological conditions needed to between species range and the planning developed with states, American maintain species viability over time. area. The proposed regulation also Indians, and Alaska Natives Additional indicators of ecosystem clarifies that rigor in the analysis of (§ 219.20(b)(11)). Management decisions integrity (§ 219.20(a)(7)(iii)) would be viability should be commensurate with must provide the ecological conditions identified, such as air quality, water the level of knowledge available about needed to achieve these sustainable use quality, soil quality, fire and water flow a species, including its demographic levels. regimes, plant growth and the variety and genetic characteristics Proposed § 219.11(e) and § 219.20(c) and distribution of forest and (§ 219.20(a)(8)(i)). require the implementation of a grasslands. Ecosystem integrity The concept of ecological conditions monitoring strategy that would provide (§ 219.20(a)(7)(ii)) will be evaluated (§ 219.20(b)(8)) is used to denote a broad an evaluation of the effectiveness of using measures of species viability and array of factors that can affect species management decisions toward achieving the condition of other indicators under persistence and viability. The current ecological sustainability. The existing current and proposed management regulation requires that fish and wildlife rule only requires monitoring strategies on all lands within the habitat shall be managed to support population trends of management assessment area. These measures and viable populations of native and desired indicator species. The proposed rule indicators may be valuable in providing non-native vertebrate species in the includes a comprehensive monitoring feedback within a shorter timeframe planning area. The proposed rule approach that requires monitoring for than that needed to determine status provides the concept that habitat focal species, species at risk, demand and trend of populations. includes an array of ecological species and selected indicators of In addition to focal species, species at conditions that are under control of ecosystem integrity and incorporates an risk would be identified as indicators of management and that may influence adaptive management framework. ecological integrity. Species at risk species viability (§ 219.20(b)(8)(i)). Expectations for monitoring of focal (§ 219.20(a)(8)(ii)) are those species for These may include roads, conditions species and species at risk which viability is a concern, including that contribute to spread of invasive (§ 219.11(e)(2)) would be described to endangered, threatened, proposed, and species, and human uses as factors that permit varying levels of intensity and candidate species as described by the must be managed to provide species differing methodology, depending on Endangered Species Act as well as viability. several factors. Most importantly, where
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54089 risks to species viability are high or a range of products, services, and and values and to social and economic there is great uncertainty about values. sustainability. ecological conditions needed for Paragraph (b) describes that social and The Contribution of Science viability, monitoring requires actual economic analyses are important in estimates of population trends and gaining understanding of the Proposed Section 219.22—The Role of status through efficient population relationships among ecological, social, Assessments, Analyses, and Monitoring and economic sustainability. Social sampling or habitat relationships This section describes the proposed analyses address human life-styles, studies. It would provide the role of broad-scale assessments, local attitudes, beliefs, values, demographic opportunity to estimate population analyses, and monitoring and evaluation characteristics, and land-use patterns of status and trend using scientifically efforts. Scientists from within and human communities and their capacity credible species-habitat relationships outside the agency would be involved in to adapt to changing conditions. based on empirical data collected broad-scale assessments to help Economic analyses identify and through time under the monitoring identify, integrate, and evaluate the best evaluate an area’s economy. The program. A broader array of available scientific and other methodology, including a variety of responsible official, in conducting broad-scale assessments or local information. Scientists would be population indices or presence/absence involved in the design, evaluation, and information, may be used to assess analyses, should consider the best available information to consider a peer review of monitoring and inventory population status where ecological risks strategies and protocols. to species are lower. variety of social and economic factors. Where risks to species are lower or Paragraph (c) describes an appropriate Proposed Section 219.23—The there are well-established relationships social analysis that may rely upon Participation of Scientists in Planning quantitative, qualitative, and between population status and habitat This section describes the conditions, habitat monitoring alone participatory methods for gathering and analyzing data. Social analyses are often participation of scientists in planning. may be used to infer species status. Like the existing rule, the proposed rule Habitat conditions and trends would be undertaken at varying spatial scales to improve understanding and the would require the use of the best monitored for all focal species and description of the potential available scientific information in the species at risk. consequences to communities and formulation of land and resource The monitoring program would regions from changes in land management. The proposed rule adds develop methods for measuring all management. Social analyses may the term ‘‘and analysis’’ to ‘‘best selected indicators of ecosystem include a regional analysis, a risk and available scientific information.’’ The integrity and designate critical values vulnerability analysis, or other proposed addition is deemed to be an that would trigger reviews or possible appropriate analyses. equivalent concept to the existing rule amendments to management direction Paragraphs (d) and (e) describe within the meaning of its application in (§ 219.11(e)(3)). This is the essence of economic analyses and local social and the planning process. However, unlike adaptive management. economic analysis that provide the existing rule that is ambiguous about The conceptual models that focal information and may include a the use of scientists in the planning species and other selected ecological quantitative, qualitative, and historical process, the proposed rule describes the indicators serve to indicate the status analysis of the effects of National Forest critical role science and scientists will and integrity of the ecological system to System management on national, play in nearly every stage of the land which they belong must be validated regional, and local economies. Local and resource management planning. (§ 219.11(e)(4)). analyses should provide refinement of Scientists will be involved in helping to identify new issues and translate new Proposed Section 219.21—Social and larger-scale analyses and of regional information about the conditions of Economic Sustainability data and information as related to the area under consideration. A local forests and grasslands; conducting Prosperous communities and analysis may also provide a context for appropriate broad-scale assessments and economies may remain healthy and other analyses and prove useful in local analyses; and in helping managers vibrant if their foundation is evaluating a proposed action or and the public formulate potential ecologically sustainable. Although the monitoring results. solutions to issues by analyzing Forest Service cannot solely sustain Paragraph (f) would require that management options. The proposed rule existing communities, the National analyses and decisions regarding social provides for an independent scientific Forest System lands nonetheless and economic sustainability are to be review of the effectiveness of land contribute many values, services, made at the appropriate planning level, management plans in meeting the goal outputs, and uses that help enable and that decisions made at subsequent of ecological sustainability during the economies and communities to persist, levels must be consistent with higher- revision process. The proposed rule also prosper, and evolve. This section details level decisions. provides for the establishment of a a process for developing comprehensive Monitoring of social and economic National Science Advisory Board and understanding of sustainable social and effects is addressed in § 219.11(f). access for each national forest and economic environments. Monitoring and evaluation of social and grassland region to a science advisory Paragraph (a) describes the role of economic sustainability should include board. The science advisory boards national forests and grasslands in periodic review of national, regional, would provide science consistency promoting social and economic and local supply and demand for evaluations when necessary to sustainability. The management of products, services, and values. Special determine whether the planning process National Forest System lands promotes consideration should be given to those is consistent with the best available economic and social sustainability products, services, and values that the science; and when appropriate and through involvement of interested and/ Forest Service is uniquely poised to practicable, independent scientific peer or affected people, development and provide. Monitoring should improve the reviews of the findings and conclusions consideration of relevant social and understanding of the National Forest originating from a broad-scale economic information, and by providing System contributions to human wants assessment.
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Proposed Section 219.24—Science landmarks; and wild, scenic, and special designations including natural Consistency Evaluations recreation rivers. areas are incorporated in a new section This section would allow for the The purpose of this change is to § 219.27 of the proposed rule. ensure that land and resource scientific review of planning processes Proposed Section 219.28— to ensure consistency in the application management plans include all the relevant direction for lands within the Determination of Land Suitable for and interpretation of the best available Timber Removal scientific information and analysis. plan area, including those with special designations which may have been Under the proposed rule, vegetation Proposed Section 219.25—Science evaluated through other planning management, such as timber harvest, is Advisory Boards processes as required by statute. The implemented for stewardship of natural This section would provide for the proposed rule seeks to integrate resources, the production of wood fiber, establishment of science advisory direction for all specially designated and to provide for the use and boards, which provide scientific advice areas into land and resource enjoyment of public lands. The to the responsible official. Board management plans to the extent proposed rule would establish two membership would include scientists possible. classifications of land suitability for representing a broad range of This section further proposes that timber harvest. The first is the disciplines. amendment or revision of a land and classification of lands not suited for resource management plan is the timber production. The second is the Special Considerations mechanism by which the Forest Service classification of lands where timber These sections provide direction to establishes management direction for harvest would be permitted to maintain fulfill statutory planning requirements such special designations. or restore ecological integrity of the that affect the management and use of Paragraph (a) states that, unless land, or to protect or achieve other National Forest System lands, including otherwise directed, all undeveloped multiple-use values. Within the second timber harvest, livestock grazing, oil and roadless areas must be evaluated for classification, the responsible official gas leasing, recreation and other uses. wilderness designation at the time of also would identify those lands where land and resource management plan Proposed Section 219.26—Identifying timber production is a land management revision. objective. and Designating Suitable Uses The proposed rule removes the four This section would provide that categories of lands considered for Proposed Section 219.29—Limitation on during amendment or revision of a land wilderness established in the existing Timber Removal and resource management plan the rule at § 219.17(a)(1), and the five This section requires the estimation of suitability of various uses would be evaluation criteria for evaluating lands the long-term sustained yield of timber determined within the planning for wilderness designation found at on the land area where the production framework. § 219.17(a)(2). The agency believes such of timber is identified as a preliminary The suitability of various uses is detailed procedural instructions are objective along with other objectives for determined, as appropriate, within the better suited for the Forest Service management of the land. This estimate proposed planning framework (§§ 219.3 Directives System. must be made based on the yield of through 219.11) and includes plan It should be noted that nothing in timber that can be removed consistent decisions related to uses that would be paragraph (a) precludes consideration of with achievement of the desired permitted within specific areas. It is roadless areas for the full range of conditions identified in the land and anticipated that the suitability of uses management options. Although resource management plan. Timber will be the subject of considerable wilderness designation must be one of harvests are not to exceed long-term debate. Suitability identifications would the options considered, roadless areas sustained yield capacity. be applied to areas that are large enough are also subject to consideration for The calculation of allowable sale to provide sufficient latitude for various other uses or degrees of quantity is a requirement in the existing periodic adjustments in use to conform protection, not unlike the case for most rule. Calculation of an allowable sale to changing needs and conditions. The other portions of the plan area. quantity is not required under the Paragraph (b) would reinforce the proposed planning process would proposed rule. The NFMA allows the central role of land and resource include broad-scale assessments, local Secretary to establish an allowable sale management plans by requiring that any analyses, or other analytical methods quantity for any decade that departs requirements for additional planning for that facilitate collaboration with the from the projected long-term average special areas must be met through the public to identify lands that are suitable sale quantity that would otherwise be land and resource management for certain management practices such established (16 U.S.C. 1611). This planning framework, unless certain as recreation, timber production, permissive language of NFMA is identified exceptions exist. This is livestock grazing, mineral development, included in this section of the proposed comparable to § 219.2 of the existing or other uses. rule. rule and is intended to assure that Proposed Section 219.27—Special special area planning is integrated with Planning Documentation Designations the land and resource management plan. Proposed Section 219.30—Land and The existing rule specified only two The proposed rule would specifically Resource Management Plan special designations, wilderness and require that the goals, objectives, Documentation research natural areas. The proposed standards, or guidelines in special area rule would expand special designations plans be incorporated into the land and The land and resource management to include but not be limited to: resource management plans as plan plan documentation format under the wilderness; research natural areas; decisions. proposed rule is intended to make the geological areas; reference areas; scenic Section 219.25 of the existing rule plan more understandable, more usable by-ways; unroaded areas; roadless areas; contains direction for research natural by Forest Service employees, and national scenic areas; national areas and is not repeated in the readily available to the public. The plan recreational areas; national natural proposed rule. Rather, direction for summarizes management direction and
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00018 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54091 contains maps and information from an proposed planning framework (§§ 219.3 Paragraph (e) requires the responsible annual monitoring and evaluation through § 219.11) and includes goals, official to display the minimum level of report and other information. The objectives, standards, and guidelines monitoring and evaluation to occur in proposed rule would require that the set related to uses that would be permitted the plan area. Monitoring and of documents that constitute a land and within specific areas. evaluation direction in the land and resource management plan be readily Paragraph (c) requires a display of the resource management plan would help available to the public in various decisions that apply to the area covered determine whether there is a need to formats to meet the needs of the people by the plan as described in § 219.7. amend or revise the land and resource who might want to access them. The Paragraph (d)(1) requires a list of management plan. plan is intended to be a repository for proposed, authorized, ongoing, and Paragraph (f) requires a display of the information that is used by the completed actions to achieve desired budgetary information. The existing rule decisionmaker. The format of the conditions. The list of actions is requires a display of baseline and other information will allow reviewers to annually updated. budget projections that often do not follow the decisionmaking process and Paragraph (d)(2) requires the reflect changes that occur during budget projection of a 2-year schedule of see the results of the decisions made allocation. These projections then anticipated outcomes, products and about the management of the national become unrealistic or misleading. The services, based on a reasonable estimate forests or grasslands. proposed rule would require the plan to of the Forest Service budget and display a concise summary of the Paragraph (a) describes the summary capacity to perform the work needed to estimated costs of the unit’s program of document of the plan, which provides achieve them from which trends in work, including assessments, analyses, an understanding of the vision for the achievement of desired condition can be proposed and authorized actions, and forest or grassland by including a established. The existing rule tends to monitoring. The display would also description of the plan area’s qualities produce unrealistic expectations of include details of the total current-year and characteristics; the desired possible outputs and budgets. conditions of the plan area; and actions Paragraph (d)(3) requires an updated unit budget; funded actions, projections taken to achieve the desired condition. 2-year summary of the actual outcomes, for future budgets over 2 years; and a The summary would include a sampling products and services as a result of display of the budget trends over, at of maps, charts, figures, photographs, project implementation. least, the past 5 years. Budget and other information to enhance Paragraph (d)(4) requires a forecast of information is not a land and resource understanding. This summary also the range of expected outcomes, goods, management plan decision and can be would contain enough information to and services for the next decade. These updated at any time. The intent of this allow the reader to know where actions projections are intended to describe a proposed requirement is to have a are proposed, scheduled, or planned measure of expected progress toward continuous display of budget trends and and where activities such as camping meeting plan goals and objectives and actual current budgets to allow and sightseeing are available. The progress toward achieving desired meaningful discussions with the public existing rule requires a brief summary of conditions and ecological sustainability. and Congress as to the need for and the analysis of the management Although these forecasts contain a high accountability of budget allocations. situation that includes the demand and degree of uncertainty and are only Paragraph (g) requires each plan to supply conditions for resource estimates, they will be useful to portray contain a list of reference materials and commodities and services, production the expected trends into the future. decisions used in forming management potentials, and use and development These projections will be updated at the direction such as previous decision and opportunities. time of revision of the land and resource environmental documents, assessments, Paragraph (b) requires a display of management plan. conservation strategies, biological land suitable for selected uses. Each Paragraph (d)(5) requires a list of opinions, inventories, studies, research, plan must display areas within the plan anticipated accomplishments and the and agency direction. area that are suitable for specific uses of time necessary to achieve desired A crosswalk for reformatting existing national forests and grasslands. The conditions. This would be updated to land and resource management plans to suitability of various uses (§ 219.26) is reflect changes in anticipated the proposed format for plan content determined, as appropriate, within the accomplishments. described in § 219.30 follows:
Existing land and resource management plan Planning documentation
Analysis of the Management Situation ...... Findings and conclusions from assessments. Desired Future Conditions/Goals Goods and services/outputs, Objec- Plan decisions, including land suitability for uses, outcomes, maps. tives, standards, and guidelines, Land allocations. 5±10 year timber sale program ...... List of projects (past, current, proposed *). Monitoring and evaluation ...... Monitoring plan, results of monitoring and evaluation. Other Information From Forest Or Grassland Files. Resource project files ...... Site-specific actions (past, current, proposed *). Budget information ...... Estimated costsÐbudgets (past, current, proposed). Adopted plans from other agencies. ReferencesÐconservation strategies, recovery plans, best manage- ment practices. * During transition of existing land and resource management plans to the proposed planning framework, proposed actions, including timber sales, are those that are in the NEPA process or have a decision document but have not been implemented. After transition, the timber sale pro- gram becomes a subset of the list of site-specific actions.
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Proposed Section 219.31—Maintenance Proposed Section 219.33—Appeals of evaluation report within 3 years from of the Plan and Planning Records Site-specific Decisions the effective date of proposed rule. This section would establish a In the proposed rule, appeals Definitions regarding site-specific decisions would requirement to keep land and resource Proposed section 219.36—Definitions management plans up-to-date and remain as they are currently addressed readily available to the public. This by agency procedures. This section of the proposed rule section also describes those types of Applicability and Transition defines the following terms: administrative changes that are Assessment or analysis area considered maintenance and do not Proposed Section 219.34—Applicability Broad-scale assessment constitute a plan amendment or This short section states that the Candidate species revision. proposed rule applies to all units of the Conservation agreements National Forest System. Objections and Appeals Demand species Proposed Section 219.35—Transition Desired condition Proposed Section 219.32—Objections to Desired non-native species Amendments or Revisions This section provides for an orderly Disturbance processes transition from the requirements of the Diversity of plant and animal This provision of the proposed rule existing rule to the provisions of the would replace the current 36 CFR Part communities proposed rule. Ecological composition 217 land and resource management plan Paragraph (b) would provide that Ecological conditions post-decision appeal process with a pre- existing land and resource management Ecological sustainability decision objection process. The intent is plans would remain in effect until Ecosystem to further streamline the planning amended or revised under the proposed Ecosystem integrity process and encourage resolution of rule. This provision is intended to Ecosystem structure issues by the supervisor of the prevent any uncertainty as to the status responsible official. Under the proposed of current land and resource Forest Service NEPA procedures rule, any person would be allowed to management plans. Historical range of variability object to a pending decision. The Paragraph (f) of the proposed rule Local analysis proposed rule would require that the would provide for the withdrawal of Native species objection be filed, in writing, within 30 regional guides by the Regional Plan area days of public notice of the appropriate Foresters within a year of when all units Productive capacity of ecosystems NEPA documentation. Unlike the within a National Forest System region Reference landscapes current 217 regulation, the proposed have completed the revision process Responsible official objection process does not have a under the revised rule. Regional guides Roadless area specific time limit for resolving were developed to provide direction Salvage harvest of timber objections. Under the proposed rule, the and guidance for the development of the Sanitation harvest of timber responsible official would not be initial land and resource management Sensitive species allowed to approve an amendment or plans. Having served that purpose, Species revision under objection until a decision regional guides may be withdrawn by Species viability on the objection has been reached and the Regional Foresters. Timber production documented in an appropriate decision Paragraph (g) would make clear that Unroaded areas document for the land and resource the responsible official must complete Vegetation management management plan. the first annual monitoring and Watershed integrity
COMPARISON OF THE TABLE OF CONTENTS OF THE EXISTING (1982) AND PROPOSED RULES
1982 planning rule Proposed planning rule
§ 219.1 Purpose and Principles ...... § 219.1 Purpose. § 219.2 Goals and principles for planning. § 219.2 Scope of Applicability ...... 219.34 Applicability. § 219.9 Definitions ...... 219.36 Definitions. § 219.4 Planning levels ...... § 219.3 Overview. § 219.5 Interdisciplinary Approach ...... § 219.3 Overview. § 219.6 Public Participation ...... § 219.12±18 COLLABORATIVE PLANNING FOR SUSTAINABILITY. § 219.7 Coordination with Other Public Planning Efforts ...... § 219.14 Involvement of state and local government. § 219.13 Coordination among federal agencies. § 219.8 Regional Planning Procedures ...... Not applicable. § 219.9 Regional Guide Content ...... Not applicable. § 219.10 Forest PlanningÐGeneral Procedures ...... § 219.3 Overview. § 219.11 Forest Plan Content ...... § 219.30±31 PLANNING DOCUMENTATION. § 219.12 Forest Planning Process ...... § 219.3±11 FRAMEWORK FOR PLANNING. § 219.13 Forest PlanningÐResource Integration Requirements (di- No counterpart. rects to other parts of rule). § 219.14 Timber Resource Land Suitability ...... § 219.28 Determination of land suitable for timber removal. § 219.15 Vegetation Management Practices ...... § 219.7 Plan decisions that guide future actions. § 219.16 Timber Resource Sale Schedule ...... § 219.7 Plan decisions that guide future actions. § 219.28 Determination of land suitable for timber removal § 219.29 Limitation on timber removal.
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COMPARISON OF THE TABLE OF CONTENTS OF THE EXISTING (1982) AND PROPOSED RULES
1982 planning rule Proposed planning rule
§ 219.17 Evaluation of Roadless Areas ...... § 219.26 Identifying and designating suitable uses. § 219.27 Special designations. § 219.18 Wilderness Management ...... § 219.27 Special designations. § 219.19 Fish and Wildlife Resource ...... § 219.19±21 ECOLOGICAL, SOCIAL, AND ECONOMIC SUSTAIN- ABILITY. § 219.26 Identifying and designating suitable uses § 219.20 Grazing Resource. § 219.21 Recreation Resource. § 219.22 Mineral Resource. § 219.23 Water and Soil Resource. § 219.24 Cultural and Historic Resource. § 219.25 Research Natural Areas ...... § 219.27 Special designations. § 219.26 Diversity ...... § 219.20 Ecological sustainability. § 219.27 Management Requirements ...... § 219.7 Plan decisions that guide future actions § 219.19±21 ECOLOGICAL, SOCIAL, AND ECONOMIC SUSTAIN- ABILITY. § 219.28 Determination of land suitable for timber removal. § 219.28 Research ...... § 219.22±25 THE CONTRIBUTION OF SCIENCE. § 219.29 Transition Period ...... § 219.35 Transition.
Public Comment Invited Regulatory Certifications grassland plan decisions. Moreover, by streamlining the planning process, small The Forest Service invites Regulatory Impact individuals, organizations, and public businesses should see more timely This proposed rule has been reviewed agencies and governments to comment project-level decisions that affect on this proposed rule. To aid the under USDA procedures and Executive outputs of products and services. Order 12866 on Regulatory Planning analysis of comments, it would be No Takings Implications helpful if reviewers would key their and Review. It has been determined that comments to specific proposed sections this is not an economically significant This proposed rule has been analyzed or topics. Respondents also should rule. This rule will not have an annual in accordance with the principles and know that in analyzing and considering effect of $100 million or more on the criteria contained in Executive Order comments, the Forest Service will give economy nor adversely affect 12630, and it has been determined that more weight to substantive comments productivity, competition, jobs, the the rule does not pose the risk of a than to simple ‘‘yes,’’ ‘‘no,’’ or ‘‘check environment, public health or safety, taking of Constitutionally protected off’’ responses to form letter/ nor state or local governments. This rule private property. This proposed rule questionnaire-type submissions. will not interfere with an action taken only modifies the process for Executive Order 12866 requires each or planned by another agency nor raise administrative review of Forest Service agency to write regulations that are easy new legal or policy issues. Finally, this decisions for land and resource to understand. We invite your action will not alter the budgetary management plans. impact of entitlements, grants, user fees, comments on how to make this rule Civil Justice Reform Act easier to understand, including answers or loan programs or the rights and to questions such as the following: (1) obligations of recipients of such This proposed rule has been reviewed Are the requirements in the rule clearly programs. However, because of the under Executive Order 12988, Civil stated? (2) Does the rule contain extensive interest in National Forest Justice Reform. If this proposed rule technical language or jargon that System planning and decisionmaking, were adopted, (1) all state and local interferes with its clarity? (3) Does the the Office of Management and Budget laws and regulations that are in conflict format of the rule (grouping and order has determined this rule to be with this proposed rule or which would of sections, use of headings, significant and thus, subject to OMB impede its full implementation would paragraphing, etc.) aid or reduce its review under Executive Order 12866. be preempted; (2) no retroactive effect clarity? (4) Would the rule be easier to Moreover, this proposed rule has been would be given to this proposed rule; understand if it were divided into more considered in light of the Regulatory and (3) it would not require (but shorter) sections? (A ‘‘section’’ Flexibility Act, as amended (5 U.S.C. administrative proceedings before appears in bold type and is preceded by 601 et seq.), and it has been determined parties may file suit in court challenging the symbol ‘‘§ ’’ and a numbered that this proposed rule will not have a its provisions. significant economic impact on a heading; for example, § 219.3 Unfunded Mandates Reform Overview). (5) Is the description of the substantial number of small entities as rule in the ‘‘Supplementary defined by that Act. The rule imposes The President signed into law on Information’’ section of the preamble no requirements on either small or large March 22, 1995, direction regarding helpful in understanding the proposed entities. Rather, the rule sets out the unfunded mandates. The Department rule? (6) What else could we do to make process the Forest Service will follow in has assessed the effects of this rule on the rule easier to understand? planning for the management of the state, local, and tribal governments and Send any comments on how we could National Forest System. The rule should the private sector. This rule does not make this rule easier to understand to increase opportunities for small compel the expenditure of $100 million the address shown earlier in this businesses to become involved in both or more by any state, local, or tribal document. site-specific and national forest and governments or anyone in the private
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Therefore, a statement under information or decisions to which the including suggestions for reducing the section 202 of the Act is not required. person or organization objects; a burden to the ADDRESS shown at the description of the part or parts of the beginning of this notice as well as to the Environmental Impact forest plan amendment or revision being Forest Service Desk Officer, Office of This proposed rule deals with the objected to; a concise statement Information and Regulatory Affairs, development and adoption of Forest explaining why the responsible official’s Office of Management and Budget, Service land and resource management pending decision should not be Washington, DC 20503. plan decisions as well as procedures for adopted, and a description of the Federalism developing site-specific decisions which objector’s prior participation in the may include decisions regarding the planning process for the amendment or The agency has considered this occupancy and use of National Forest revision to which the objection is being proposed rule under the requirements of System land. An environmental review made. Executive Order 12612 and made a will be completed before adoption of a The responsible official must respond preliminary assessment that the rule final rule. to any objection in the final decision will not have substantial direct effects on the states, on the relationship Controlling Paperwork Burdens on the document. Estimate of Burden: 10 hours to between the national government and Public prepare the objection. the states, or on the distribution of Proposed § 219.32 Objections and Type of Respondents: Interested and power and responsibilities among the Appeals would establish a new process affected individuals, organizations, and various levels of government. Therefore, for citizens and groups to object to a governmental units who participate in the agency has determined that no forest plan amendment or revision the planning process: such as persons further assessment on federalism decision. Instead of appealing a decision who live in or near national forest and implications is necessary at this time. In after it is made under the rules of 36 grassland units; local, state, and tribal addition, the agency has reviewed the CFR Part 217, the proposed rule would governments who have an interest in the consultation requirements under allow interested and affected persons plan; federal agencies with an interest in Executive Order 13132, which is and groups to file an objection before the management of National Forest effective on November 2, 1999. This the decision is made. System lands and resources; not-for- Order calls for enhanced consultation The proposed rule sets out the profit organizations interested in with state and local governmental information that an objector would need National Forest System management, officials and emphasizes increased to provide in order to file an objection such as environmental groups, sensitivity to their concerns. In the to a proposed decision. This recreation groups, educational spirit of these new requirements, the information is the same information that institutions; commercial users of agency has consulted with the Western is currently required by the rules at 36 National Forest System lands and Governors’ Association and the Natural CFR Part 217, which provide post- resources. Resources Committee of the National decisional administrative appeal and Estimated Number of Respondents: Governors’ Association for comments on review of land and resource 1,210 a year. a draft version of the proposed rule. management plan decisions. An agency Estimated Number of Responses per Representatives of the Western may not conduct or sponsor, and a Respondent: 1. Governors’ Association indicated that person is not required to respond to, a Estimated Total Annual Burden on the proposed rule fits the principles collection of information unless it Respondents: 1 × 1210 × 10 = 12,100 espoused in their organization’s displays a currently valid OMB initialed hour. ENLIBRA policy, which encourages number. Comments are Invited on: (a) Whether greater participation and collaboration the proposed collection of information in decisionmaking, focuses on outcomes Description of the Information is necessary for the proper performance rather than programs only, and Collection of the functions of the agency, including recognizes the need for a variety of tools The following describes the whether the information will have beyond regulation that can improve information collection associated with practical utility; (b) the accuracy of the environmental and natural resource this rulemaking: agency’s estimate of the burden of the management. The National Governors’ Title: Objection to Amendment or proposed collection of information; (c) Association also has adopted the Revision of Land and Resource ways to enhance the quality, utility, and ENLIBRA policy. Management Plans. clarity of the information to be The proposed rule calls for enhanced OMB Number: New. collected; and (d) ways to minimize the collaboration with state and local Expiration Date of Approval: New. burden of the collection of information governments. Proposed § 219.14 shows Type of Request: The following on respondents, including the use of sensitivity to federalism concerns from describes the new information automated collection techniques or a substantive standpoint. It requires collection requirement which has not other forms of information technology. Forest Service responsible officials to received approval by the Office of recognize the jurisdiction, expertise, Management and Budget: Use of Comments and role of constituencies and local Abstract: The information to be All comments received in response to comminutes interested in, or affected required by § 219.32 is the minimum this proposed information requirement by, use of the National Forest System. information needed for a citizen or will be included in the record of this Under the proposed rule, the organization to explain the nature of the rulemaking and considered in the responsible official must provide objection being made to a proposed land adoption of a final rule as well as opportunities for involvement of state and resource management plan summarized and included in the request and local governments in the planning amendment or revision and the reason for Office of Management and Budget process, including opportunities to why the individual or organization approval of the final rule. participate in the identification of topics objects. Specifically, an objector must Send comments regarding this burden of general interest or concern related to provide name, mailing address and estimate or any other aspect of this planning. Prior to adopting a final rule, telephone number; a statement of the proposed collection of information, the Department will consider the extent
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These include clean air and water, productive soils, Administrative practice and 219.26 Identifying and designating suitable biological diversity, products and procedure, and national forests. uses. 219.27 Special designations. services, employment opportunities, 36 CFR Part 219 219.28 Determination of land suitable for community benefits, recreation, and National Forest System Land and timber removal. naturalness. They also give us intangible 219.29 Limitation on timber removal. Resource Management Planning. qualities, such as beauty, inspiration, Planning Documentation and wonder. Therefore, for the reasons set forth in (2) To assure the continuation of this the preamble, parts 217 and 219 of 219.30 Land and resource management plan array of benefits, sustainability should documentation. Chapter II of Title 36 of the Code of be the guiding star for stewardship of Federal Regulations are proposed to be 219.31 Maintenance of the plan and planning records. the national forests and grasslands. Like amended as follows: other overarching national objectives, Objections and Appeals PART 217ÐAPPEAL OF REGIONAL sustainability is broadly aspirational 219.32 Objections to amendments or GUIDES AND NATIONAL FOREST and can be difficult to define in concrete revisions. terms. Yet, especially considering the LAND AND RESOURCE 219.33 Appeals of site-specific decisions. MANAGEMENT PLANS increased human pressures on the Applicability and Transition national forests and grasslands, it 1. Remove part 217. 219.34 Applicability. becomes ever more essential that 2. Revise Part 219 to read as follows: 219.35 Transition. planning and management begin with this central tenet. PART 219ÐPLANNING Definitions (3) Sustainability is broadly 219.36 Definitions. Subpart AÐNational Forest System Land recognized to be composed of and Resource Management Planning Authority: 5 U.S.C. 301; and Secs. 6 and interdependent elements, ecological, 15, 90 Stat. 2949, 2952, 2958 (16 U.S.C. 1604, economic, and social. It operates on Sec. 1613). several levels. As a collective outlook Purpose, Goals, and Principles for the future, sustainability means Subpart AÐNational Forest System meeting the needs of the present 219.1 Purpose. Land Resource Management Planning 219.2 Goals and principles for planning. generation without compromising the The Framework for Planning Purpose, Goals, and Principles ability of future generations to meet their needs. As an approach to 219.3 Overview. § 219.1 Purpose. decisionmaking, it calls for integrating 219.4 Topics of general interest or concern. 219.5 Information development and (a) Planning for the National Forest the management of ecological systems interpretation. System guides the Forest Service’s with their social and economic context 219.6 Proposed actions. stewardship of the natural resources of while acknowledging that management 219.7 Plan decisions that guide future the national forests and grasslands to should not compromise the basic actions. fulfill the purposes for which these functioning of these systems. As a 219.8 Amendment. lands are designated and to honor their measure of progress, it provides a set of 219.9 Revision. criteria and indicators to guide action. 219.10 Site-specific decisions and unique place in American life. These regulations set forth a process for Building on this foundation of authorized uses of land. sustainability, the national forests and 219.11 Monitoring and evaluation. implementing, amending, and revising land and resource management plans for grasslands can provide a wide variety of Collaborative Planning for Sustainability the National Forest System and for uses, values, products, and services that 219.12 Collaboration and cooperatively monitoring results of plan are important to so many people, developed landscape goals. implementation. These rules also guide including outdoor recreation, forage, 219.13 Coordination among federal the selection and implementation of timber, wildlife and fish, water use, and agencies. minerals. 219.14 Involvement of state and local site-specific projects and activities. The governments. principle authorities governing the § 219.2 Goals and principles for planning. 219.15 Interaction with American Indian development of land and resource Land and resource management tribes and Alaska Natives. management plans and management of planning is directed toward 219.16 Relationships with interested the National Forest System are the achievement of the following major individuals and organizations. National Forest Management Act of 219.17 Interaction with private landowners. goals and guiding principles: 1976; the Forest and Rangeland (a)(1) Goal: Planning must be directed 219.18 Role of advisory groups and Renewable Resources Act of 1974; the committees. toward assuring the ecological Organic Act of 1897; the Multiple-Use sustainability of our watersheds, forests, Ecological, Social, and Economic Sustained-Yield Act of 1960; the and rangelands. The benefits we seek Sustainability Endangered Species Act of 1973; and from the national forests and grasslands 219.19 Ecological, social, and economic the Clean Water Act of 1977. depend upon the long-term ecological sustainability. (b) The National Forest System sustainability of the watersheds, forests, 219.20 Ecological sustainability. constitutes an extraordinary national and rangelands. Considering the 219.21 Social and economic sustainability. legacy created by people of vision and increased human pressures on them, it The Contribution of Science preserved for future generations by becomes ever more essential that 219.22 The role of assessments, analyses, diligent and far-sighted public servants planners focus on the heart of the idea and monitoring. and citizens. They are the people’s of sustainability, that our use today does
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Finding Accordingly, a priority for stewardship (b)(1) Goal: Plans promote economic strategies and actions that contribute to in the national forests and grasslands and social sustainability by providing long-term sustainability, rather than must be to maintain and restore the for a wide variety of uses, values, those that work against it, is the surest ecological sustainability of watersheds, products, and services and by way to increase the predictability of forests, and rangelands for present and enhancing society’s capability to make these uses. future generations. At the same time, sustainable choices. The national forests (iv) The National Forest System planning recognizes that ecological, and grasslands have been a grand planning process must recognize the economic, and social sustainability are experiment in providing for the rights of American Indian tribes and inextricably linked: impairing the multiple-uses (outdoor recreation, Alaska Natives. American Indian tribes sustainability of any one aspect affects forage, timber, wildlife and fish, water and Alaska Natives possess unique and the entirety. use, and minerals) of these lands on a important rights recognized by federal (2) Guiding principles. (i) Planning permanent basis in accordance with treaties, statutes, and executive orders. provides the guidance for the diversity Gifford Pinchot’s dictates that the lands The Forest Service has a general trust of plant and animal communities and be devoted to their most productive use responsibility to federally recognized the productive capacity of ecological for the permanent good of the whole tribes and a duty to acknowledge them systems, the core elements of ecological people * * * always bearing in mind as sovereign governments and to work sustainability. Biological diversity and that the conservative use of these with them on a government-to- ecological productivity, in turn, depend resources in no way conflicts with their government basis. Depending on the on the viability of individual species. permanent value. The planning and circumstances of particular tribes and Diversity is sustained only when species management of these lands should be an national forests, such lands also may persist. In addition, biological diversity example for the entire world of provide for tribal hunting, fishing, and and ecological productivity depend on stewardship that provides a wide gathering rights; access to sacred sites; maintaining the characteristic variety of uses, values, products, and protection of graves and other composition, structure, and processes of services in ways that are compatible archaeological sites; watershed ecosystems in the presence of human with long-term ecological, economic, protection for down-stream American and natural disturbances, and on and social sustainability. Indian reservations; Alaska Native maintaining the ecological integrity of (2) Guiding principles. (i) Planning communities; and fishing sites. these systems. needs to recognize the interdependence (c)(1) Goal: Planning recognizes and is (ii) Planning must be based on science of forests, rangelands, and watersheds efficiently integrated into the broader and other knowledge, including the use with economies and communities. geographic, legal, political, and social of scientifically based strategies for Many communities depend on the landscape within which national forests sustainability. The best available national forests and grasslands for much and grasslands exist. In every sector of ecological, economic, and social of their economic, social, and cultural the country, the Forest Service is just information and analysis must be sustenance. Although the Forest Service one important agency among many considered in creating the foundation of cannot and should not be expected to important governmental and private land and resource management single-handedly sustain existing entities and land ownerships. Some of planning. Planning should consider economies and communities, the these agencies have statutory authority information from a wide range of national forests and grasslands affecting the national forests and their sources, including scientists in public nonetheless contribute many values, resources. Other agencies, governments, and private organizations as well as services, outputs, and uses that allow corporations, and citizens manage land other knowledgeable people in tribes economies and communities to persist, in and around the national forests and and local communities. prosper, and evolve. Within a context of grasslands. Still others have a keen (iii) Planning requires independent sustaining ecological systems, planning interest in the national forests and can scientific review of assessments and must take generous account of affect the way the public views Forest plans before their publication. Broad- compelling local circumstances. This Service action. Sustainability of scale assessments should suggest approach includes the needs of watersheds and other natural areas in methods and strategies for providing for ranching, farming, timber, and mining which national forests and grasslands species viability and ecological communities as well as the needs of are located will inevitably depend upon integrity. With that information, American Indian and Alaska Native activities on nearby federal lands, tribal planners should construct conservation communities that rely upon treaty lands, and state lands, and private lands strategies and have them reviewed for obligations. and on the actions and attitudes of a accuracy and sufficiency by Forest (ii) Planning should foster a broad- wide variety of agencies, governments, Service and other scientists before a based understanding of the vital and citizens. These landowners will plan becomes final. interrelationship between communities vary in their abilities as well as their (iv) Plans should include measures for and sustainably managed forests and interest in providing the mix of uses, evaluating whether stewardship goals grasslands. The planning process should products, values, and services that have been achieved. Because one of the provide mechanisms through which people seek from forests and rangelands. core functions of planning is to foster communities can organize their energies The planning process, therefore, must informed decisions through ongoing and enterprises in a manner that be outward-looking. It must have the assessment and evaluation, effective promotes economic and social goal of understanding the broader monitoring is a crucial aspect of sustainability and develop realistic landscape in which the national forests planning and management. expectations about long-term uses, and grasslands lie. And, it must strive Additionally, independent field review values, outputs, and services to achieve the highest ideals in by Forest Service and outside technical contributed by the national forests and managing public lands within the and scientific experts plays an grasslands. context of how people, businesses, and
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00024 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules 54097 governments will conserve, regulate, (vi) Planning acknowledges the limits lands, including programs to improve and use lands within and around the and variability of likely budgets. Plans riparian conditions, reduce fuel loads, national forests and grasslands. should be realistic in budget estimates and rebuild and decommission roads. (2) Guiding principles. (i) Assessment and resilient in the face of erratic These efforts require entrepreneurs and and planning require a coordinated budgets. The public should become a trained workforce. The surrounding approach by all affected federal aware of the degree to which plan communities can help provide these agencies. Cooperation from the implementation is dependent on annual services. Planning and management beginning with all federal agencies with budgets. must realize the full potential of these statutory authority over specific (d)(1) Goal: Planning meaningfully human resources to further the resources within the national forests engages the American people in the stewardship of the national forests and and grasslands is essential. Obtaining stewardship of their national forests and grasslands. the early participation of, and joint grasslands and builds stewardship (iii) Planning and plans must be planning with, all federal land capacity. The national forests and understandable. A central purpose of management agencies in the area as grasslands belong to the American planning is to speak directly to the appropriate to the issue, is another key people. For these truly to be the public. The language of planning must to successful planning. people’s lands, the people must be clear and straightforward. These are (ii) Planning proceeds from start to understand the land’s condition, the people’s lands, and decisions finish in close cooperation with state, potential, limitations, and role in proposed through planning must be tribal, and local governments. Success resource conservation in this country. accessible to the public. in achieving goals for the national Just as the Forest Service can help the (iv) Planning should actively seek out forests and grasslands may depend upon American people learn about the limits and address key issues. The best decisions made by other jurisdictions. and capabilities of the national forests guidance will emerge from an open, Similarly, the Forest Service often can and grasslands, so too must the candid, and collaborative process that help other jurisdictions achieve their managers be educated by the unique addresses key issues. objectives through cooperation. knowledge, advice, and values of the (v) Effective planning should restore (iii) Planning is interdisciplinary. American people. Citizens can provide and maintain the trust of the American Analyses and development of options a wide array of services, ranging from people in the management of the must respond to a broad range of volunteer work on trail crews to national forests and grasslands. scientific, economic, and social participating in collaborative efforts Planning is a principal setting in which concerns. Therefore, planning teams aimed at resolving disputes over the Forest Service relates to the public. must represent diverse disciplines and specific projects. The Forest Service It can be a valuable forum in which to work together collectively to develop should draw on this knowledge, reestablish the public’s confidence. The information and alternatives. wisdom, and energy by building Forest Service needs to work on the Additionally, consultants can be relationships, dialogues, and premise that effective planning and employed to tap other relevant sources partnerships with the groups and management cannot be achieved of knowledge. individuals who wish to have a role in without the public’s respect and trust. (iv) Planning must be based on the setting the future course for the national Therefore, planning should integrate the spatial and temporal scales necessary to forests and in implementing these public into the process as easily as assure sustainability and provide for decisions. possible, give the public accurate and multiple-use. Ecological boundaries that (2) Guiding principles. (i) The complete information in a way that can also have social meaning, such as river planning process should encourage be understood, make extensive use of basins and mountain ranges, will be extensive collaborative citizen public input, and meet public useful for planning in the future. These participation. Land and resource expectations by adopting realistic plans planning boundaries often do not follow management planning must provide and fulfilling their objectives until the boundaries of the national forests mechanisms for broad-based, vigorous, amended. Effective planning welcomes and grasslands. To achieve long-term and ongoing opportunities for open independent field review of plans and sustainability, planning must often take public dialogue. These dialogues should actions. into account cumulative effects on be open to any person at reasonable (e)(1) Goal: Planning, which must be resources within and beyond the times, conducted in non-technical at once visionary and pragmatic, guides boundaries of the national forests and terms, readily understandable, and stewardship. Planning has long been grasslands and well beyond the life of structured in a manner that recognizes viewed as a burdensome exercise with a plan. and accommodates personal schedules, little connection to management. In fact, (v) Planning recognizes the regional, capabilities, and interests. The planning must be an integral part of national, and global implications of participation of citizens should be stewardship of the national forests and management. Assessment and planning encouraged from the beginning and be grasslands: plans must be working should acknowledge how management maintained throughout the planning guides that Forest Service employees of the national forests and grasslands process. The public should be offered an find useful and motivating. Given the can contribute to ecological, economic, opportunity to participate in activities frequency with which new issues arise, and social sustainability on regional, such as, but not limited to, assessments, new information becomes available, and national, and international scales. Often, issue identification, implementation, unforeseen events occur, planning federal lands will need to anchor and monitoring. should be viewed as an ongoing process, regional and national conservation (ii) Planning builds upon the human where decisions are adapted, as strategies for species and ecosystems so resources in local communities. Just as necessary, to new understandings. other landowners can continue local communities depend on the (2) Guiding principles. (i) Planning production of products and services national forests and grasslands, so too organizes around a collective vision of without undue restriction. In addition, the health of many forests, rangelands, the desired condition. Developing a the wood, forage, water, and recreation and watersheds depends on healthy collective vision of future landscape they provide are often important to neighboring communities. Many conditions and the uses, products, regional economies. restoration actions are needed on these values, and services that will be
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The desired condition and solutions to the scope and scale of proposing, evaluating, approving, and the outcomes associated with it should needed actions which includes the implementing site-specific projects and serve as the central reference points for assessment of land and resources, activities. When planning is required for planning and management of these collaboratively developed landscape more than one national forest or lands. Performance measures, goals, guidance for future actions, site- grassland, two or more Forest or monitoring, and budgets should be specific projects, and monitoring and Grassland Supervisors may combine directed toward achievement of the evaluation of outcomes. The planning their planning activities. A topic, such actions and conditions needed to move framework is built on the following as the recovery of an endangered or toward the desired future. premises: threatened species, may require one or (ii) Planning should be efficient in (1) Planning based upon a broad-scale more Regional Foresters or the Chief of achieving goals. Strategies that assessment of the ecological, social, and the Forest Service to undertake planning simultaneously address multiple goals economic environments is key in and decisions which may amend one or and find the least-cost method for gaining understanding among people more land and resource management achieving these goals are essential living near or interested in national plans. guides to efficient stewardship as is forests or grasslands; establishing (c) Key elements. Key elements of demonstration that the social benefits cooperatively developed landscape land and resource management exceed the social cost. goals; and helping to ensure planning and decisionmaking processes (iii) Planning must be innovative but environmental justice for all citizens. are: practical. Planning is not an end in itself (2) To achieve an interdisciplinary, (1) Broad-scale assessments but rather must be a useful endeavor collaborative approach in planning, (§ 219.4(b)) and Cooperatively that furthers real-world objectives, responsible officials, planners, and developed landscape goals (§ 219.12(b)); including serving as a working guide for managers may engage the skills and (2) Topics of general interest or concern; stewardship. Valuable innovations have interests of any appropriate combination (3) Information development and been developed during Forest Service of Forest Service staff, consultants, contractors, other federal, state, interpretation; planning, ranging from successful (4) Proposed actions; collaborative efforts to multi-agency American Indian tribe, Alaska Natives, or local government personnel, or other (5) Plan decisions that guide future watershed and broad-scale assessments. actions; (iv) Planning must be done interested or affected people. (3) Plan decisions that guide future (6) Amendment; expeditiously. Lengthy planning efforts agency actions within units of the (7) Revision; frustrate public participants, strain National Forest System (§ 219.7) reside (8) Site-specific decisions; and Forest Service resources, and can result (9) Monitoring and evaluation. in land and resource management plans in plans that are outdated when which integrate the decisions applicable adopted. Planners should aim to § 219.4 Topics of general interest or to the plan area and are repositories for concern. complete the planning phases from planning-related documents. (a) Origination of topics of general assessment through formal adoption of (4) Through the consideration of local small landscape plans within 3 years. interest or concern. Topics of general needs, conditions, and effects, within interest or concern may originate from To accommodate this goal, analytical the planning framework, site-specific requirements should be kept to a a variety of sources, including but not projects may be authorized if they are limited to, inventories, assessments, minimum consistent with achieving the consistent with the decisions applicable monitoring and evaluation of projects; purposes of planning. to the plan area. Forest Service conservation leadership (v) Plans should be dynamic and (5) The planning framework is a initiatives; cooperatively developed adaptable. While a plan should strive to continuous cycle of engaging the public, landscape goals; enactment of new laws attain a reasonable degree of developing land and resource or policies; applications for predictability in its implementation, management plan decisions and site- authorization for occupancy and use of everyone must recognize that specific projects, monitoring and National Forest System lands; or from unpredictable events, ranging from evaluating outcomes, and progressively discussions among people, natural disturbances to changed market improving land and resource organizations, or governments interested conditions, will occur. Forest Service management through plan amendments in or affected by National Forest System officials must respond to new or revisions and site-specific projects to management. circumstances through plan achieve the desired conditions as (b) Consideration of topics of general amendments and revisions so that the articulated in land and resource interest or concern. The responsible plans will remain fully current. Plans management plans. official has the discretion to determine must be evolving documents. (b) Levels of planning and whether a topic of general interest or The Framework for Planning decisionmaking. Planning is undertaken concern is appropriate for further at the national, regional, and/or national consideration. § 219.3 Overview. forest or grassland administrative levels (1) In making this determination, the (a) The nature of land and resource depending on the nature and scope of responsible official should consider management planning. Land and topics of general interest or concern and such factors and information as the resource management planning is a subject to limitations and delegation of following: continuous, collaborative process authority. National level planning (i) the scope, complexity, and designed to fully engage the public and establishes long-term strategic goals, geographic scale of potential actions apply the best available scientific objectives, and outcome measures to be that may address the topic;
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(ii) statutory requirements; official may develop or supplement information or address conflicting (iii) organizational capabilities and either a broad-scale assessment or a interpretations of existing information. available resources; local analysis, depending on the scale of (3) Regional Foresters are responsible (iv) the scientific basis and merit of the topic of general interest or concern. for National Forest System participation available data and analyses; The responsible official has the in broad-scale assessments. Each broad- (v) the anticipated consistency of discretion to chose the method and scale assessment should be designed possible actions with existing plans, determine the scope of the collection of and conducted with the assistance of adopted conservation strategies, new information. The findings, scientists, resource professionals, biological opinions, or other strategies recommendations, or reports from governmental entities, and other applicable within all or a portion of the inventories, broad-scale assessments, individuals and organizations plan area; and local analyses, or other studies are used knowledgeable of the assessment area. (vi) the extent of involvement and the to characterize current conditions and to (b) Local analyses. Local analyses views and opinions of interested or help to make informed decisions about provide needed information to aid in affected individuals, organizations, or management activities, such as resource the identification of possible actions or other entities, and related social, protection and watershed restoration, projects to achieve desired conditions. cultural, or spiritual values. and should be readily available to the The need for, and the scope and (2) In addition, the responsible official public. The results from inventories and intensity of, local analyses vary based should consider the extent to which broad-scale assessments, local analyses, on local topics of general interest or addressing the topic relates to or and other studies are not proposed concern, availability of information, and provides: actions or decisions subject to NEPA applicable resource and social values. (i) an opportunity to contribute to the procedures. Recommendations from local analyses achievement of cooperatively developed (a) Broad-scale assessments. (1) may be used in making future decisions. landscape goals and landscape settings Broad-scale assessments provide When deemed appropriate, local consistent with public expectations; information regarding ecological, (ii) an opportunity for the national economic, or social topics that are broad analyses should address ecological, forests and grasslands to contribute to in geographic scale, sometimes crossing social, and economic factors as set out the restoration or maintenance of Forest Service regional administrative in §§ 219.20 and 219.21. The ecological integrity and maintenance or boundaries. Broad-scale assessments delineation of the area to be covered by restoration of watershed function, related to ecological topics should be a local analysis is determined by including water flow regimes to benefit conducted within broad ecological watersheds or ecological units. Local aquatic resources, groundwater boundaries that may include biological analyses may tier to, and may often recharge, municipal water supply, or or geographic regions or the range of one provide information to update, a broad- other uses; or more fish, wildlife, or plant species. scale assessment. Local analyses are to (iii) an opportunity and unique Social and economic topics should be be completed by the responsible official features that the national forests or addressed, as appropriate, in broad- and provide the following: grasslands can contribute to ecological, scale assessments. For some topics, an (1) A characterization of the area of social, and economic sustainability; assessment that combines ecological, analysis; (iv) an opportunity to restore or economic, and social topics may be (2) An identification of topics of maintain ecological conditions that are necessary or desirable. Ecological general interest or concern within the similar to the biological and physical factors are set forth in § 219.20; social analysis area; range of natural variability; and economic factors are set forth in (3) A description of current (v) an opportunity to recover § 219.21. conditions; threatened or endangered species or (2) Broad-scale assessments may be (4) A description of likely future maintain or restore ecological led by the Forest Service or, by conditions; conditions needed for the viability of agreement of the responsible official, by others. In addition to the requirements (5) A synthesis and interpretation of focal species; and information; and (vi) The potential for of §§ 219.20 and 219.21, broad-scale disproportionately high or adverse assessments must include the best (6) Recommendations for future environmental effects upon minority available scientific information and decisions, as appropriate. populations. analysis and provide the following: § 219.6 Proposed actions. (i) Findings and conclusions that § 219.5 Information development and describe historic conditions, current (a) Proposal. Based on the interpretation. status, and future trends of ecological, consideration of factors in § 219.4 and Information related to a topic of social, and/or economic conditions and the available information and analyses general interest or concern may be their relationship to sustainability. in § 219.5, the responsible official may obtained from inventories, broad-scale These findings and conclusions may be propose to amend or revise the assessments, local analyses, or from used by the responsible official to appropriate land and resource information voluntarily submitted by develop proposals for land and resource management plan, propose a site- interested parties, including American management plan amendments or specific project, or both. Indian tribes, Alaska Natives, adjacent revisions, or in making site-specific (b) NEPA requirements. Unless landowners, or others. If the responsible decisions, including authorizations for otherwise exempted by statute, court official determines that a topic of land uses. Findings and conclusions order, or published agency procedures, general interest or concern should from broad-scale assessments also may the responsible official must analyze the receive further consideration, the be used in the development of effects of the proposal and alternative(s) responsible official should review conservation strategies or in other in conformance with Forest Service available information and determine if activities that contribute to land and NEPA procedures. The responsible additional information is desirable and resource management planning. official may use the planning framework can be obtained at a reasonable cost and (ii) Identification of the need for to accomplish the scoping process in a timely manner. The responsible additional research to develop new described in agency NEPA procedures.
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§ 219.7 Plan decisions that guide future size openings from timber harvest, and the overall outcome of the management actions. techniques for achieving aesthetic of a unit of the National Forest System Land and resource management plans objectives by blending the boundaries of and consider the likely results if plan embody four categories of decisions that vegetation treatments. decisions were to continue in effect. The guide or prescribe alternative uses of (c) Designation and identification of revision process is completed when one federal resources upon which future suitable uses and designation of special or more of the decisions of a land and agency action will be based. Plan areas in all or portions of the plan area. resource management plan are revised decisions are added, modified, or The responsible official must identify or determined to continue without revised through amendment or revision those lands within units of the National change. of the applicable land and resource Forest System that are suited for specific (b) Initiating revision. To begin the management plan. Plan decisions do not uses (§ 219.26), including identification revision process, the responsible official explicitly commit resources to specific of the necessary transportation system must: projects, but rather provide a framework and special designations as described in (1) Summarize inventories, for choosing projects to which resources § 219.27, and lands where timber monitoring and evaluation results, new may be committed later. These plan production is an appropriate objective data, findings and conclusions from decision categories are as follows: (§ 219.28). appropriate broad-scale assessments (a) Desired resource conditions to (d) Monitoring and evaluation (§ 219.5(a)), new or revised Forest achieve the long-term sustainability requirements within the plan area. Service policies, and changes in sought over a specified period of time in These requirements are set forth in circumstances affecting the entire or all or portions of the plan area. Desired § 219.11. major portions of the plan area; resource conditions may include, but (2) Evaluate and provide for an are not limited to, the desired watershed § 219.8 Amendment. independent scientific review of the and ecological conditions and aquatic (a) Amending land and resource effectiveness of the current land and and terrestrial habitat characteristics. management plans. An amendment to a resource management plan in fulfilling (b) Goals, objectives, standards, and land and resource management plan is the goals of ecological sustainability guidelines that are applicable to all or a programmatic decision that guides or (§ 219.20); a portion of the plan area. proscribes future Forest Service action. (3) Identify new proposals for special (1) Resource management goals are (1) For each amendment, the areas, including unroaded areas statements of intent, normally expressed responsible official must complete (§ 219.36), special designations, and in general, non-quantitative terms, appropriate environmental analyses and areas under consideration for which contribute toward achieving public participation consistent with wilderness designation (§ 219.27(a)); desired conditions. The goals link Forest Service NEPA procedures. A (4) Develop a priority list of specific Forest Service policies, laws, Executive proposed amendment that may create a watersheds in need of protective or Orders, regulations, and applicable significant environmental effect and restoration measures; Forest Service strategic plans with thus require preparation of an (5) Identify lands currently classified specific measurable objectives. Goals are environmental impact statement is as not suitable for timber production fulfilled through the achievement of considered to be a significant change in (§ 219.28(b)); and measurable objectives. the land and resource management plan. (6) Develop an estimate of anticipated (2) Objectives are concise statements Public review of such an amendment outcomes, products, and services for a that describe desired measurable results must be comparable to that described in 10-year period based on the land and intended to achieve one or more goals. § 219.9(e). resource management plan decisions in Objectives include a statement of the (2) Following completion of NEPA effect at the time the revision process estimated amount of time needed for procedures, any person may file an begins. their completion, their contribution objection to the proposed amendment (c) Public notice of revision process toward achievement of the goals of the and initiate the objection process under and review of information. The plan area, and, if appropriate, a desired § 219.32. responsible official must give public level of products and services (3) The responsible official may make notice of the initiation of plan revision anticipated. a decision to approve a plan amendment and make the information developed (3) The standards and guidelines of a after the conclusion of the 30-day period under paragraph (b) of this section land and resource management plan provided to file an objection in § 219.32. available for public comment for at least provide criteria necessary to achieve (b) Plan amendments in conjunction 45 calendar days. resource management objectives and to with site-specific decisions. As (d) Proposed revision of one or more promote compliance with applicable described in § 219.32, a person may land and resource management plan law, regulation, and policy. For object to a land and resource decisions. example, standards and guidelines must management plan amendment, (1) Based upon the information address focal species; protection or including an amendment of a land and gathered, including any comments restoration of watershed integrity resource management plan proposed in received in response to information including water quantity and quality; conjunction with a pending site-specific made available to the public in protection, maintenance and recovery of project decision. paragraph (c) of this section, the native aquatic and terrestrial dependent responsible official must issue a Notice species; and, prevention of the § 219.9 Revision. of Intent to revise one or more of the introduction and spread of non-native (a) Application of the revision decisions embodied in a land and species. By statute (16 U.S.C. 1604(g)), process. Revision of a land and resource resource management plan. In addition the land and resource management plan management plan is required whenever to the requirements established by must provide standards and guidelines circumstances affecting the entire plan NEPA procedures, the Notice of Intent for timber harvest and regeneration area or major portions of the plan area must describe the decisions proposed to methods including the limitations on have changed significantly or every 15 be revised in a statement of purpose and even-aged harvest methods as required years as required by law. The revision need for the proposed action and by 16 U.S.C. 1604(g)(3)(F), maximum process is an opportunity to review of identify specific opportunities to fulfill
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National Forest System goals as set forth (b) Authorized uses of National Forest achieving or contributing to the in laws, Executive Orders, regulations, System land. At the time of their achievement of desired conditions; and Forest Service directives, and applicable issuance, permits, contracts, and other (3) If key assumptions underlying Forest Service strategic plans. instruments authorizing the use and plan decisions in the land and resource (2) The responsible official must occupancy of National Forest System management plan remain valid. provide at least 45 calendar days for lands must be consistent with the land (b) Coordination. Monitoring and review and comment on the Notice of and resource management plan. When evaluation should be coordinated and, Intent. The responsible official must an amendment or revision to a land and to the extent practicable, conducted consider comments received in response resource management plan is proposed, jointly with other federal agencies, state, to the Notice of Intent and determine if the responsible official must take into local, and tribal governments, scientific there is a need to adjust the scope of the consideration the possible effects on and academic communities, or other proposed revision. occupancy and use already authorized interested parties. In addition, the (e) NEPA documentation. An through permits, contracts, or other responsible official must provide appropriate environmental document instruments. Subject to valid existing appropriate opportunities for the public prepared in accordance with NEPA rights or other statutory requirement, or to be involved in monitoring and procedures must accompany the unless expressly exempted by the plan, evaluation as well as utilize scientists in proposed revision of a land and authorizations for occupancy and use monitoring and evaluation as described resource management plan. The within the plan area must be made in § 219.22(c). responsible official must give the public consistent with any changes made to the (c) Project monitoring. Monitoring notice and an opportunity to comment applicable land and resource and evaluation, if required in on the NEPA document for at least 90 management plan. In a plan amendment conjunction with a site-specific project, calendar days. Following public or revision decision document, the must be described in the project comment, the responsible official must responsible official may exempt decision document. In addition, subject oversee preparation of final documents activities or uses authorized by existing to valid existing rights, a project shall in accordance with NEPA procedures. permits, contracts, or other instruments not be authorized unless there is a from application of new or modified reasonable expectation that adequate (f) Objections. Following completion plan decisions provided that, subject to funding will be available to complete of NEPA procedures, any person may valid existing rights, the environmental any required monitoring and evaluation. file an objection to the proposed effects of the authorized use do not (d) Monitoring and evaluation report. revision and initiate the objection prevent the achievement of the desired The Forest or Grassland Supervisor process under § 219.32. condition described by the land and must prepare an annual monitoring and (g) Effective date. The responsible resource management plan. Otherwise, evaluation report for the plan area official may make a decision to approve the responsible official, through the within 6 months following the end of a plan revision after the conclusion of decision document accompanying a the fiscal year. The report must be filed the 30-day period provided to file an land and resource management plan with the land and resource management objection in § 219.32. amendment or revision, must establish plan documents (§ 219.30), and it must (h) Revision schedule. Within 1 year a schedule for bringing preexisting include the following components: of the effective date of this rule, the authorized occupancy and use into (1) A list or reference to monitoring Chief of the Forest Service must compliance with new or modified plan required by the land and resource establish a schedule for completion of decisions. management plan; the revision process for each land and (2) A summary of the results of resource management plan utilizing the § 219.11 Monitoring and evaluation. monitoring performed during the rules of this subpart. Monitoring and evaluation preceding fiscal year; requirements are designed to assess the (3) A description of the trend(s) § 219.10 Site-specific decisions and effectiveness of management actions in toward achieving goals or desired authorized uses of land. accomplishing goals, objectives, and conditions and sustainability from (a) Site-specific decisions. Subject to desired conditions. Monitoring and accumulated actions; valid existing rights, applicable statutes, evaluation aids in the identification of (4) Identification of topics of general and to the extent appropriate and topics of general interest or concern, the interest or concern (§ 219.4) arising from practicable, the responsible official shall development of assessments, and in the monitoring and evaluation; and follow the planning requirements of this amendment or revision of land and (5) A list of amendments, revisions, subpart to make site-specific decisions. resource management plans or in the and summary of appropriate outcomes, A site-specific decision must be selection of site-specific projects. products and services, and budgetary consistent with the decisions within the (a) Monitoring and evaluation trends related to the achievement of applicable land and resource requirements. The monitoring strategy desired conditions. management plan. If a proposed site- for a land and resource management (e) Monitoring and evaluation of specific decision is not consistent with plan must include identification of the ecological sustainability. Monitoring the applicable land and resource actions, effects, or resources to be and evaluation are crucial components management plan, the responsible measured; the frequency of in the achievement of ecological official may modify the proposed measurement; and sampling protocols. sustainability. A monitoring program decision to make it consistent with the The responsible official shall ensure must be developed to evaluate the land and resource management plan, that monitoring information is used to effectiveness of maintaining or restoring subject to valid existing rights and determine: ecosystem integrity and preserving statutory requirements; reject the (1) If site-specific actions are future management options. Monitoring proposal; or, if required by law or completed as specified in applicable should be based on conceptual models justified by projected short-term, long- decision documents; of ecological systems being managed, term, and cumulative effects, amend the (2) If the aggregated outcomes and key ecosystem processes including land and resource management plan to effects of completed and ongoing disturbance processes, and individual permit the proposal. actions are sustainable and are ecosystem components and the
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In Monitoring and evaluation of ecological relied upon to provide inference to undertaking planning, the responsible sustainability must: population status, the relationship of official should consider pertinent (1) Develop methods of selecting and population to habitat must be information from other sources and measuring indicators of ecological understood well enough to provide data activities on other lands and recognize integrity and designate critical values appropriate to the reason for which the the distinct roles, jurisdictions, and that would trigger reviews of and species is being monitored. relationships of interested and affected possible amendments to goals, (3) Determine the status and trend of governments, organizations, groups, and objectives, standards, or guidelines. other selected physical and biological individuals subject to applicable laws Critical values should include indicators of ecological integrity. and regulations. The responsible official identification of the spatial and Document the reasons for selection of has full discretion to determine how temporal scales over which they are to monitoring objective and methodology and to what extent to use the be measured. for these indicators. collaborative processes outlined in (2) Determine the status and trend of (4) Validate that selected focal species §§ 219.12 through 219.18. focal species and species at risk: and other selected indicators of (b) Cooperatively developed (i) The choice of monitoring ecological integrity provide reliable landscape goals. (1) Using information objectives and methodology for focal information about the status and from broad-scale assessments or other species and species at risk is based upon integrity of the ecological system in available information, the responsible a variety of factors which includes the which they occur. official should seek to initiate or seek to degree of risk to the species, the degree (5) Determine the effectiveness of join on-going collaborative efforts to to which a species’ life history actions in providing desired conditions develop or propose landscape goals for characteristics lend themselves to for selected demand species. ecological units that may be associated monitoring, the reasons that a species is (6) Provide an overall evaluation of with National Forest System lands. The included in the list of focal, at risk, or the effectiveness of management responsible official and those involved demand species, and the strength of direction in conserving and maintaining in planning should invite and encourage association between habitat and or restoring ecosystem integrity, and in others to engage in the collaborative population dynamics. The reasons for preserving future management options. development of landscape goals. During selection of monitoring objectives and (f) Monitoring and evaluation of social this collaborative effort, responsible methodology must be documented as and economic sustainability. Monitoring officials, planners, and managers should part of the monitoring program. (ii) Habitat conditions and trends and evaluation of social and economic strive to communicate and foster must be monitored for selected focal sustainability should include periodic understanding of the nation’s species and species at risk. Habitat review of national, regional, and local declaration of environmental policy as conditions should include all supply and demand for products, set forth in section 101(b) of the conditions necessary to support the services, and values. Special National Environmental Policy Act (42 species, not just vegetative components consideration should be given to those U.S.C. 4321–4347, as amended) which of habitat. products, services, and values that the states that it is the continuing (iii) Actual estimates of population Forest Service is uniquely poised to responsibility of the Federal status and trend are appropriate when provide. Monitoring should improve the Government to use all practicable the risk of local or broader extirpation understanding of the National Forest means, consistent with other essential is high or there is high uncertainty System contributions to human wants considerations of national policy, to about the habitats and conditions and values and to social and economic improve and coordinate Federal plans, needed for species viability. In these sustainability. functions, programs, and resources to the end that the Nation may— cases, monitoring of population status Collaborative Planning for should include a combination of Sustainability (i) Fulfill the responsibilities of each efficient and reliable population generation as trustee of the environment sampling and studies to evaluate the § 219.12 Collaboration and cooperatively for succeeding generations; species’ habitat relationships and the developed landscape goals. (ii) Assure for all Americans safe, effects of habitat manipulation. In cases (a) Collaboration. Collaboration in healthful, productive, and esthetically where these ongoing monitoring efforts land and resource management and culturally pleasing surroundings; result in thorough understanding of the planning enhances the ability of people (iii) Attain the widest range of relationships of habitat to species to work together, build their capacity for beneficial uses of the environment distribution, abundance, and stewardship, and achieve ecological, without degradation, risk to health or demographics, and where habitat is a economic, and social sustainability. The safety, or other undesirable and primary factor influencing species responsible official, functioning as a unintended consequences; population dynamics, monitoring may leader, convener, facilitator, or (iv) Preserve important historic, shift such that species status is inferred participant, as appropriate, should cultural, and natural aspects of our primarily from habitat monitoring rather foster positive relationships with people national heritage, and maintain, than being solely based on direct interested in and/or affected by the wherever possible, an environment population measures. management of the National Forest which supports diversity, and variety of (iv) For species for which the risk of System lands, as well as with other individual choice; local or broader extirpations is not high, federal agencies and state, local, and (v) Achieve a balance between an array of monitoring objectives and tribal governments that wish to population and resource use which will methods may be appropriate. These may participate in defining the future of the permit high standards of living and a include the use of population National Forest System. The responsible wide sharing of life’s amenities; and occurrence and presence/absence data, official should provide frequent (vi) Enhance the quality of renewable using population indices to track opportunities for citizens and resources and approach the maximum relative population trends, or inferring organizations to participate openly and attainable recycling of depletable population status from habitat meaningfully, beginning at the early resources.
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(2) The responsible official should (3) Consider tribal concerns and and Grassland Supervisors may request consider cooperatively developed suggestions when making decisions. establishment of advisory committees landscape goals, whether initiated by and recommend members to the the Forest Service or others, within the § 219.16 Relationships with interested Secretary of Agriculture. Advisory individuals and organizations. framework for planning as a topic of committees used by other agencies also general interest or concern (§ 219.4). The responsible official must: may be utilized through proper (a) Ensure that appropriate agreements. § 219.13 Coordination among federal information is made available and that agencies. no one, including persons with diverse Ecological, Social, And Economic The responsible official must seek to opinions and values, is deliberately Sustainability excluded or denied participation in land provide early and continuous § 219.19 Ecological, social, and economic coordination with appropriate federal and resource management planning; sustainability. (b) Encourage participants to work agencies and must provide Achievement of ecological, social, and opportunities for other interested or collaboratively and directly with one another to improve understanding; economic sustainability is the overall affected federal agencies to: goal for management of National Forest (a) Participate in the identification of (c) As appropriate and necessary, System land. To achieve sustainability, topics of general interest or concern and identify and consult with a broad the first priority for management is the formulation of proposed actions that spectrum of individuals and entities maintenance and restoration of may affect or influence programs; who can provide information about ecological sustainability to provide a (b) Contribute to the streamlined current and historic public uses within sustainable flow of products, services, resolution of any inconsistencies among an assessment or plan area, about the and other values from these lands federal agency policies, resource location of unique and sensitive consistent with the laws and regulations management plans, or programs; and resources, as well as identify values and (c) Develop, where appropriate and cultural practices related to topics of guiding their use and enjoyment by the practicable, joint resource management general interest or concern in the plan American people. plans. area; and § 219.20 Ecological sustainability. (d) Consult with scientific experts and To achieve ecological sustainability, it § 219.14 Involvement of state and local other knowledgeable persons, as is necessary to maintain and restore governments. appropriate and necessary, in the ecosystem integrity. Sustaining the The responsible official must conduct of planning activities. recognize the jurisdiction, expertise, integrity of ecological systems increases and role of state and local governments § 219.17 Interaction with private their resilience to natural disturbance as regulators, land managers, and landowners. events, allows renewal following use or representatives of state constituencies Consideration of the pattern and degradation, and helps to preserve and local communities interested in or distribution of land ownership in options for future generations. (a) Ecological information and affected by uses of the National Forest assessment and plan areas is critical. In analysis. To maintain and restore System. Accordingly, the responsible order to identify appropriate actions and ecological sustainability, the collection official must provide opportunities for evaluate possible effects, the responsible and analysis of information on involvement of state and local official must seek to engage those who ecosystem composition, structure, and governments in the planning process, have control or authority over lands processes at a variety of spatial and including opportunities to participate in adjacent to or within the external temporal scales is necessary. These the identification of topics of general boundaries of national forests or grasslands in the consideration of include geographic scales such as interest or concern relating to the plan bioregions and watersheds, scales of area. available information and potential conditions and activities on the adjacent biological organization such as § 219.15 Interaction with American Indian lands that may affect management of communities and species, and temporal tribes and Alaska Natives. National Forest System lands. scales ranging from months to centuries. (a) The Forest Service shares in the Some ecological measures, such as Federal Government’s overall trust § 219.18 Role of advisory groups and landscape diversity, are meaningful responsibility for federally recognized committees. only when information is collected and American Indian tribes and Alaska (a) Advisory groups. Advisory groups analyzed at large spatial scales. For Natives. or boards can provide an immediate, other measures, such as species (b) The responsible official must representative, and predictable structure diversity, it may be appropriate to recognize the government-to- within which public dialogue can occur collect and analyze information at more government relationship between so that Forest Service relationships with than one scale, with analysis at each American Indian or Alaska Native tribal a broad and dispersed community of scale influencing and/or incorporating governments and the Federal interests can be efficiently maintained. the analysis done at other scales. Government. (b) Use of advisory committees. An Information and analyses regarding (c) The responsible official must advisory committee may be used to ecological sustainability may be consult with and invite American assist the responsible official in identified, obtained, or developed Indian tribes and Alaska Natives to determining whether there is a through a variety of mechanisms, participate throughout the planning reasonable basis for action to address a including broad-scale assessments and process to: topic of general interest or concern. An local analyses (§ 219.5), and documents (1) Assist in the early identification of advisory committee is not needed for prepared as required by NEPA treaty rights, treaty-protected resources, each national forest or grassland; procedures. As appropriate to the scale American Indian tribe trust resources, however, each Forest or Grassland of the analysis, information and and other tribal concerns; Supervisor must have access to an analyses, must include the following: (2) Consider tribal data and resource advisory committee capable of (1) The current biological and knowledge provided by tribal addressing local conditions and topics physical characteristics of ecosystems, representatives; and of general interest or concern. Forest such as plant and animal species, the
VerDate 22-SEP-99 15:59 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00031 Fmt 4701 Sfmt 4702 E:\FR\FM\05OCP2.XXX pfrm01 PsN: 05OCP2 54104 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Proposed Rules composition, structural stages, and similar ecological functions, may be information, commensurate with risk landscape distribution of major identified as focal species because they levels, may be necessary. vegetation types, soil condition, air and serve an umbrella function in terms of (ii) Other measures of ecosystem water quality, stream channel encompassing habitats needed for many integrity. Analyze information regarding morphology, and instream flows. other species, play a key role in focal species other than those being (2) The principal ecological processes maintaining community structure or used solely as surrogates for viability, that influence the characteristic processes, are sensitive to the changes and other physical and biological structure and composition of an area. likely to occur in the area, or otherwise indicators. As part of this analysis, This includes the intensity, frequency, serve as an indicator of ecological highlight risks to ecosystem integrity and magnitude of natural disturbance integrity. Also, certain focal species may and identify ecological conditions regimes, occurring at the multiple be identified for the purpose of needed to maintain or restore integrity geographic and temporal scales. evaluating ecological conditions needed over time. (3) The effects of human activities, to provide for the viability of some other (9) Identification of demand species, distinguishing activities prior to species. Collectively, the set of focal which are those plant or animal species European settlement, which had an species must represent the range of of high social, cultural, or economic integral role in the landscape for a long environments within the area being value. Evaluate their status in the area period of time, from activities after analyzed. being analyzed. As part of this analysis, European settlement, many of which are (ii) Species at risk. Species at risk document cumulative effects and of a type, size, and rate that were not include endangered, threatened, identify ecological conditions needed to typical of disturbances under which candidate, proposed, and sensitive maintain desired levels of these species native plant and animal species and species, and species for which over time. ecosystems developed. significant local reductions in (10) Acknowledgment of incomplete (4) Estimates of the historical range of distribution or density are concerns. information, uncertainty, and the variability of ecological conditions, (iii) Other physical and biological inherent variability of ecological which should include an analysis of the indicators. The status and trend of other systems. differences over time in the occurrence physical or biological indicators, such (b) Decisions. The responsible official of key attributes of ecological systems, as measures of air or water quality, soil must make decisions that provide for and should identify those conditions conditions, fire and water flow regimes, ecosystem integrity at the appropriate that occurred more frequently than the prevalence of invasive or noxious planning level. Decisions made at others. Estimates must be made for a species, and the variety, distribution, subsequent levels must be consistent specified period of time and include the and productivity of forest and grassland with higher-level decisions. Subject to effects of natural and human ecosystems, may be used to evaluate valid existing rights and other statutory disturbance regimes prior to European ecological integrity. requirements, land and resource settlement. Current conditions must be (8) An evaluation of ecosystem management plan and site-specific compared to the distribution of integrity, using measures of species decisions must maintain or restore historical conditions prior to European viability and the condition of other ecosystem integrity, including species settlement to develop insights about the indicators including analysis at viability, and must: current status and integrity of ecosystem appropriate spatial and temporal scales (1) Be based on the application of the components. and the cumulative effects of human best available scientific information and (5) A comprehensive status of and natural disturbances. analysis, including the information and ecosystem components and the (i) Species viability. Analyze viability analysis described in paragraph (a). This contribution of National Forest System of each species known to be at risk. For includes analysis of cumulative effects lands to ecosystem integrity, including all other species, including those and acknowledgment of incomplete species viability, based on consideration species for which there is little information, scientific uncertainty, and of all lands within the area under information, focal species are to be used variability that is inherent in complex analysis. as surrogates in the evaluation of ecological systems. (6) Identification of areas that may conditions needed to maintain viability. (2) Provide for maintenance or serve as reference landscapes, which This requires analysis of viability for restoration of the ecosystem collectively should reflect the full range each focal species identified for the composition, structure, and processes of ecological composition, structure, purpose of evaluating ecological which are characteristic of an area over and processes. conditions needed to provide for the time and space. (7) Identification of indicators of viability of other species. As part of the (3) Provide for maintenance of the ecosystem integrity, which must include viability analysis, identify risks to the biological and physical components of focal species and species at risk, and viability of species and identify ecosystems within the historical range also may include other physical and ecological conditions needed to of variability, except as provided in biological indicators. In general, the maintain viability over time. In paragraph (b)(3)(iv). indicators should be consistent across analyzing viability, recognize the level (i) In situations where ecological different scales of analysis. of knowledge available about species, conditions are currently within the (i) Focal species. Focal species are their habitats, and the dynamic nature historical range of variability, results of used as surrogate measures in the of ecosystems. When detailed management actions on composition, evaluation of ecological integrity, knowledge is available, an evaluation of structure, and processes should remain including the diversity of native and demographic, genetic, and other risk within that range, and decisions should desired non-native species. The key factors should be used to evaluate strive to maintain the more likely characteristic of a focal species is that viability. When information gaps exist, conditions within the range. its status and trend provide insights to reliance on general conservation (ii) Where current ecological the integrity of the larger ecological principles and expert opinion may be conditions fall outside the historical system to which it belongs. Individual appropriate. However, if risks to range of variability, decisions must not species, or groups of species that use viability are considered to be high, shift those conditions further from the habitat in similar ways or that perform collection and analysis of additional historical range of variability, and
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In some fall within the historical range of in distribution or density are concerns, situations, conditions or events beyond variability, goals, objectives, standards, including but not limited to the the control or authority of the Forest and guidelines should be based on an quantity, quality, and distribution of Service may limit the Forest Service’s understanding and consideration of habitats and ecological processes ability to prevent the need for federal natural disturbance processes that led to needed to maintain viability, to prevent listing or prevent the extirpation of a the characteristic structure and listing a species as threatened or species from a plan area. However, in composition of these systems, including endangered under the Endangered these situations, consideration should the intensity, frequency and magnitude Species Act, and to prevent local or be given to whether the National Forest of those disturbance regimes. broader extirpations. System lands have a unique opportunity (iv) Where the use of the historical (ii) Some species are not naturally to provide a disproportionately greater range of variability to set goals and well-distributed and therefore plan contribution, compared to other lands, objectives, and/or disturbance processes decisions for those species should of the ecological conditions needed to to guide management actions, would recognize and reflect natural help reduce the likelihood of species result in future conditions that are distribution patterns. A species is well- becoming listed under the Endangered judged to be ecologically and/or socially distributed when individuals can Species Act or to contribute to the unacceptable; or where the historical interact with each other in the portion recovery of listed species. range of variability or disturbance of the species range that occurs within (11) Provide for ecological conditions processes are poorly understood; or the plan area. needed to achieve sustainable use levels (iii) When a plan area occupies the where ecosystems have been altered to of demand species for hunting, fishing, entire range of a species, provide for the extent that it is not possible to subsistence, non-consumptive, and viability of the species and its return to conditions within the other uses, consistent with objectives for component populations throughout that historical range; other scientifically ecological integrity. Develop objectives range. When a plan area encompasses credible approaches may be used to for these species in cooperation with one or more naturally disjunct maintain or restore ecosystem integrity. other federal agencies, states, American populations of a species, provide for The scientific basis for such alternative Indians, Alaska Natives, and interested viability of each population. When a approaches, and the fundamental individuals and organizations, plan area encompasses only a part of a differences from an approach based the consistent with the Sikes Act and other population, contribute to viability of historical range of variability and applicable laws. that population by maintaining disturbance processes must be fully (c) Monitoring and evaluation. ecological conditions for the population documented. Monitoring and evaluation requirements well-distributed throughout its range are set out in section § 219.11(e). (4) Preserve options so that a range of within the plan area. future stewardship choices will be (iv) When a plan area occupies only § 219.21 Social and economic available. part of the range of a species, and sustainability. (5) Designate appropriate reference management of lands outside the (a) Achieving social and economic landscapes to serve as benchmarks and National Forest System lands precludes sustainability. The management of to evaluate the effects of actions. attainment of a high likelihood of National Forest System lands promotes (6) Provide for the protection and/or viability for that species, contribute to economic and social sustainability restoration of soil and water resources, viability by providing ecological through involvement of interested and/ including, but not limited to, coastal conditions for the species well- or affected people, development and waters, estuaries, groundwater, streams, distributed throughout its range within consideration of relevant social and stream banks, shorelines, lakes, the plan area. economic information, and by providing wetlands, riparian areas, floodplains, (v) Provide for structural and a range of products, services, and and unstable soils, and comply with functional redundancy of habitat as values. applicable Clean Water Act necessary to buffer disturbances (b) Social and economic analyses. requirements. Identify current and characteristic of dynamic systems. Social and economic analyses are foreseeable future Forest Service (9) Include, at the appropriate and important in gaining understanding of consumptive and non-consumptive applicable scale, non-discretionary, the relationships among ecological, water uses and quantities, and the water reasonable, and prudent measures and social, and economic sustainability. rights needed to maintain or restore associated terms and conditions Social analyses address human life- watershed integrity, including instream contained in biological opinions issued styles, attitudes, beliefs, values, flow needs. under 50 CFR Part 402. Provide demographic characteristics, and land- (7) Provide for the protection and/or rationale for adoption or rejection of use patterns of human communities and restoration of air resource values, discretionary conservation their capacity to adapt to changing including visibility, from human-caused recommendations in biological conditions. Economic analyses identify air pollution impacts to the extent opinions, as well as objectives identified and evaluate an area’s economy in the possible given variables beyond the for Forest Service action as part of context of national and regional supply, control of the Forest Service. recovery plans developed under the demand, and private and public values. (8) Provide for ecological conditions Endangered Species Act. In conducting broad-scale assessments such that there is a high likelihood of (10) Provide for ecological conditions or local analyses, the responsible official maintaining viability of native and such that Forest Service actions do not should consider the best available desired non-native species over time contribute to the need to list species information to consider social and within the plan area, except as provided under the Endangered Species Act. This economic factors such as: in paragraph (b)(8)(iv). To meet this may include decisions based on (1) Demographics, life style requirement, the following points must consideration of recommendations in preferences, cultural norms, economic
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When appropriate strategies; the state and local level, and existing and practicable, a responsible official (3) Current demographics related to opportunities for collaboration with must provide for independent, scientific direct, indirect, and induced effects on other agencies, businesses, peer review of the findings and income, population, and industry organizations, landowners; and other conclusions originating from a broad- employment, and the ability of dimensions of social life. scale assessment. Peer review may be communities to adapt to change; (f) Local social and economic provided by scientists from the Forest (4) The relationship between these analyses. Local analyses should provide Service, other federal, state, or tribal variables and the uses, products, and refinement of larger-scale analyses and agencies, or other institutions. services provided by the National Forest of regional data and information as (b) Local analyses. A responsible System; related to the area under consideration. official may include scientists in (5) Economic estimates of the A local analysis may provide a context periodic technical reviews of local National Forest System contribution to for other analyses. The local analysis analyses and field reviews of the design present and future society benefits (both should include participatory analyses and selection of subsequent site-specific quantitative and qualitative); which engage people and communities projects. (6) The financial and opportunity to enhance understanding and (c) Monitoring. (1) The responsible costs derived from market and non- development of realistic expectations. official must include scientists in the market use; and (g) Risk and vulnerability analyses. design and evaluation of monitoring and (7) The presence of natural resources Risk and vulnerability analyses assess inventory strategies and protocols. and resource capital investment in the vulnerability of communities from Additionally, the responsible official National Forest System lands. changes in ecological systems as a result must provide for an independent peer (c) Social analyses. of natural succession or potential review by scientists of the monitoring (1) Social analyses may rely upon management actions. Risk may be program on at least a biennial basis to quantitative, qualitative and considered for geographic, relevant review monitoring and inventory participatory methods for gathering and occupational, or other related strategies, to validate adherence to analyzing data. communities of interest. Resiliency and appropriate protocols and methods in (2) Social analyses are often community capacity should be collecting and processing of monitoring undertaken at varying spatial scales to considered in a risk and vulnerability and inventory samples and to validate improve understanding of the effects of analysis. that data are summarized and internal and external social factors (h) Implementation. Analyses and interpreted. within the larger context within which decisions regarding social and economic (2) When appropriate and practicable, federal lands are located. sustainability are to be made at the the responsible official should include (3) A social analysis should describe appropriate planning level. Decisions scientists in the review of monitoring potential consequences to communities made at subsequent levels must be data and analytical results to determine and regions from land management consistent with higher-level decisions. trends relative to ecological, economic, changes in terms of capital availability, Existing data (e.g., census data, or social sustainability. employment opportunities, wage levels, demographic information, employment local tax bases, federal revenue sharing, § 219.23 The participation of scientists in statistics, and other economic the ability to support public planning. information) often provide a useful infrastructure and social services, Scientists may participate in planning foundation for social and economic human health and safety, and other by: analyses, but, supplemental information factors as necessary and appropriate. (a) Assisting the responsible official in (d) Economic analysis. may be needed. understanding and applying relevant (1) An economic analysis may include (i) Monitoring. Requirements for scientific information, including a quantitative, qualitative, and historical monitoring and evaluation of social and verifying that the best available analysis of the effects of National Forest economic sustainability are set out in scientific information and analysis is System management on national, § 219.11(f). considered as provided in (§ 219.24); regional, and local economies. The Contribution of Science (b) Estimating the risks and (2) Economic analysis is undertaken uncertainties that could result from at varying spatial scales and should § 219.22 The role of assessments, resource management options and include the long-term costs and benefits analyses, and monitoring. identifying and describing how risks of management activities and their Broad-scale assessments and local associated with plan decisions may be contribution to net public benefits and analyses, in concert with monitoring mitigated and how uncertainties might regional and community well being. and evaluation of large and small be reduced through additional research; (3) An economic analysis includes an landscapes are critical to gaining (c) Providing an evaluation of the analysis of national and regional understanding of the relationships of significance of new information not yet economic trends (both supply and ecological, social, and economic independently peer-reviewed, such as demand), variation in product prices, environments. Scientists, results of ongoing or recently completed and changes in public values. knowledgeable of the plan area and research studies, management reviews, (e) Regional social and economic working with others, improve or monitoring and evaluation and the analyses. Regional analyses may include understanding and aid the identification relevance to existing plan decisions; and a quantitative and qualitative analysis of of landscape goals and actions needed (d) Assisting in the identification of the economic and social history of the to achieve sustainability. topics of general interest or concern and
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Board membership geological areas, roadless areas, and evaluating information on complex must include scientists representing a unroaded areas, botanical areas, scenic issues, particularly those having broad broad range of natural resource by-ways, national scenic areas, national geographic and community interest. disciplines including the physical and recreation areas, national natural Scientists may be employed by the biological sciences, economics, and landmarks and monuments; and wild, Forest Service or employed by other sociology. Regional science advisory scenic, and recreation rivers. The Forest federal, state, local, or privately owned board tasks may include, but are not Service identifies special designations entities. limited to: or recommends special designation to § 219.24 Science consistency evaluations. (1) Evaluating significance and higher authorities through the relevance of new information related to amendment or revision process. (a) The responsible official must current plan decisions, including the (a) Wilderness areas. Unless federal ensure that plan decisions are consistent results of monitoring and evaluation statute directs otherwise, all roadless, with the best available scientific programs; and undeveloped areas that are of sufficient information and analysis. The size as to make practicable their responsible official may use a science (2) Evaluating science consistency as preservation and use in an unimpaired advisory board (§ 219.25) to assist in described in § 219.24. condition must be evaluated for determining whether information (b) National science advisory board. wilderness designation during the land gathered, evaluations conducted, or To provide scientific guidance on issues and resource management plan revision analyses and conclusions reached in the of national significance, the Chief of the process. Roadless areas may be planning process are consistent with the Forest Service must establish and evaluated at other times as determined best available scientific information and appoint the chairperson and members to by the responsible official. analysis. If the responsible official a national science advisory board. The (b) Reconciliation of statutory decides to use a science advisory board, board is to consist of distinguished requirements. Where statutes the board and the responsible official scientists representing a broad range of designating special areas within the are to jointly establish criteria for the natural resource disciplines including National Forest System require planning science advisory board and the the physical and biological sciences, beyond that required for land and responsible official to use in reviewing economics, and sociology. resource management plans, the goals, the consistency of proposed plan (c) Work groups. With the objectives, standards, or guidelines in decision(s) to determine consistency concurrence of Forest Service officials special area plans must be incorporated with the best available scientific and subject to available funding, both into the land and resource management information and analysis. regional and national science advisory plan as plan decisions. (b) The science advisory board is boards may convene work group of responsible for organizing and scientists and/or others to study § 219.28 Determination of land suitable for conducting a scientific consistency particular issues and make timber removal. evaluation to review whether : recommendations to the advisory (a) For purposes of land and resource (1) If relevant scientific (ecological, boards. management planning with respect to social, or economic) information has Special Considerations timber removal, there are two been considered by the responsible classifications of land—land not suited official in a manner consistent with § 219.26 Identifying and designating for timber production and land where current scientific understanding at the suitable uses. timber harvest is permitted. appropriate scales; (b) The responsible official must (2) If uncertainty of knowledge has National forests and grasslands are identify lands within the plan area that been recognized, acknowledged, and available for a wide variety of public are not suitable for timber production. adequately documented; and uses; unless such uses are statutorily (3) If the level of risk in achievement prohibited, are found to be incompatible These lands and their classification as of sustainability is acknowledged and with the National forest mission and not suitable for timber production must adequately documented by the resource management goals and be reviewed during the plan revision responsible official. objectives, or the lands are deemed to be process, or as otherwise prescribed by (c) If substantial disagreement among not suitable for a particular use. As land law. Lands not suited for timber members of the science advisory board and resource management plans are production include: or between the science advisory board amended or revised, the responsible (1) Lands where timber harvest would and the responsible official is identified official must determine the suitability of violate statute, Executive Order, or during a science consistency evaluation, various uses within the affected plan regulation and those lands that have a summary of such disagreement should area. The identification of land that is been withdrawn from timber harvest by be noted in the appropriate suited for certain uses, such as the Secretary of Agriculture or the Chief environmental documentation within recreation, timber production, livestock of the Forest Service; Forest Service NEPA procedures. grazing, or other uses, should be based (2) Lands that do not meet the on assessments, other analyses, definition of forested land. For the § 219.25 Science advisory boards. monitoring and evaluation results, or purposes of this section, forested land (a) Regional science advisory boards. other information. Planning documents means land not currently identified for The appropriate Forest Service Research should display the land available for non-forest use and of which at least 10 Station Director(s) must establish a various uses in areas large enough to percent is occupied by forest trees or science advisory board to be available to provide sufficient latitude for periodic which formerly had such tree cover. monitor the implementation of plan adjustments in use to conform to Forest trees are those woody plants decisions for National Forest System changing needs and conditions. having a well-developed stem and are
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The set of available for conducting timber and may either: documents that comprise the land and harvesting without causing irreversible (1) Sell a quantity of timber in excess resource management plan must display damage to soil productivity or of the annual allowable sale quantity as the specific or compatible uses ecosystem integrity; long as the average sale quantities of (§ 219.26) of lands within the plan area (4) Lands where there are no timber over the decade covered by the such as recreation uses, mineral reasonable assurances that they could be plan from lands to which the allowable developments, and the transportation adequately reforested within 5 years of sale quantity applies do not exceed the network of roads and trails for public regeneration harvest; and allowable sale quantity for the decade; use. The display must identify land (5) Lands where the costs of timber or classified suitable for timber removal production are not justified by the (2) Sell a quantity of timber that and not suitable for timber production ecological, social, or economic benefits. exceeds the allowable sale quantity for (§ 219.28), lands where timber harvest (c) The responsible official must any decade as long as the proposal to may be permitted to accomplish other identify lands within the plan area exceed the allowable sale quantity is resource objectives, and lands where where timber harvest is permitted. For fully disclosed to the public as part of timber production is an objective. The these lands, the responsible official the required evaluation for a proposed display also must describe the must identify: plan decision as described by this rule. limitations on the removal of timber (1) Lands where timber production is (§ 219.29) and the standards and Planning Documentation an objective; and guidelines for timber harvest and (2) Lands where timber harvest is § 219.30 Land and resource management regeneration methods (§ 219.7(b)(3)). permitted to maintain or restore the plan documentation. (c) Plan decisions. The set of ecological integrity of the land, to A land and resource management documents that comprise the land and protect other multiple-use values, or to resource management plan must clearly achieve the desired vegetation condition plan is a repository of documents that integrates and displays the goals, display the goals, objectives, standards, identified in planning documents. guidelines, and other decisions made at (d) To achieve the desired conditions objectives, standards, guidelines, and different geographic and temporal scales described in applicable land and other plan decisions that apply to a unit that apply to the plan area. resource management plan decisions, of the National Forest System. The land (d) Display of actions, outcomes, and the salvage or sanitation harvest of and resource management plan also projected products and services. The set timber is permitted on all National contains maps, information resulting of documents that comprise the land Forest System lands except on those from monitoring and evaluation, and resource management plan must lands where timber harvest is prohibited including the annual monitoring and also contain: by law. evaluation report, and other information relevant to how the plan area is to be (1) An annually updated list or other § 219.29 Limitation on timber removal. managed. The land and resource display of proposed, authorized, and (a) The responsible official must management plan is a vision for the completed actions to achieve desired estimate the amount of timber that can future that is clear, understandable, and conditions within the plan area; be sold annually in perpetuity on a readily available for public review. The (2) A 2-year schedule of anticipated sustained-yield basis from lands where set of documents that constitute a land outcomes, products, and services based timber production is identified as an and resource management plan is on a reasonable estimate of Forest objective. This estimate must be based continually updated through Service budget and capacity to perform on the yield of timber that can be amendment, revision, and routine the identified program of work; removed consistent with achievement of maintenance and includes at a (3) An updated annually, 2-year the desired condition(s) identified in the minimum the following: summary of the actual outcomes, land and resource management plan(s). (a) A summary of the land and products, and services provided as a In those cases where a national forest resource management plan. The result of completed site-specific has less than 200,000 acres of forest summary is a concise description of the projects; land on which timber production is various components of a land and (4) A projected range of outcomes, identified as an objective, two or more resource management plan including products, and services for the next national forests may be combined for desired conditions, management and decade. These projections are estimates the purpose of estimating the use, and a description of the plan area and as such often contain a high degree sustainable yield amount. and appropriate planning units within of uncertainty; they are intended to (b) The responsible official must limit the plan area. The summary includes a describe expected progress in fulfilling the sale of timber from the lands brief description of the ecological, land and resource management plan identified for timber production to a social, and economic environments goals, objectives, and desired quantity equal to or less than the within the plan area; aquatic and conditions. The projections are to be quantity which can be removed terrestrial components of watersheds updated during revision of each land annually in perpetuity on a sustained- and the overall strategy for their and resource management plan; and yield basis. protection or restoration; the desired (5) A display of anticipated (c) If departure from the quantity of conditions of the lands and resources accomplishments and the span of time timber removal established in paragraph within the plan area; and actions to be necessary to achieve the desired (b) is necessary to meet overall multiple- taken to achieve desired conditions. The conditions described in the land and use objectives, the responsible official summary also includes appropriate resource management plan. This display may establish an allowable sale quantity maps, a description of the transportation must be updated as appropriate to for the decade covered by the plan as a system, utility corridors, land reflect changes in anticipated land and resource management plan ownership patterns and proposed land accomplishments or the time required objective based on the amount of timber ownership adjustments, charts, figures, for achieving desired conditions.
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(e) Results of monitoring and (3) Corrections of typographical errors is issued or re-issued for any such evaluation. The land and resource or similar non-substantive changes. multi-agency planning efforts, the management plan must document the responsible official must identify in the Objections and Appeals monitoring to occur in the plan area and notice of intent the administrative include the monitoring and evaluation § 219.32 Objections to amendments or review process that will be used. In report. revisions. such cases, a notice must be issued by (f) Budgetary information. The land (a) Any person may object to a the responsible official which clearly and resource management plan must proposed amendment or revision of one states that the decision will not be display a summary of the unit’s or more land and resource management subject to objection under this part, and projected program of work, including plan decisions, except for a decision must specify the administrative review costs for inventories, assessments, made by the Chief. An objection must be procedures that will apply. proposed and authorized actions, and filed, in writing, with the reviewing (c) Review of and final response to monitoring. The projected program of officer who is the supervisor of the any objections must be based on the work must be based on reasonably responsible official for the proposed statutes, regulations, and policies anticipated funding levels. The land and amendment or revision. The objection applicable to the administration and resource management plan documents must be filed within 30 days from the management of the National Forest must also include a description of the date that the Environmental Protection System, including when the objection total current-year unit budget, funded Agency publishes the notice of procedures are waived under paragraph actions, projections for future budgets availability of the final environmental (b). over the next 2 years; and a display of impact statement containing the § 219.33 Appeals of site-specific the budget trends over at least the past amendment or revision in the Federal decisions. 5 years. When budget allocations are Register. For an amendment or revision If a person is not satisfied with a site- received, the responsible official must not requiring the preparation of an specific decision made by a responsible compare the funds received with the environmental impact statement, the official, the person may appeal and unit’s program of work. Budget objection must be filed within 30 days request review of the decision through information may be updated at any of the publication, in a newspaper of the Forest Service administrative appeal time, is not a proposed action subject to record (36 CFR Part 215), of a public procedures described in 36 CFR Part NEPA procedures, and does not require notice of the environmental assessment 215. a land and resource management plan or categorical exclusion of the proposed amendment or revision. amendment or revision. Applicability and Transition (g) Other components. A land and (1) An objection must contain: § 219.34 Applicability. resource management plan must contain (i) The name, mailing address, and a list of materials, Forest Service telephone number of the person filing The provisions of this rule are policies, and decisions used in forming the objection; applicable to all units of the National the plan decisions for the land and (ii) A statement of the information or Forest System as defined by 16 U.S.C. resource management plan, including, decision(s) to which the person objects; 1609. but not limited to, lists of previous (iii) A statement describing the part or § 219.35 Transition. decision and environmental documents, parts of the amendment or revision On (the effective date of this rule), assessments, conservation agreements being objected; each responsible official must begin an and strategies, biological opinions, (iv) A concise statement explaining orderly implementation of the inventories, administrative studies, and why the responsible officials’ pending requirements of this rule, as follows: research. decision should not be adopted; and (a) The transition period begins upon (v) A description of the objector’s the effective date of this rule and ends § 219.31 Maintenance of the plan and prior participation in the planning planning records. upon the completion of the revision process for the amendment or revision. process (§ 219.9) for each unit of the (a) Each Forest or Grassland (2) The responsible official must National Forest System. During the Supervisor must maintain a complete include a response to any objection filed transition period, the responsible set of the planning documents that with the decision document for the official must consider the best available compose the land and resource amendment or revision. The decision scientific information and analysis to: management plan for the unit and must be sent to the objecting party by (1) Initiate and complete the revision ensure that the contents are complete certified mail, return receipt requested. process; and data are current. The land and (3) The reviewing officer’s decision (2) Develop procedures related to resource management plan must be regarding an objection is the final sustainability as described in §§ 219.20 readily available to the public and, to decision of the Department of through 219.21; the degree practicable, maintained on Agriculture. (3) Supplement or complete an the Internet. (b) Where the Forest Service is a party appropriate broad-scale assessment as (b) The following administrative to a multi-agency decision subject to described in § 219.5(a); and corrections and additions are not land objection under this part, the (4) Implement the land and resource and resource management plan responsible official may waive the management plan. amendments or revisions and do not objection procedures of this part in (b) Existing land and resource require public notice or the preparation favor of an administrative review management plans remain in effect until of an environmental document under procedure of another participating amended or revised under this rule NEPA: federal agency, if the responsible official including plans amended or revised (1) Corrections and updates of data and the responsible official of the other within 1 year from the effective date of and maps; agencies agree to provide a joint this rule as provided in paragraph (d). (2) Updates to activity lists and response to those who have filed for (c) If a review of lands not suited for schedules as required by § 219.30(d)(1), administrative review of the multi- timber production (§ 219.28) is required (2), (3), and (5); and agency decision. When a notice of intent before the completion of the revision
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Candidate species: Species identified juxtaposition, and seral stage) and (d) If a revision or an amendment of by the United States Fish and Wildlife habitats evaluated at the landscape a land and resource management plan Service (USFWS) or the National Marine scale. has been initiated under the 1982 (36 Fisheries Service (NMFS), which are Ecological conditions: Components of CFR Part 219, 1999 edition) planning considered to be candidates for listing the biological and physical environment rule, but not yet completed within 1 under the Endangered Species Act. A that can affect ecological sustainability, year from the effective date of this rule, list of such species prepared by the the diversity of plant and animal the responsible official must complete USFWS and published in the Federal communities, species viability, and the the revision or amendment process as Register. productive capacity of ecological described by this rule. If a revision or Conservation agreement: A formal systems. These could include aquatic amendment has been initiated under the agreement between the Forest Service and terrestrial habitats, roads and other 1982 planning rule and is completed and the USFWS and/or NMFS structural developments, human uses, within 1 year from the effective date of identifying management actions and invasive and exotic species. this rule, the responsible official is not necessary to prevent the need to list Ecological sustainability: The required to use the amendment or species under the Endangered Species maintenance or restoration of ecological revision process described by this rule Act. system composition, structure, and for such amendment or revision. Demand species: Native and desired function which are characteristic of a (e) Within 3 years from the effective non-native species with high social, plan area over time and space, including date of this rule, the responsible official cultural, or economic values. but not limited to ecological processes, must, subject to valid existing rights, Desired condition: A statement biological diversity, and the productive and to the degree appropriate and describing a common vision for a capacity of ecological systems. practicable, make site-specific project specific area of land or type of land Ecosystem: An interconnected decisions in conformance with §§ 219.3 within the plan area. Statements of community of plants and animals, through 219.10. desired conditions include the including humans, and the physical (f) When all units of the National estimated time required for their environment within which they Forest System, within a Forest Service achievement. They also take into interact. Ecosystem integrity: The Region, have completed the revision account the range of natural variability completeness of an ecosystem that, at process (§ 219.9), the Regional Forester typical for the landscape, the multiple geographic and temporal for that Region must withdraw the uncertainty of natural disturbances, the scales, maintains its characteristic regional guide within 1 year. When a effects of past management, the unique diversity of biological and physical regional guide is withdrawn, the features or opportunities that the components, spatial patterns, structure, Regional Forester must identify the national forests and grasslands can and functional processes within its decisions in the regional guide that are contribute, and the human desires and approximate range of historic transferred to a regional supplement of uses of the land Desired non-native species: Those variability. These processes include the Forest Service directive system (36 species of plants or animals that are not disturbance regimes, nutrient cycling; CFR Part 200.4) or to one or more land indigenous to an area but which hydrologic functions, vegetation and resource management plans and represent a significant, and usually succession, and species adaptation and give notice in the Federal Register of remnant segment of a gene pool. evolution. Ecosystems with integrity are these actions. Disturbance processes: Actions, resilient and capable of self-renewal in (g) Within 3 years from the effective functions, or events that influence or the presence of the cumulative effects of date of this rule, the responsible official maintain the structure, composition, or human and natural disturbances. must complete the first monitoring and function of the terrestrial or aquatic Ecosystem structure: The biological evaluation report as described in components of ecosystems. Natural and physical attributes that shape § 219.11(d). disturbances include, among others, ecological systems; biotic attributes Definitions drought, floods, wind, fires, insects, and include population size, structure and pathogens. Human-caused disturbances range; foliage density and layering, § 219.36 Definitions. include actions such as recreational use, snags, large woody debris or the size, Definitions of the special terms used livestock grazing, mining, road shape and spatial relationships of cover in this subpart are set out in construction, timber harvest, land-use types within a landscape; physical alphabetical order in this section as development, and the introduction of attributes include soil and geologic follows: exotic species. substrate variables, slope and aspect, or Assessment or analysis area: The area Diversity of plant and animal stream gradient. included within the scope of a broad- communities: The distribution and Forest Service NEPA procedures: The scale assessment or local analysis. relative abundance of plant and animal Forest Service policy and procedures for Broad-scale assessment: A synthesis species occurring within an area. implementing the National of current scientific knowledge, Ecological composition: The Environmental Policy Act (NEPA) and including a description of uncertainties biological components of an ecological the Council on Environmental Quality and assumptions, to provide a system, which are the foundation of regulations as described in Chapter 1950 characterization and comprehensive diversity at the genetic, species, and of the Forest Service Manual and Forest description of ecological, social, and landscape scales. Genetic diversity is Service Handbook 1909.15, economic components within an the variation in inheritable Environmental Policy and Procedures assessment area critical for characteristics within and among The Handbook is published in the understanding past and present individual organisms and populations. Federal Register. conditions and projecting future trends Species diversity is the number and Historical range of variability: The which provides a foundation for the different kinds of species present in a limits of change in composition, identification of additional or necessary given area. Landscape diversity is the structure, and processes of the
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For the purposed of long-term and periodic harvest of wood period of time and include the effects of this rule, a responsible official may fiber from National Forest System lands pre-European settlement human include more than one line officer. undertaken in support of social and activities. Roadless Areas: Undeveloped areas economic objectives identified in one or Local analysis: A characterization of that meet minimum criteria for more land and resource management the ecological, social, and economic wilderness consideration under the plans. For purposes of this rule, the components for various times and Wilderness Act—Areas typically term timber production includes fuel locations for a smaller area than that of exceeding 5,000 acres that were wood. a broad-scale assessment. Local analyses inventoried during the Forest Service’s Unroaded areas: Any area without the often tier to broad-scale assessments. formal Roadless Area Review and presence of a classified road (a road at Local analyses provide comprehensive Evaluation (RARE II) process, and least 50 inches wide and constructed or descriptions of ecological system remain in a roadless condition through maintained for vehicle use). The size of structure, process, and functions. The forest planning decisions. For roadless the area must be sufficient and in a geographic area of a local analysis and areas in the eastern United States, see manageable configuration to protect the its data resolution depend on the topics FSH 1909.12, Chapter 7.11b. Designated inherent values associated with the of general interest or concern being roadless areas do not overlap with unroaded condition. Unroaded areas do addressed. Like broad-scale unroaded areas (See definition for not overlap with designated roadless assessments, local analyses represent a unroaded area) areas. synthesis of current scientific Salvage harvest of timber: The Vegetation Management: Management knowledge including a description of removal of dead trees or trees being actions that change the composition or uncertainties and assumptions; damaged or killed by injurious agents structure of plant communities however, they also provide for the other than competition, to recover value including, but not limited to timber gathering of new information which can that would otherwise be lost. harvest, mining, livestock grazing, and be used in the development of site- Sanitation harvest of timber: The fire. specific projects. removal of trees to improve stand health Watershed integrity: A watershed that Native species: Those plant and and to reduce actual or anticipated maintains its characteristic diversity of animal species indigenous to the plan spread of insects and disease. biological and physical components, area or assessment area. Sensitive Species: Those species structure, and functional processes Plan area: The area of National Forest identified as sensitive under the Forest within its approximate range of natural System lands covered by an individual Service’s sensitive species program, variability. Watersheds with integrity land and resource management plan. currently set out in the Forest Service display processes that manifest their The area may include one or more Manual, Chapter 2670. characteristic structure, function, and administrative units. Species: Any native taxon of the plant composition. These processes include Productive capacity of ecosystems: or animal kingdom, including natural disturbance regimes, nutrient The continuing productivity of an subspecies, distinct population cycling, hydrologic functions, ecological system, including its ability segments, or designated evolutionarily vegetation succession, and species to sustain desirable conditions such as significant units. Distinct population adaptation and evolution. Watersheds clean water, fertile soil, riparian habitat, segments and evolutionarily significant with integrity are resilient and capable and viable populations of plants and units are consistent with regulations of self-renewal within the cumulative animals; and to sustain desirable human developed by the Departments of the effects of human and natural uses; and to renew itself following Interior and Commerce to implement disturbances. disturbance. the Endangered Species Act. Dated: September 28, 1999. Reference landscapes: Terrestrial and Species viability: A species consisting Mike Dombeck, aquatic areas with high ecosystem of self-sustaining and interacting Chief, Forest Service. integrity and within the historical range populations that are well distributed of variability and of sufficient size, through the species’ range. Self- Note: The following Appendix will not where relevant disturbance and sustaining populations are those that are appear in the Code of Federal Regulations. ecological processes occur and are sufficiently abundant and have BILLING CODE 3410±11±P
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[FR Doc. 99–25666 Filed 9–30–99; 8:45 am] BILLING CODE 3410±11±C
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DEPARTMENT OF ENERGY and the International Electrotechnical Engineers, Inc., 445 Hoes Lane, P.O. Box Commission (IEC). These test 1331, Piscataway, NJ 08855–1331. Office of Energy Efficiency and procedures and definitional information Copies of the CSA standards can be Renewable Energy are set forth in the standards obtained from CSA International, 178 publications listed below: Rexdale Boulevard, Etobicoke (Toronto), 10 CFR Part 431 1. National Electrical Manufacturers Ontario, Canada M9W 1R3. [Docket No. EE±RM±96±400] Association Standards Publication I. Introduction MG1–1993, Motors and Generators, and RIN 1904±AA82 A. Authority Revisions 1, 2, 3 and 4. B. Background 2. Institute of Electrical and Energy Efficiency Program for Certain C. Summary of Rule Electronics Engineers, Inc., Standard II. Discussion Commercial and Industrial Equipment: Test Procedure for Polyphase Induction A. Definitions Test Procedures, Labeling, and Motors and Generators, IEEE Std 112– 1. Electric Motor Certification Requirements for Electric 1996, and the correction to the 2. Basic Model Motors. calculation at item (28) in section 10.2 3. General Purpose 4. Special Purpose Motor AGENCY: Office of Energy Efficiency and Form B-Test Method B issued by IEEE 5. Accreditation Renewable Energy, Department of on January 20, 1998. 6. Average Full Load Efficiency Energy. 3. CSA International (or Canadian 7. Nominal Full Load Efficiency ACTION: Final rule. Standards Association) Standard C390– B. Test Procedures 93, Energy Efficiency Test Methods for 1. NEMA Standards Publication MG1– SUMMARY: The Energy Policy and Three-Phase Induction Motors. 1993, with Revisions 1 through 4 Conservation Act, as amended, 42 4. International Electrotechnical 2. Modifications to the IEEE Std 112–1996 U.S.C. 6291–6317 (the Act or EPCA) Commission Standard 60034–1 (1996), Test Method B establishes energy efficiency standards Rotating electrical machines, Part 1: a. Typographical Errors b. Provisions Subject to Interpretation and test procedures for commercial and Rating and performance, and c. Incorrect Information industrial electric motors. Today’s final Amendment 1 (1997). d. Summary rule establishes regulations to 5. International Electrotechnical C. Determination of a Motor’s Efficiency: implement these requirements, and to Commission Standard 60050–411 Use of Accredited Laboratories and establish efficiency labeling and (1996), International Electrotechnical Certification Programs, Selection of Basic compliance certification requirements Vocabulary Chapter 411: Rotating Models for Testing, Alternative Means to for motors, as directed by EPCA. machinery. Measure Efficiency, and Sampling Plans for Testing EFFECTIVE DATE: This rule is effective 6. International Electrotechnical Commission Standard 60072–1 (1991), 1. Summary of DOE’s Proposals November 4, 1999. The incorporation by 2. Issues Involving Both Use of Accredited reference of certain publications listed Dimensions and output series for Laboratories and Use of Certification in the regulations is approved by the rotating electrical machines—Part 1: Organizations Director of the Federal Register as of Frame numbers 56 to 400 and flange 3. Issues Concerning Use of Certification November 4, 1999. numbers 55 to 1080. Organizations 7. International Electrotechnical 4. Compliance Testing When a ADDRESSES: For the availability of Commission Standard 60034–12 (1980), Manufacturer Does Not Use a material incorporated by reference, see Starting performance of single-speed Certification Program (Independence and SUPPLEMENTARY INFORMATION. three-phase cage induction motors for Performance of an Accredited FOR FURTHER INFORMATION CONTACT: voltages up to and including 660 V, and Laboratory, Selection of Basic Models for James Raba, U.S. Department of Energy, Amendment 1 (1992) and Amendment 2 Testing, Sampling Plan) and Office of Energy Efficiency and Enforcement Testing Sampling Plan (1995). a. Accredited Laboratories Renewable Energy, Mail Station EE– Copies of these standards publications b. Selection of Basic Models for Testing 41, 1000 Independence Avenue, SW, may be viewed at the Freedom of c. Sampling Plans for Compliance and Washington, DC 20585–0121, Information Reading Room, U.S. Enforcement Testing telephone (202) 586–8654, telefax Department of Energy, Forrestal (1) Sampling Plan for Compliance Testing (202) 586–4617, or: Building, Room 1E–190, 1000 (2) Sampling Plan for Enforcement Testing [email protected] Independence Avenue, SW, D. Energy Efficiency Standards Edward Levy, Esq., U.S. Department of Washington, DC 20585–0101, telephone 1. Non-standardized Horsepower Ratings Energy, Office of General Counsel, (202) 586–3142, between the hours of 9 2. Motor Horsepower and Standard Kilowatt Equivalent Mail Station GC–72, 1000 a.m. and 4 p.m., Monday through Independence Avenue, SW, 3. World Trade Organization (WTO) Friday, except Federal holidays. Agreements and the Trans Atlantic Washington, DC 20585–0103, (202) Copies of the NEMA standards and Business Dialogue (TABD) 586–9507, telefax (202) 586–4116, or: the International Electrotechnical 4. Electric Motors as Components of [email protected] Commission standards can be obtained Systems SUPPLEMENTARY INFORMATION: The from Global Engineering Documents, 15 E. Labeling Department of Energy (DOE or Inverness Way East, Englewood, 1. Statutory Provisions Department) is incorporating by Colorado 80112–5776. Copies of the 2. Provisions of Regulation reference, test procedures and IEEE standards can be obtained from the a. Use of the Words ‘‘Energy Efficient’’ Institute of Electrical and Electronics b. Use of Standardized Nominal Full Load definitional information from the Efficiency Values Institute of Electrical and Electronics c. Minimum Efficiency Engineers, Inc. (IEEE), the National ‘‘Canadian Standards Association.’’ Since d. Display of Nominal Efficiency, Electrical Manufacturers Association publication of the NOPR, that organization has Compliance Certification Number, ‘‘ee’’ 1 changed its name to CSA International. In this (NEMA), the CSA International (CSA), Notice and today’s final rule, therefore, the latter Logo, and Date of Compliance name is used to refer to the organization, although e. Labeling of Motors Not Covered by EPCA 1 The Notice of Proposed Rulemaking (NOPR) in abbreviated references use the abbreviation ‘‘CSA’’ f. Enforcement Testing Where Violation of this matter contains many references to the as in the NOPR. a Labeling Representation is Alleged
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g. Imported Motors and compliance certification issues and gather information related to h. Weights of Conductors and Magnetic requirements in section 122(e).2 the energy efficiency requirements for Materials EPCA defines ‘‘electric motor’’ as any electric motors covered under EPCA. F. Certification of Compliance motor which is ‘‘general purpose T- The meeting covered the following 1. Reference to Certification Programs 2. Nominal Versus Average Full Load frame, single-speed, foot-mounting, questions: How should key terms be Efficiency polyphase squirrel-cage induction of the defined? Which equipment is covered 3. Other Information to Be Reported National Electrical Manufacturers by the statute? What is the nature and 4. Compliance Certification Number Association (NEMA) Designs A and B, scope of required testing? How can G. Other Matters continuous-rated, operating on 230/460 independent testing and certification 1. Standards Incorporated by Reference volts and constant 60 Hertz line power, programs be used to establish 2. Enforcement: Determining What as defined in NEMA Standards compliance with applicable standards? Constitutes a ‘‘Separate Violation’’ Publication MG1–1987.’’ EPCA What are the means of certifying such 3. Technical Corrections compliance to DOE? What are possible a. References to International Standards § 340(13)(A), 42 U.S.C. 6311(13)(A). b. Use of Term ‘‘Energy Conservation EPCA then prescribes efficiency labeling requirements? What other Standard’’ standards for electric motors that are 1 issues need resolution? Statements c. Preemption of State Regulations through 200 horsepower, and received after publication of the Notice d. Provisions Incorporated from Part 430 ‘‘manufactured (alone or as a of that public meeting (60 FR 27051, e. Amount of Penalty component of another piece of May 22, 1995), and at the meeting itself, f. Prohibited Acts—Section 431.122 equipment),’’ except for ‘‘definite helped to refine the issues involved in g. Language Changes in Sections 431.23 purpose motors, special purpose motors, this rulemaking, and provided and 431.124(a) information that contributed to DOE’s III. Procedural Issues and Regulatory Review and those motors exempted by the A. Review Under the National Secretary.’’ EPCA § 342(b)(1), 42 U.S.C. proposed resolution of these issues. Environmental Policy Act 6313(b)(1). On November 27, 1996, DOE B. Review Under Executive Order 12866, The Act also requires that testing published in the Federal Register a ‘‘Regulatory Planning and Review’’ procedures for electric motor efficiency proposed rule (NOPR), to create a new C. Review Under the Regulatory Flexibility shall be the test procedures specified in part 431 in the Code of Federal Act NEMA Standards Publication MG1– Regulations (10 CFR Part 431), entitled D. Review Under Executive Order 12612, 1987, and the Institute of Electrical and the Energy Conservation Program for ‘‘Federalism’’ Electronics Engineers, Inc., (IEEE) Commercial and Industrial Equipment. E. Review Under Executive Order 12630, Standard 112 Test Method B for motor 61 FR 60440 (November 27, 1996). This ‘‘Governmental Actions and Interference NOPR set forth energy efficiency with Constitutionally Protected Property efficiency, as in effect on October 24, Rights’’ 1992. EPCA § 343(a)(5)(A), 42 U.S.C. requirements for electric motors. As F. Review Under the Paperwork Reduction 6314(a)(5)(A). If those specified test with the program for consumer Act procedures are amended, the Secretary products, the proposed rule G. Review Under Executive Order 12988, must amend the testing procedures encompassed the following: test ‘‘Civil Justice Reform’’ under EPCA to conform to such procedures; Federal energy conservation H. Review Under Section 32 of the Federal amended test procedures in the NEMA standards; labeling; and certification Energy Administration Act and enforcement. The testing and I. Review Under Unfunded Mandates and IEEE standards, unless the Secretary determines, by rule, that the amended standards requirements prescribed by Reform Act EPCA were incorporated in the J. Review Under Small Business Regulatory test procedures are not reasonably Enforcement Fairness Act designed to produce results that reflect proposed rule. Labeling requirements in energy efficiency, energy use, and accordance with EPCA’s criteria for I. Introduction estimated operating costs, and would be electric motor labels, and certification, A. Authority unduly burdensome to conduct. EPCA enforcement and state law pre-emption provisions, largely patterned after those Part B of Title III of the Energy Policy § 343(a)(5) (B) and (C), 42 U.S.C. 6314(a)(5) (B) and (C). applicable to consumer products, were and Conservation Act of 1975, Public proposed. In addition, to implement Law 94–163, as amended, by the Additionally, EPCA directs the Secretary, subject to certain conditions EPCA’s testing and certification National Energy Conservation Policy requirements, the NOPR proposed Act of 1978 (NECPA), Public Law 95– and after consultation with the Federal Trade Commission (FTC), to prescribe requirements concerning the selection 619, the National Appliance Energy of electric motors for testing and the Conservation Act of 1987 (NAECA), efficiency labeling rules for electric motors. EPCA § 344(d), (f), and (h) 42 entities that could be used to establish Public Law 100–12, the National that a motor complies with the Appliance Energy Conservation U.S.C. 6315(d), (f) and (h). Finally, the Act directs the Secretary applicable standard. Finally, the NOPR Amendments of 1988 (NAECA 1988), proposed provisions to clarify which Public Law 100–357, and the Energy to require motor manufacturers to certify compliance with the applicable motors are covered by EPCA, including Policy Act of 1992 (EPAct), Public Law clarification of the statutory definition 102–486, established the Energy energy efficiency standards through an independent testing or certification of ‘‘electric motor.’’ Conservation Program for Consumer Despite these clarifications, program nationally recognized in the Products other than Automobiles. Part 3 manufacturers expressed uncertainty as United States. EPCA § 345(c), 42 U.S.C. of Title IV of NECPA amended EPCA to to which electric motors, with which add ‘‘Energy Efficiency of Industrial 6316(c). modifications, are covered under EPCA. Equipment,’’ which includes electric B. Background They also questioned their ability to motors. EPAct also amended EPCA with The Department held a public comply with the statute by the effective respect to electric motors, providing meeting on June 2, 1995, to discuss date of October 24, 1997 with respect to definitions in section 122(a), test certain motors. To address these issues, procedures in section 122(b), labeling 2 These requirements are codified in Part C of the Department, on November 5, 1997, provisions in section 122(c), energy Title III of the Energy Policy and Conservation Act, published Policies on Coverage and efficiency standards in section 122(d), as amended, 42 U.S.C. 6311–6317. Enforcement of Energy Efficiency
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Requirements for Electric Motors; Final notice have further helped the A. Definitions Rule, 62 FR 59978 (November 5, 1997) Department to refine and resolve the 1. Electric Motor (Policy Statement). This Policy issues in this rulemaking. Statement, based on recommendations Section 340(13)(A) of EPCA defines from motor manufacturers and energy C. Summary of Rule the term ‘‘electric motor’’ as ‘‘any motor which is a general purpose T-frame, efficiency advocates, provided guidance Today’s final rule incorporates the as to which modifications of electric single-speed, foot-mounting, polyphase energy efficiency test procedures and squirrel-cage induction motor of the motors are ‘‘general purpose,’’ ‘‘definite standards established by EPCA for purpose,’’ and ‘‘special purpose’’ under National Electrical Manufacturers certain commercial and industrial Association, Design A and B, EPCA. The Policy Statement also stated electric motors. EPCA sections 343(a)(5), circumstances under which the continuous rated, operating on 230/460 42 U.S.C. 6314(a)(5), and 342(b)(1), 42 Department would refrain from taking volts and constant 60 Hertz line power U.S.C. 6313(b)(1). It also establishes enforcement action with respect to as defined in NEMA Standards efficiency labeling requirements and certain limited categories of motors that Publication MG1–1987.’’ compliance certification requirements would not meet the energy efficiency In the NOPR, DOE proposed to clarify standards by the October 25, 1997 for motors, as directed by EPCA. EPCA this definition. Hence the proposed rule effective date. sections 344, 42 U.S.C. 6315, and 345(c), included an expanded definition of Comments presented at the public 42 U.S.C. 6316(c). Among its provisions, ‘‘electric motor’’ as well as a definition hearing on January 15, 1997, and today’s final rule (1) defines terms used of ‘‘general purpose motor,’’ a term that additional written comments submitted in the rule, including definitions that is an important element of EPCA’s following the public hearing have clarify which motors, including metric, definition of electric motor but that is helped the Department to refine and are covered under EPCA; 4 (2) not defined in EPCA. 61 FR 60442–46, resolve the issues involved in this incorporates by reference the IEEE 60465–66 (November 27, 1996). rulemaking. Portions of many of the Standard 112 Test Method B (with Although some comments, discussed statements are quoted and summarized minor modifications), CSA Standard below, raised issues concerning specific in section II, Discussion of Comments. A C390 Test Method (1), and portions of elements of the proposed definition of parenthetical reference at the end of a other industry standards; (3) sets forth ‘‘electric motor,’’ none objected to quotation or passage in section II methods for establishing compliance, DOE’s overall approach or to the provides the location index in the such as a sampling plan for selecting definition of ‘‘general purpose motor.’’ public record of the portion of a motors for testing, calculation in some The Department understands, statement that is being quoted or instances of a motor’s efficiency, use of however, that there exist a wide variety discussed.3 an accredited laboratory for testing, and of motors that are modifications to the The hearing and written comments, as use of a certification program; (4) generic general purpose motor, and that well as the Department’s further review establishes criteria for recognizing motor manufacturers are concerned as of the proposed rule, gave rise to several laboratory accreditation organizations to precisely which of these motors, issues that were subsequently addressed and certification programs; and (5) having various features and in a notice reopening the comment requires the energy efficiency value of characteristics, are covered under the period for the proposed rule, which was an electric motor, and a Department of statute. There seems to be a consensus published in the Federal Register at 63 Energy Compliance Certification that, due to the large number and the FR 34758 (June 25, 1998) (‘‘reopening number, to be both marked on the constant changes of motor designs, it notice’’). The issues concerned (1) nameplate and disclosed in marketing would be impractical and unwise for the modifications to the IEEE Std 112–1996 materials, and allows use of an ‘‘ee’’ DOE regulations to try to exhaustively Method B test procedures, (2) adoption logo or other similar logo. The rule also delineate the specific types of motors of sampling plans for compliance and addresses waiver of the test procedures, that are covered. enforcement proposed by the National pre-emption of state regulations, and In its opening statement at the January Electrical Manufacturers Association in enforcement. 15, 1997, public hearing (Public Hearing lieu of the sampling plans in the Tr. pg. 42),5 NEMA suggested instead proposed rule, (3) sampling plans where II. Discussion the use of guidelines, along with a a motor’s efficiency is established matrix setting forth various motor The Department received through a certification organization designs, as an aid in construing the approximately 31 sets of written rather than through testing in an statute and regulations. (NEMA, No. comments on the proposed rule, from accredited laboratory, (4) enforcement 18).6 The Department agrees with this motor manufacturers, original testing where violation of a labeling approach, and believes the guidelines equipment manufacturers, energy representation is alleged, and (5) and the matrix provided in the Policy efficiency advocates, trade associations, procedures for the withdrawal of Statement, in conjunction with other government agencies, and recognition from an organization DOE definitions in the proposed rule, make individuals. The Department received has classified as an accreditation body, clear whether a motor is covered under data and recommendations related to or as a nationally recognized EPCA and today’s regulations. the accuracy and workability of many certification program. Comments Therefore, today’s rule adopts, with provisions in the proposed rule. received as a result of the reopening minor technical changes, the ‘‘electric motor’’ and related definitions of the 3 For example: ‘‘(UL, No. 9 at pg. 1)’’ refers to (1) 4 Section 340(13) of EPCA defines ‘‘electric proposed rule, and incorporates the a statement that was submitted by Underwriters motor’’ and ‘‘nominal full load efficiency’’ by Laboratories Inc. and is recorded in the DOE reference to NEMA Standards Publication MG1– Freedom of Information Reading Room in the 1987. However, a more recent version of MG1, 5 ‘‘Public Hearing, Tr. pg. 42,’’ refers to the page docket under ‘‘Energy Efficiency Program for MG1–1993, is more readily available. Therefore, number of the transcript of the ‘‘Public Hearing on Certain Commercial and Industrial Equipment: Test references to MG1 in the definitions in today’s rule Energy Efficiency Standards, Test Procedures, Procedures, Labeling, and Certification are to MG1–1993 rather than MG1–1987, whenever Labeling, and Certification Reporting for Certain Requirements for Electric Motors,’’ Docket Number reference to the current version results in the rule Commercial and Industrial Electric Motors,’’ held in EE–RM–96–400, as comment number nine; and (2) having the same substance and coverage as it would Washington, DC, January 15, 1997. a passage that appears on page 1 of that statement. have with a reference to MG1–1987. 6 See footnote 2.
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Policy Statement as appendix A to Treffinger argue that such motors have with voltages within the 10 percent subpart A of 10 CFR Part 431 of the rule. essentially the same electrical tolerance meet EPCA’s definition of The following addresses the characteristics as covered electric ‘‘electric motor,’’ and with WSU/WSD’s comments concerning specific elements motors, and the addition of such motors statement that such motors meet the of the proposed definition of ‘‘electric would maximize energy savings. ‘‘electric motor’’ definition in the motor:’’ (Toshiba, No. 14, and Treffinger, No. 4 proposed rule. (WSU/WSD, No. 5 at NEMA Electrical Designs A, B, and C. at 1.). II.A.). Sections 342 through 345 of EPCA The Department is sympathetic to the In its Policy Statement, issued require only certain motors to meet potential energy savings that could be subsequent to the filing of WSU/WSD’s applicable energy efficiency achieved if the aforementioned types of comments, the Department stated that requirements. In accordance with motors were covered by EPCA. In the the criteria in NEMA MG1–1993, EPCA’s definition of ‘‘electric motor,’’ Department’s view, however, as with paragraph 12.44, ‘‘Variations from Rated quoted above, section 431.2 of the Design C motors, EPCA does not impose Voltage and Rated Frequency,’’ which proposed rule, 61 FR 60465 (November efficiency requirements for the types of includes the 10 percent voltage 27, 1996), and of today’s final rule, state motors described by Toshiba and Mr. tolerance criterion, should be used to that an electric motor ‘‘(6) Has Treffinger, and hence they are outside determine whether a motor not rated at performance in accordance with NEMA the scope of this rulemaking. The 230 or 460 volts or 60 Hertz would Design A or B characteristics, or Department, nevertheless, encourages nevertheless be within EPCA’s equivalent designs such as IEC Design motor manufacturers to voluntarily definition of ‘‘electric motor.’’ The N * * * ’’ improve the efficiency of any motor Department also indicated in the Policy Toshiba advocates that Design C designs, if the improvements are Statement, and continues to believe, motors be covered by EPCA. (Toshiba, technically feasible, economical, and that such criteria apply in determining No. 14, p. 2.). Standard efficiency stock energy-saving. whether a motor meets the ‘‘electric motors are generally Design A or B, and Voltage rating. Section 340(13)(A) of motor’’ definition in the proposed rule. Mr. W. Treffinger asserts that several EPCA defines ‘‘electric motor,’’ in part, The Department is aware of no manufacturers offer such motors as as ‘‘operating on 230/460 volts and 60 opposition to these positions, including Design C. He raises the question as to Hertz line power.’’ The DOE proposed its view that the 10 percent tolerance is whether a manufacturer could re- rule (61 FR 60465, November 27, 1996) to be used to determine which motors nameplate these motors as ‘‘Design C clarifies this part of the EPCA definition are covered by EPCA efficiency definite purpose/conveyor duty’’ in as meaning a motor that ‘‘operates on requirements. Moreover, DOE sees no order to continue selling current designs polyphase alternating current 60-Hertz reason to include this tolerance in the that do not meet EPCA efficiency sinusoidal power, and is: (i) Rated 230 regulatory definition of electric motor, standards. (Treffinger, No. 4 at 3.). volts or 460 volts, or both, including any but not the other variations addressed in The purpose of this rulemaking is to motor that is rated at multi-voltages that NEMA MG1–1993 paragraph 12.44. To implement EPCA’s efficiency include 230 volts or 460 volts, or (ii) include all of these variations, however, requirements for electric motors. Since Can be operated on 230 volts or 460 would increase substantially the EPCA imposes such requirements only volts, or both.’’ complexity of the definition. For these for Designs A and B, as categorized in The joint comments of the reasons, DOE believes that it is NEMA MG1, for the Department to Washington State University unnecessary to add to the final rule cover Design C motors in today’s rule Cooperative Extension Energy Program language proposed by WSU/WSD on would go beyond the requirements of and the Washington State Department of this point. EPCA and the scope of this rulemaking. Community, Trade and Economic Therefore, the Department cannot Development (WSU/WSD) state that 2. Basic Model accept Toshiba’s apparent suggestion motors designed for standard service The proposed rule defines ‘‘basic that it extend EPCA efficiency voltages of 240 and 480 volts are rated model’’ to mean ‘‘all units of a given requirements directly to Design C at 230 and /or 460 volts, from zero to type of covered equipment (or class motors. In addition, it is questionable eight percent lower than those standard thereof) manufactured by a single whether the Department has the service voltages, to allow for presumed manufacturer, and, with respect to discretion to take such action, absent an distribution system voltage drop. They electric motors, which have the same amendment to EPCA. See EPCA sections assert that a tolerance be placed on the rating, have electrical characteristics 340–341, 42 U.S.C. 6311–6312. On the 230/460 volt stipulation to allow for that are essentially identical, and do not other hand, a motor that exhibits the deviations that occur in this rating have any differing physical or performance characteristics of NEMA among motor models intended for the functional characteristics which affect Designs A or B, and that is mis-labeled same service voltage, and give examples energy consumption or efficiency.’’ As NEMA Design C, is obviously covered of motors on the market which are rated used in this definition, ‘‘rating’’ is ‘‘one by EPCA. at 220 and 440, and others rated at 480 of the 113 combinations of an electric Additional Motor Designs and volts. WSU/WSD recommend at least a motor’s horsepower (or standard Characteristics. Toshiba International 10 percent tolerance be applied to the kilowatt equivalent), number of poles, Corporation and Mr. W. Treffinger assert 230 volts and 460 volts prescribed by and open or enclosed construction, with that EPCA should cover as large a EPCA, and that item (7)(ii) in the respect to which section 431.42 population of motors as possible to ‘‘electric motor’’ definition in section prescribes nominal full load efficiency maximize energy savings. Both would 431.2 of the final rule explicitly state: standards.’’ 61 FR 60465 (November 27, extend EPCA coverage to include ‘‘Can be operated on 230 volts or 460 1996). footless or round body motors which are volts without exceeding the 10% over/ WSU/WSD support the idea of face-mounting or flange-mounting, under voltage tolerance stipulated in defining ‘‘basic model’’, but assert that motors operating on 200 volts or 575 NEMA MG1 1993 R1, section 12.44.’’ the limits on what electric motors can volts, definite-purpose motors such as (WSU/WSD, No. 5, at II.A.). be consolidated into a particular basic close-coupled pump motors, and motors The Department agrees with WSU/ model need to be more specific. WSU/ with 8 or more poles. Toshiba and Mr. WSD’s apparent assumption that motors WSD suggest that electric motors
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General Purpose electrically identical windings, i.e. ‘‘general purpose motor’’ and ‘‘definite circular mils and ampere-turns per slot, The descriptor ‘‘general purpose,’’ is purpose motor’’ the final rule cites winding pattern, and resistance in one element both of the definition of paragraph 14.03 as providing examples milliohms per rated volt; and (4) ‘‘electric motor’’ and ‘‘definite purpose of unusual service conditions. This is identical and interchangeable rotor core motor’’ at sections 340(13)(A) and (B) of done in the same way that the proposed and cage. WSU/WSD also recommended EPCA, respectively. EPCA characterizes, and final rules amplify the term ‘‘usual that no untested model of motor be in part, a ‘‘definite purpose motor’’ as service conditions’’ by stating ‘‘such as adopted into a basic model any motor ‘‘for use under service those specified’’ in paragraph 14.02 of consolidation if it has mechanical conditions other than usual’’ and MG1–1993, ‘‘Usual Service Conditions.’’ ‘‘which cannot be used in most general features that tend to increase friction or 4. Special Purpose Motor windage above tested models. Such purpose applications.’’ EPCA defines features could include larger bearings, neither ‘‘general purpose’’ nor ‘‘service Section 340(13)(C) of EPCA defines sealed versus shielded bearings, a larger conditions other that usual.’’ ‘‘special purpose motor’’ as ‘‘any motor, or higher capacity cooling fan, or shaft Section 431.2 in the proposed rule other than a general purpose motor or grounding brushes. (WSU/WSD, No. 5 at defines the term ‘‘general purpose definite purpose motor, which has II.E.) motor’’ as ‘‘any motor which is designed special operating characteristics or in standard ratings with either: (1) special mechanical construction, or The Department believes that many Standard operating characteristics and both, designed for a particular enclosure designations are based on mechanical construction for use under application.’’ Section 431.2, physical or functional characteristics usual service conditions, such as those ‘‘Definitions,’’ in the proposed rule, which have nothing to do with the specified in NEMA Standards clarifies the term ‘‘special purpose energy consumption or efficiency Publication MG1–1993, paragraph motor’’ to mean ‘‘any motor that is performance of a motor. For example, 14.02, ’Usual Service Conditions,’ and designed for a particular application, the same electrical design may be put without restriction to a particular and that either (1) is designed in non- into enclosures identified as open, application or type of application; or (2) standard ratings with special operating dripproof, splash-proof, semi-guarded, Standard operating characteristics or characteristics or special mechanical guarded, or dripproof guarded, yet the standard mechanical construction for construction, or (2) has special enclosures may differ only in the use under unusual service conditions, operating characteristics and special location and size of the ventilation holes or for a particular type of application, mechanical construction.’’ in the frame. Because all of these and which can be used in most general NEMA objects to the qualifying enclosures would have different purpose applications.’’ 61 FR 60466 language, ‘‘non-standard ratings,’’ in the designations using standardized (November 27, 1996). proposed rule, asserting that it is industry terminology, to define ‘‘basic Underwriters Laboratories Inc. (UL) common for special purpose motors to model’’ in terms such as ‘‘identical expresses difficulty interpreting what is have standard ratings, not non-standard enclosure designations’’ or ‘‘electrically meant by ‘‘other than usual’’ service ratings. NEMA further asserts that it is identical windings,’’ as recommended conditions. UL asserts that (1) the unclear what the Department means by by WSU/WSD, would appear to increase potential for misclassifying a motor is ‘‘non-standard rating.’’ It states that the the number of basic models immensely prominent, (2) it would be difficult to term ‘‘rating’’ in section 431.2 of the without apparent benefit. In another conclusively list ‘‘unusual service proposed rule, is used as a qualifier in example, the same electrical design is conditions,’’ and (3) it would be the definition of ‘‘basic model,’’ to refer often used in general purpose enclosed beneficial to have criteria for ‘‘other to one of the 113 combinations of motors and explosion-proof motors, than usual’’ service conditions. (UL, No. horsepower, poles, and open or differing only in the construction and fit 9, at pg. 1.). enclosed construction, and as such of the joints and frame openings (shaft The Department agrees that it would appears to be in conflict with section and conduit box leads) to meet be beneficial to have criteria to judge 431.42(b) in the proposed rule, which hazardous location requirements. In this ‘‘other than usual’’ service conditions, applies the requirements in EPCA to case, the two separate motors would and that would be a formidable task to non-standard ratings through an necessarily have different enclosure develop criteria that would account for interpolation methodology. As to Part 2 designations. Both would be considered the many environmental, power supply, of the proposed definition of ‘‘special enclosed motors that could be included and equipment operating characteristics purpose motor,’’ NEMA alleges a within the same basic model as that which individually or in combination conflict with the language of the EPCA term is defined as in section 431.2 of the would constitute a service condition definition. NEMA claims that if the proposed rule, 61 FR 60465 (November that is ‘‘other than usual.’’ NEMA Department deleted the text ‘‘in non- 27, 1996), although under the WSU/ Standards Publication MG1–1993 standard ratings’’ from the NOPR’s WSD approach they would be different paragraph 14.03, ‘‘Unusual Service proposed definition of special purpose basic models. The Department Conditions’’ lists examples, however, of motor, the resulting definition would be concludes that the WSU/WSD criteria operating conditions which require the consistent with the EPCA definition. for characterizing ‘‘basic model,’’ would manufacturer’s consultation, to (NEMA, No. 18 at page 4.). lead to additional testing and reporting determine the suitability of a particular The Department’s proposed definition that are unnecessary to achieve general purpose motor being considered of ‘‘special purpose motor’’ was compliance with EPCA efficiency for an application. The Department intended to clarify the distinction requirements, and would be unduly believes that no single item exemplified between that type of motor and motors burdensome to manufacturers. in paragraph 14.03, by itself, necessarily that would be ‘‘definite purpose’’ Therefore, the Department is adopting, establishes the existence of unusual motors but for the fact that they can be in today’s final rule, the definition of service conditions, and that paragraph used in most general purpose
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(NEMA, No. 18 at p. departs from the statutory definition. frequency,’’ be added after the words 5.) Therefore, the definition of ‘‘special ‘‘full rated load,’’ in the definition of Based on testimony at the Public purpose motor’’ in the final rule is ‘‘average full load efficiency.’’ (NEMA, Hearing on January 15, 1997 (TR pgs. identical to the statutory definition of No. 18 at page 4.). Washington State 57–60), the Department understands that term. The Department disagrees, asserts that it would be more precise to that the fixed values in Table 12–6B in however, with NEMA’s assertion that define ‘‘average full load efficiency’’ as NEMA MG1–1987 (Table 12–8 in MG1– the meaning given to the term ‘‘rating’’ the ‘‘arithmetic mean efficiency,’’ since 1993) are an adopted set of incremental in the definition of ‘‘basic model’’ ‘‘average’’ could convey various values that manufacturers have chosen apparently conflicts with other parts of measures of central tendencies, such as to use as labeling values. The the rule and creates uncertainty. The median or mode. (WSU/WSD, No. 5 at Department is aware that the NEMA proposed rule’s ‘‘basic model’’ II.N.). MG1 Table 12–6B was created to definition states that such meaning of The Department believes that the prevent mismarking or confusion that ‘‘rating’’ is ‘‘for purpose [sic] of this clarifying text, ‘‘rated voltage, and rated could occur if one manufacturer, for definition.’’ Thus such meaning does frequency,’’ proposed by NEMA, is example, labeled a motor 93.53 percent not apply throughout the rule. consistent with the EPCA definition of efficient and another manufacturer ‘‘electric motor,’’ which refers to marked a motor 93.57 percent efficient. 5. Accreditation ‘‘Design A and B’’ and ‘‘operating on Variations in materials, manufacturing Section 431.2 of the proposed rule 230/460 volts and constant 60 Hertz line processes, and tests can result in motor- defines ‘‘accreditation’’ as ‘‘recognition power as defined in NEMA Standards to-motor variations for a given motor by an authoritative body that a Publication MG1–1987.’’ Moreover, the design, so that the full load efficiency laboratory is competent to perform all of clarifying text provides a benchmark for for motors of a single design is not a the specific test procedures that are measuring the average full load unique efficiency but rather a band of required by or incorporated into this efficiency of a population of electric efficiency. The NEMA MG1 Table 12– part.’’ 61 FR 60465 (November 27, motors of duplicate design by screening 6B established a logical series of 1996). out voltage and frequency variations ‘‘nominal’’ motor efficiencies, from NEMA asserts that it is not clear as to which could be deleterious to efficiency which the motor nameplate efficiency which ‘‘test procedures’’ are being under running conditions. Therefore, marking is selected, to avoid the referred to in the definition. NEMA the Department is adding the words inference of unrealistic accuracy that states that the electric motor industry ‘‘rated voltage, and rated frequency’’ in might be assumed from a potentially uses the term ‘‘test procedures’’ to apply today’s final rule. The Department also infinite number of labeled efficiency to the IEEE Standard 112–1996 or CSA understands the need for clarity in the values. Thus, paragraph 12.58.2 of Standard C390–93 methods of definition of ‘‘average efficiency’’ per NEMA MG1–1993 provides that the full conducting tests to measure motor WSU/WSD’s comment, and is adding load efficiency of a motor shall be efficiency. These methods have formed the term ‘‘arithmetic mean efficiency’’ identified by a nominal efficiency value the basis of proposed accreditation in the definition of ‘‘average full load selected from Table 12–8 (previously programs to date. (NEMA, No. 18 at efficiency.’’ Table 12–6B in NEMA MG1–1987), page 4.). ‘‘which shall be not greater than the 7. Nominal Full Load Efficiency The Department agrees that the average efficiency of a large population’’ proposed definition needs to be The term ‘‘nominal full load of such motors. Such nominal value clarified, and that accreditation to efficiency’’ in section 341(13)(H) of could, in theory, be any value listed in perform test procedures for electric EPCA means ‘‘the average efficiency of Table 12–8 that is not greater than the motors is with reference to IEEE a population of motors of duplicate average efficiency of the large Standard 112 Test Method B and CSA design as determined in accordance population. Standard C390 Test Method (1). The with NEMA Standards Publication The Department’s proposed definition Department also notes, however, MG1–1987.’’ Section 431.2 in the resulted from a belief that accreditation would generally have to be proposed rule defines the term manufacturers should be required to use based on the version of the test method ‘‘nominal full load efficiency’’ as it for each motor the nominal full load currently incorporated into the DOE applies to an electric motor, to mean value that corresponds most closely to regulations. For these reasons, in today’s ‘‘the nominal efficiency in Column A of the efficiency test or calculation results final rule, the term ‘‘accreditation’’ is Table 12–8, NEMA Standards for that motor. NEMA has stated, defined at section 431.2 of 10 CFR Part Publication MG1–1993, that is either the however, that other analysis might 431, as recognizing competence to closest lower value to, or that equals, influence a manufacturer to select a perform the IEEE Std 112–1996 Test the average full load efficiency of lower value for a particular motor, and Method B and CSA Standard C390–93 electric motors of the same design.’’ that a manufacturer would be unlikely Test Method (1) for electric motors. NEMA encourages the Department to to select a value lower than the greatest use a definition of ‘‘nominal full load value that could be supported. 6. Average Full Load Efficiency efficiency’’ as it is in NEMA MG1–1993, Notwithstanding its view that its Section 431.2 of the proposed rule to avoid the confusion of more than one proposed definition of ‘‘nominal full defines ‘‘average full load efficiency’’ to definition of ‘‘nominal full load load efficiency’’ is supported by the mean ‘‘the average efficiency of a efficiency.’’ NEMA acknowledges that definition of that term in EPCA, the population of electric motors of the MG1 definition does not require the Department also believes the Act can be duplicate design, where the efficiency of manufacturer to select a single value for construed as supporting use of the
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54120 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations approach in MG1–1993. In light of references). The Department is adopting, lower level of nominal efficiency, and NEMA’s comments, the Department is in today’s final rule, the test procedure effectively rendering it either in or out adopting, in today’s final rule, a requirements to measure energy of compliance with the applicable EPCA definition of ‘‘nominal full load efficiency and losses in NEMA MG1 efficiency standard. Subsequently, the efficiency’’ that conforms to the use of with Revisions 1 through 4, but with Department confirmed the existence of that term in paragraph 12.58.2 of MG1– certain modifications to IEEE Std 112– these types of problems with IEEE Std 1993. 1996 Test Method B. 112–1996 through contacts with other testing laboratories, a certification B. Test Procedures 2. Modifications to the IEEE Std 112– organization, and manufacturers, each 1996 Test Method B Section 343(a)(5)(A) of EPCA requires known to have experience with IEEE that the test procedures to determine the IEEE Std 112–1991 Test Method B Standard 112–1996, and through efficiency of electric motors under was incorporated into the proposed discussions with the Chairman of the EPCA shall be the test procedures rule, but was revised and superseded by IEEE Induction Power Subcommittee. specified in NEMA MG1–1987 and IEEE IEEE Std 112–1996, which was (IEEE has since corrected one such Standard 112 Test Method B (IEEE 112) published May 8, 1997. A minor error, in its January 1998 notice of for motor efficiency, as in effect on the revision was made in IEEE Std 112– correction.) In sum, although Test date of the enactment of the Energy 1996 on January 20, 1998, when IEEE Method B in IEEE Std 112–1996 has Policy Act of 1992. If the test procedures issued a notice of correction for the several advantages, mentioned above, it in NEMA MG1 and IEEE 112 are calculation at item (28) in section 10.2 also has typographical errors, provisions subsequently amended, the Secretary of Form B-Test Method B: ‘‘Calculation subject to interpretation, and incorrect Energy is required to revise the form for input-output test of induction information. regulatory test procedures for electric machine with segregation of losses and The Department announced its motors to conform to such amendments, smoothing of stray-load loss.’’ Under intention, in the Federal Register, at 63 ‘‘unless the Secretary determines by section 343(a)(5)(B) of EPCA, 42 U.S.C. FR 34758 (June 25, 1998), that the final rule, * * * supported by clear and 6314(a)(5)(B), DOE must now adopt the rule would prescribe IEEE Std 112–1996 convincing evidence, that to do so test procedures in IEEE Std 112–1996 Test Method B, with the January 1998 would not meet the requirements for with the minor revision, unless clear correction, as a test procedure under test procedures described in’’ sections and convincing evidence supports a EPCA for determining the energy 343(a) (2) and (3) of EPCA. conclusion that such test procedures are efficiency of electric motors, but with In general, the Edison Electric not reasonably designed to produce test certain modifications set forth at 63 FR Institute (EEI) supports the energy results which reflect energy efficiency, 34759–62 (June 25, 1998). The efficiency test procedures prescribed in or are unduly burdensome to conduct. Department reopened the comment the proposed rule because they are The Department compared IEEE Std period on the proposed rule for motors, consistent with the IEEE and the 112–1991 to IEEE Std 112–1996 to in part to solicit comments on these American National Standards Institute determine whether there were modifications. The Department noted, procedures. (EEI, No. 15) differences in the two versions of Test 63 FR 34759 (June 25, 1998), that it was Method B, and, if so, whether to adopt not altering the IEEE test procedure, but 1. NEMA Standards Publication MG1– Test Method B in IEEE Std 112–1996 1993, with Revisions 1 through 4 was ‘‘proposing only to mandate certain into the final rule for electric motors. As modifications to IEEE 112–1996 Test In the NOPR, the Department stated a result of its analysis, the Department Method B when it is used for purposes its intention to adopt the test procedures believes Test Method B in IEEE Std of measuring efficiency under EPCA.’’ for the measurement of energy 112–1996 improves upon the version of The Department received six sets of efficiency in NEMA MG1–1993 with that test method in IEEE Std 112–1991, comments on these proposed Revision 1. 61 FR 60446, 60466, 60469 because IEEE Std 112–1996 includes: modifications to IEEE Std 112–1996 (November 27, 1996). Revision 2, 3 and tightened tolerances on metering Test Method B. There is general 4 have also been added to MG1–1993. instrumentation (IEEE 112, clause 4); a acknowledgment that IEEE Std 112– Revisions 2 and 3 make editorial more comprehensive and consolidated 1996 Test Method B needs modification clarifications to the determination of verbal description of the components of or correction, but some commenters efficiency and losses under MG1– Test Method B (IEEE 112, clause 6.4); opposed changes by the Department for 12.58.1. Whereas in MG1 Revision 1, and specific formulae provided for purposes of EPCA. In general, Advanced motors from 1 to 125 horsepower were calculation of stator I2R losses (IEEE Energy Corporation and Zentralverband tested by dynamometer according to 112, clause 5.1). Elektrotechnik-und Elektronikindustrie IEEE Standard 112 Test Method B or After publication of IEEE Std 112– e.V. (ZVEI) support the Department’s CSA Standard C390 Test Method (1), 1996 in May 1997, however, the corrections and modifications to IEEE MG1 Revision 4 extends testing by Department became aware, through Std 112–1996. (AEC, No. 35 and ZVEI, dynamometer up to 400 horsepower information submitted by a testing No. 37 pgs. 2–3.). GE Motors, NEMA under MG1–12.58.1, thereby including laboratory that has gained experience and ACEEE, however, assert that the 1 through 200 range of horsepower using the test procedure, that Test corrections and modifications to IEEE ratings under EPCA. Method B in IEEE Std 112–1996 Standard 112–1996 Test Method B The Department does not intend to contains 1) typographical errors, 2) should be accomplished instead through determine that the test procedure statements of procedure that are open to the voluntary standards making process amendments in Revisions 2–4 of MG1– interpretation, and 3) incorrect (GE, No. 39, and NEMA/ACEEE, No. 1993 fail to meet the requirements of information. For a given motor, these 38). NEMA and ACEEE oppose the sections 343(a)(2) and (3) of EPCA, 42 defects could cause varying Department’s making any modifications U.S.C. 6314(a)(2) and (3), except to the measurements of efficiency, or errors or corrections to the IEEE Standard 112– extent that such a determination is ranging from plus or minus one-half to 1996 Test Method B on grounds that warranted, as discussed below, with one and one-half percentage points in such changes could (1) unnecessarily respect to certain provisions of IEEE Std measured efficiency, thereby throwing lengthen the time for completion of the 112–1996 Test Method B (which MG1 an electric motor into the next higher or final rule for motors; (2) differ from
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54121 changes which might be made by IEEE; NVLAP accreditation program. NIST/ Department proposed to correct the (3) delay manufacturers from certifying NVLAP has advised DOE, however, that constant ‘‘k2’’ in item (24) to the compliance and disrupt laboratory the changes in today’s final rule would constant ‘‘k’’. The formula in item (24) accreditation programs; and (4) create not affect existing or future NIST/ would then read: ‘‘Is equal to [(23) • confusion in the industry because there NVLAP accreditations of laboratories to (11)]/k’’. 63 FR 34759 (June 25, 1998). would be two versions of IEEE Standard test motors for energy efficiency. (NIST/ Also, page 48, item (29) currently reads: 112, one for electric motors covered by NVLAP, No. 45). As to the assertion that ‘‘See 4.3.2.2 Eq. 4.’’ The Department EPCA and one for motors not covered by the typographical errors and procedures stated, at section II.A. 2.c., that such EPCA. NEMA and ACEEE also assert subject to interpretation are not reference to equation (4) in subclause that the many typographical errors and problematic, use of IEEE Standard 112 4.3.2.2, Slip correction for temperature, provisions subject to interpretation have has been voluntary until recently. But without explanation, could cause been dealt with by motor manufacturers under today’s rule, it will be mandatory, confusion and errors, since the terms in and are not a problem. NEMA and and will be the basis for determining equation (4) used to correct slip ACEEE recommend that the Department whether manufacturers are complying measurements to the specified stator adopt IEEE Std 112–1996, with the with EPCA and can sell their products. temperature, are defined differently January 20, 1998 revision, and without When a test procedure is used in this from similar terms used in 10.2 Form B. the corrections and modifications type of mandatory environment, there is 63 FR 34760 (June 25, 1998). proposed in the reopening notice greater need than in a voluntary NEMA and ACEEE assert that it is (NEMA/ACEEE, No. 38). GE Motors environment for it to be precise and preferable to change the constant ‘‘k’’ in agrees with the Department that uniformly applied. item (22) to ‘‘k2’’ since this would typographical errors in IEEE Standard Upon consideration of the comments follow in sequence the previous 112 should be corrected, but asserts that received and further review of the appearance of the constant ‘‘k1’’ in item instead of changing the IEEE Standard issues, the Department continues to (16). Such a change would also 112 Test Method B for use under EPCA, believe, for the reasons stated in the eliminate some of the confusion the the Department should communicate its reopening notice and this notice, that Department notes in section II.A.2.c. of understanding of the needed corrections IEEE Std 112–1996 Test Method B the reopening notice, concerning the and modifications to the National should be adopted as the EPCA test different definitions given for ‘‘k’’ in Institute of Standards and Technology/ procedure for electric motors, but with subclause 4.3.2.2 and ‘‘k’’ in item (22) National Voluntary Laboratory certain modifications and corrections. on page 48, since ‘‘k’’ would no longer Accreditation Program (NIST/NVLAP) The Department emphasizes, however, be included in item (22). (NEMA/ for application in its proficiency testing that such modifications and corrections ACEEE No. 38 at pg. 2). program for electric motors. (GE, Nos. in today’s rule do not fundamentally or The Department understands that there is not a consistent definition of 39, 46). IEEE submitted the extensively alter IEEE Std 112–1996 terms throughout IEEE Std 112–1996. Department’s June 25, 1998, reopening Test Method B. Rather, these changes For example, the term ‘‘k’’ is used in notice to the IEEE Induction Machinery are essentially technical corrections and sections 4.3.1, 7.2.2, 7.3.2.1, 7.3.2.2, Subcommittee for its review and interpretations of Test Method B, which 7.3.2.3, 10.1 and 10.2 of IEEE Std 112– recommendations, and stated that it fine tune and clarify it, will enable it to 1996 to convert power in watts to would ‘‘take any action deemed work better, and realize the intent of the test procedure. The Department torque, and in sections 4.2.3, 4.3.2.2 and necessary to update or amend’’ IEEE Std disagrees with the claims that these 8.3.3 as the temperature intercept for 112–1996. But IEEE did not indicate changes will delay compliance computing the resistance. The term ‘‘k’’ when it would address the points in the certification or create a second version without subscripts in IEEE Standard 112 reopening notice. (IEEE, No. 34). of IEEE Standard 112 that will cause is used often to mean different things, The Department understands that confusion. Instead, the test procedure in and therefore it has been the practice to IEEE typically updates its standards today’s rule in essence conforms to IEEE define its meaning within each section approximately every five years, and that Std 112–1996. Furthermore, as where it is used. (NIST/NVLAP, No. 45). the next revision of IEEE Std 112–1996 demonstrated by the discussion in this The Department believes that the NEMA is scheduled for the year 2001, although notice and in the reopening notice, and ACEEE change has merit and would it might be published in the year 2000. absent the changes contained in this eliminate some of the confusion (Martiny/Knab, No. 41; IEEE, No. 46). In rule, IEEE Std 112–1996 Test Method B described in sections II.A.1.b. and the Department’s view, this would be would not be reasonably designed to II.A.2.c. of the reopening notice, both too great a delay in correcting IEEE produce results that reflect energy with page 48, item (24) in the formula Standard 112 for use under EPCA. The efficiency and would be unduly for shaft power in watts, and subclause Department also understands industry burdensome to conduct. Consequently, 4.3.2.2 equation (4). 63 FR 34759. concern that, subsequent to any changes changes in Test Method B, as described Therefore, in lieu of the change the Department would make, IEEE in the following passages, are proposed by the Department in its might make different changes to IEEE incorporated into today’s rule. reopening notice for page 48, item (24), Standard 112. Nevertheless, if and when the Department will change the torque such changes are forthcoming from a. Typographical Errors constant at page 48, item (22) of IEEE IEEE, the Department will essentially be Page 17, subclause 6.4.1.3, No-load Standard 112 Test Method B, from ‘‘k’’ required, under section 343(a)(5)(B) of test, currently reads: ‘‘See 5.3 including to ‘‘k2’’, in today’s final rule. The term EPCA, to incorporate such changes in to 5.33, * * *.’’ In today’s final rule, this ‘‘k2’’ at item (22) would then read: ‘‘k2 the DOE test procedures under EPCA, reference is changed to read: ‘‘See 5.3 = 9.549 for torque, in N•m’’ and ‘‘k2 = unless the Secretary properly including 5.3.3, * * *.’’ 7.043 for torque, in lbf•ft.’’ Both the determines otherwise. In regard to Page 48, item (24), the formula for formula at page 48, item (24), and the laboratory accreditation programs, any shaft power in watts, currently reads: ‘‘Is constant ‘‘k’’ for conductivity at page 7, changes to IEEE Standard 112 Test equal to [(23) • (11)]/k2’’, but the subclause 4.3.2.2 equation (4), are Method B for purposes of EPCA would constant k2 is not defined. At section adopted without change from the IEEE be applied, for consistency, in the NIST/ II.A.1.b. of the reopening notice, the Std 112–1996 Test Method B.
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54122 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations b. Provisions Subject to Interpretation indicates that the temperature for item confusion and errors in the IEEE Test Page 8, subclause 5.1.1, ‘‘Specified (7), which is used as a basis for the Method B, and therefore incorporates temperature’’ provides three methods, temperatures in items (4), (27), and (16), the aforementioned modifications into listed in order of preference, to can be either determined from a today’s final rule. determine the ‘‘specified temperature’’ temperature detector or derived from Page 48, item (32), the equation to used in making resistance corrections: measurement of the stator resistance correct stray-load loss currently reads: (a) measured temperature rise by during the test. The Department ‘‘Is equal to AT2 where A = slope of the 2 resistance from a rated load temperature proposed, at section II.A.2.b. of its curve of (26) vs. (23) using a linear test; (b) measured temperature rise on a reopening notice, 63 FR 34760 (June 25, regression analysis, see 6.4.2.7,’’ and ‘‘T duplicate machine; and (c) use of a 1998), that the method of measuring = corrected torque = (23).’’ In the both items (4) and (7) be consistent. temperature correction table when rated reopening notice, the Department states There were no comments to the load temperature has not been both its concerns about this equation as contrary. NIST/NVLAP concurs that the measured. The Department understands well as considerations supporting use of modification to the footnote is that only options ‘‘a’’ or ‘‘b’’ in the equation as written. The Department appropriate and will not affect its subclause 5.1.1 are applicable to Test stated that it intends to adopt IEEE Std accreditation of laboratories. (NIST/ Method B. Information provided to the 112–1996, subclause 6.4.2.7, Smoothing NVLAP, No. 45). Therefore, the Department indicated, however, that of the stray-load loss, without change, Department will, in today’s final rule, option ‘‘c’’ is being misapplied to Test but is still considering the option of incorporate a second sentence to the Method B. Therefore, at section II.A.2.a. making the change to add a restriction footnote at the bottom of page 47, 10.2 of the reopening notice, the Department on the allowable value of the intercept. Form B, to read: ‘‘The values for ts and sought comment on whether its test Also, the Department invited the tt shall be based on the same method of procedure rule should incorporate into submission of data that would show if temperature measurement, selected any significant differences do occur subclause 5.1.1 the following language: from the four methods in subclause ‘‘(Method B only allows the use of between the final determined value of 8.3.’’ efficiency at 100 percent rated load, for preference a) or b).)’’ 63 FR 34759–60 Page 48, item (27) defines Stator I 2R (June 25, 1998). ° various values of the stray-load loss Loss, in W, at (ts) C, and item (29) intercept in repeated tests of the same AEC supports the Department’s defines Corrected Slip, in r/min, on IEEE suggested modification of section 5.1.1. motor. 63 FR 34761–62 (June 25, 1998). Std 112–1996 10.2 Form B. Page 48, AEC supports the modification to AEC agrees that a complete and item (29) currently reads: ‘‘See 4.3.2.2, subclause 6.4.2.7 to add a restriction on thorough reading of IEEE Standard 112– Eq 4.’’ The Department believes that the allowable value of the y intercept, 1996 would make it clear that such reference, without explanation, to and advises the Department that it finds preference ‘‘c’’ is not compatible with equation (4) in subclause 4.3.2.2, Slip such a check to be useful in verifying Test Method B, as the Department correction for temperature, can cause the validity of test data. (AEC, No. 35 at argues at section II.A.2.a. of its confusion and errors, since the terms in pg. 2). reopening notice, 63 FR 34760 (June 25, equation (4) used to correct slip 1998). However, AEC asserts that IEEE measurements to the specified stator ZVEI cites problems with the Standard 112–1996 is frequently used as temperature are defined differently from influence of a systematic measurement a reference document where only a few similar terms used in 10.2 Form B. As error on determined stray load losses, clauses are reviewed at a given time, set forth at section II.A.2.c. of the and rejects modification to the equation and that the proposed modification reopening notice, based on its to correct stray load loss on the basis would preclude the inadvertent examination of 10.2 Form B and that it would only offset stochastic application of ‘‘c’’ to Test Method B. supporting sections of IEEE Standard measurement errors. (ZVEI, No. 37 pgs. (AEC, No. 35 at pg. 2). Also, 112, the Department proposed the 2–3.). Underwriters Laboratories, Lincoln following modifications to clarify the The Department has been advised that Electric, and NIST/NVLAP agree with temperatures to be used for correcting it would be premature to require the the proposed revision to make clear at the stator and rotor loss: (1) at the top absolute value of B to be less than 10 subclause 5.1.1 that only options ‘‘a’’ or of 10.2 Form B and below the line that percent of the total loss. (NIST/NVLAP, ‘‘b’’ are applicable to Test Method B. defines ‘‘rated load heat run stator No. 45). During the NIST/NVLAP (UL, No. 43, Lincoln, No. 44, and NIST/ winding resistance,’’ insert a new line accreditation process this limit on the NVLAP, No. 45). that will define ‘‘ts’’ as it is defined in absolute value of B was not a The Department concludes, based on 6.4.3.2 and 6.4.3.3: ‘‘Temperature for requirement. However, the data from the aforementioned comments, that the Resistance Correction (ts) = ll °C (See some demonstration tests made during proposed change is warranted and 6.4.3.2);’’ (2) add a note at the bottom of the on-site inspections of the would eliminate the possibility of 10.2 Form B to read: ‘‘NOTE: The laboratories requesting accreditation misinterpreting subclause 5.1.1, which temperature for resistance correction (ts) were all well within the 10 percent limit could lead to distortion of efficiency is equal to [(4)¥(5) + 25°C];’’ (3) add the discussed in the reopening notice. The values by misapplication of option ‘‘c.’’ reference ‘‘see 6.4.3.2’’ to the end of Department believes that future Consequently, in today’s final rule, the item (27) on page 48; and (4) change investigation of this subject is Department incorporates into the first item (29) on page 48, which presently warranted. Presently, however, there is sentence of subclause 5.1.1 the states ‘‘See 4.3.2.2, eq. 4,’’ to state: ‘‘Is insufficient data available to support a following language: ‘‘(Test Method B equal to (10) • [k1 + (4)¥(5) + 25°C] / specific limit for the value of B. only allows the use of preference a) or [k1 + (7)], see 6.4.3.3’’. 63 FR 37460–1 Therefore, the Department will b).)’’ (June 25, 1998). incorporate, into today’s final rule, IEEE Page 47, the procedure to measure There were no objections to the Std 112–1996, subclause 6.4.2.7, temperature in item (4) Rated Load Heat proposed clarifications of temperatures Smoothing of the stray-load loss, Run Stator Winding Temperature is not to be used for correcting stator and rotor without change. Nevertheless, the defined. Information in the footnote at loss. The Department concludes that the Department continues to be interested the bottom of page 47, 10.2 Form B, proposed modifications will reduce in receiving data on this subject for
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54123 future consideration of a restriction on subclause 6.4.1.3 to require only that the the reasons stated in the reopening the allowable value of the intercept. input watt reading not vary over 3 notice, the Department adopts this Page 17, subclause 6.4.1.3, ‘‘No-load percent, and to disregard any proposed change in today’s final rule. test,’’ in the second sentence, currently requirement for temperature d. Summary reads: ‘‘Prior to making this test, the stabilization. (NIST/NVLAP, No. 45). machine shall be operated at no-load Since the no-load test is made after the In sum, the Department is convinced until both the temperature and the input load test and dynamometer correction that there is sufficient evidence to have stabilized.’’ Information provided test, the motor is usually substantially warrant use of IEEE Std 112–1996 Test to the Department indicated that the below rated temperature and the Method B, with the aforementioned requirements for temperature and input temperature changes are small with corrections, and no substantial evidence stabilization during the no-load test time. Consequently, the Department to the contrary. Such corrections would appear to be undefined and could cause withdraws its proposed modification, at provide an accurate measurement of the confusion. To clarify the pertinent section II.A.2.e. of the reopening notice, energy efficiency of the motor being subclause for temperature stabilization, to include ‘‘temperature stabilization’’ tested, and a measurement that is the Department proposed, at section in subclause 6.4.1.3 of the IEEE repeatable from one test to the next of II.A.2.e. of the reopening notice, to Standard 112 Test Method B. Instead, the same motor or comparable motors. modify the second sentence in 6.4.1.3 to the Department is persuaded by AEC’s In addition, the Department believes read: ‘‘Prior to making this test, the comments to modify the second that, with these corrections, machine shall be operated at no-load sentence in 6.4.1.3 and will incorporate manufacturers would not be burdened until both the temperature has stabilized the following into today’s final rule: by having to resolve problems related to (see 8.6.3) and the input has stabilized.’’ ‘‘Prior to making this test, the machine typographical errors, unclear provisions, 63 FR 34762 (June 25, 1998). shall be operated at no-load until the and unnecessary references to other AEC disagrees with the Department’s input has stabilized.’’ (AEC, No. 35). parts of IEEE Standard 112. Therefore, proposal to modify subclause 6.4.1.3 by The Department believes the the Department incorporates, into specifying temperature stabilization per modification provided by AEC will today’s final rule for motors, the test subclause 8.6.3. AEC asserts that eliminate the confusion with subclause procedures in IEEE Std 112–1996 Test subclause 8.6.3 is a temperature 6.4.1.3, which is identified at section Method B, the correction to the stabilization definition for determining II.A.2.e. of the reopening notice, and calculation at item (28) in section 10.2 the end of a rated-load heat-run, is will not be unduly burdensome on Form B-Test Method B issued by IEEE much too stringent a requirement for the manufacturers. on January 20, 1998, and the no-load test, and would add c. Incorrect Information aforementioned corrections and approximately two hours of testing time modifications. to each motor test. Also, according to Page 40, subclause 8.6.3, Termination AEC, the proposed modification would of test, the first and third sentences C. Determination of a Motor’s Efficiency: create confusion with the execution of currently read: ‘‘For continuously rated Use of Accredited Laboratories and no-load stabilization, as defined in machines, readings shall be taken at Certification Programs, Selection of sections 5.3 and 4.3.1.1 of IEEE intervals of 1⁄2 h[our] or less. * * * For Basic Models for Testing, Alternative Standard 112 Test Method B. AEC continuous rated machines, the Means To Measure Efficiency, and suggests that subclause 6.4.1.3 be temperature test shall continue until Sampling Plans for Testing ° modified to omit the reference to there is 1 C or less change in 1. Summary of DOE’s Proposals temperature stabilization, i.e., remove temperature rise between two the words ‘‘both the temperature and successive readings.’’ As written, Section 343(a)(2) of EPCA, 42 U.S.C. the input have,’’ and replace them with however, this language allows 6314(a)(2), requires that the test ‘‘the input has.’’ AEC explains that temperature readings to be taken at procedures prescribed for electric subclause 6.4.1.3 already references intervals as brief as five seconds, for motors by DOE be ‘‘reasonably designed subclause 5.3, Core loss and example. If such short intervals are to produce test results which reflect stabilization, which defines ‘‘power used, there could be little or no rise in energy efficiency,’’ yet not be ‘‘unduly stabilization.’’ AEC asserts that its temperature between any two burdensome’’ to conduct. As per the modification will retain the ‘‘power consecutive readings, even if the motor proposed rule at 10 CFR 431.24, Units stabilization’’ component, produce temperature is actually still rising. to be tested, a manufacturer would consistent, repeatable test results, and Consequently, the motor’s temperature initially determine the efficiency of at make subclause 6.4.1.3 consistent with could be misconstrued as being stable. least five basic models by testing, and of subclauses 5.3 and 4.3.1.1, as well as The Department proposed, at section its remaining models either by testing or with the no-load test as defined in IEEE II.A.3. in the reopening notice, to by use of an Alternative Efficiency Std 112–1991 Test Method B. change the third sentence in subclause Determination Method (AEDM). 61 FR Further, AEC asserts that there is no 8.6.3 (the second clause quoted above) 60466–67 (November 27, 1996). (Such need for temperature stabilization as to read: ‘‘For continuous rated testing to initially determine efficiency part of a no-load test, based upon machines, the temperature test shall is referred to as ‘‘compliance testing.’’) indications that the reference to continue until there is 1 °C or less Section 431.24 provides (1) criteria for ‘‘temperature stabilization at no-load’’ change in temperature rise over a 30- deciding which basic models should in subclause 6.4.1.3 was not one of the minute time period.’’ undergo compliance testing, (2) a IEEE Induction Power Subcommittee’s NIST/NVLAP concurs with the sampling plan for determining, for each proposed changes in drafting IEEE Std proposed change to subclause 8.6.3, such basic model, how many and which 112–1996 Test Method B. (AEC, No. 35 because it is consistent with the manner units must be tested, (3) criteria for the and Martiny, No. 42). The Department in which accredited laboratories are acceptability of an AEDM, including a has been advised through NIST/NVLAP interpreting the temperature requirement that the AEDM be that laboratories testing motors measurement procedure. (NIST/NVLAP, substantiated by applying it to five basic according to IEEE Standard 112–1996 No. 45). No comments were received to models that have been tested for Test Method B typically interpret contradict this proposed change and for efficiency, and (4) requirements for
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54124 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations subsequent verification of an AEDM. concerning the energy efficiency of should be the preferred method Under section 431.25 of the proposed residential appliances, section 431.123 compared with third-party certification, rule, the efficiency of a basic model of the proposed rule provides that a and should also be accepted without must be either certified by a third-party manufacturer must certify to DOE the requiring testing in an accredited certification organization, or based on compliance and the efficiency levels of laboratory. (ZVEI, No. 37, pg. 2–3). As testing (compliance testing and, where the electric motors it manufactures. 61 to third party certification, on the one an AEDM is used, testing to substantiate FR 60471 (November 27, 1996). The hand the proposed rule requires the the AEDM) that has been conducted in proposed rule meets the statutory manufacturer to certify compliance to an accredited laboratory. mandate that certification be ‘‘through’’ DOE, a requirement that is retained in As per the proposed 10 CFR 431.127, an independent testing or certification today’s final rule. Thus, ZVEI appears to Enforcement, the Department would program by requiring a manufacturer to have the erroneous view that DOE treats ascertain in an enforcement proceeding, base its certification on use of such a third party certification as an alternative which could include testing program, i.e., a manufacturer must use to a declaration by the manufacturer. As (‘‘enforcement testing’’), whether a an independent testing program or a indicated above, the third party motor complies with the applicable certification program to establish a certification contemplated under today’s energy efficiency standard and with the motor’s efficiency level and compliance, rule is a basis for the manufacturer’s labeled value of efficiency. 61 FR 60472, which it then certifies to DOE. See 61 declaration. On the other hand, section 60474–75 (November 27, 1996). FR 60458 (November 27, 1996). 345(c) of EPCA clearly directs the Proposed section 431.27 includes a To satisfy the intent of the Department to require manufacturers to sampling procedure for enforcement ‘‘independent testing’’ provision of certify compliance through either a testing. Section 345(c) of EPCA, and given the testing program or a certification In the reopening notice, the relative paucity of independent testing program. A preference for one over the Department proposed for consideration laboratories, the Department proposed other might be barred by the statute, that the final rule prescribe neither that a manufacturer be permitted to and, in any event, DOE believes such a criteria for selecting the basic models for establish compliance based on testing preference is unwarranted at this time compliance testing, nor a sampling plan carried out in a laboratory accredited by given the potential benefits from using for such testing, when a motor’s a nationally recognized program such as a certification program. See 61 FR 60457 efficiency is certified by a certification the National Institute of Standards and (November 27, 1996). Concerning program. The Department also stated Technology/National Voluntary accreditation, as noted above use of an that it was considering adoption of Laboratory Accreditation Program accredited laboratory serves to satisfy revised sampling plans for compliance (NIST/NVLAP). The laboratory could be the EPCA provision calling for and enforcement testing, and of the manufacturer’s own laboratory. As ‘‘independent’’ testing, and a provisions for withdrawal of DOE required under section 345(c), the manufacturer’s declaration in and of recognition from an accreditation Department also permits a manufacturer itself would not in DOE’s view satisfy organization or certification program to certify compliance based on its the intent of this provision. To the that deviates from the standards for participation in a certification program. extent ZVEI is concerned that foreign recognition. 61 FR 60455–56, 60458, 60467 manufacturers would be unfairly Many provisions of the proposed rule (November 27, 1996). burdened by having to test in were the subject of little or no comment The majority of comments were laboratories accredited in the United or dispute, including (1) the supportive of these proposals. For States, DOE notes that today’s final rule requirement that a manufacturer example, the Association of permits testing at a laboratory determine through testing the efficiency Independent Scientific, Engineering and accredited by an accreditation body of five or more basic models (proposed Testing Firms (‘‘ACIL’’, formerly the having a mutual recognition section 431.24(a)), (2) allowing the use American Council of Independent arrangement with NIST/NVLAP. of AEDMs for other basic models Laboratories) supports the adoption of Sterling Electric, Inc. supports the (proposed section 431.24(a)), (3) the the proposed rule regarding test need for more than one choice when criteria for an AEDM (proposed section procedures and certification for energy selecting an accrediting body or 431.24(a)(2)), (4) the basic approach in efficiency of electric motors, and in certification organization to fulfill the Section 431.24(a)(3) for establishing the particular, the Department’s proposal to requirement for compliance with EPCA accuracy and reliability of an AEDM, allow electric motor manufacturers efficiency standards. (Sterling, No. 13). and (5) the provisions for subsequent three approaches for establishing The ACIL is concerned that the NOPR verification of an AEDM (proposed compliance: testing in the refers to only two private organizations section 431.24(b)(4)). The following manufacturer’s accredited laboratory; that could certify electric motors to the addresses matters on which significant testing in an accredited independent Department’s efficiency standards, and comments were received. testing laboratory; or use of a third-party asks that the final proposal not refer to certification program (ACIL, No. 7 and any one certification body or 2. Issues Involving Both Use of Public Hearing Tr. Pgs. 123–124 7). accreditation body. (ACIL, No. 7.). Accredited Laboratories and Use of However, some commenters expressed These organizations were identified by Certification Organizations concern about these options for a manufacturer, 61 FR 60457 (November EPCA directs the Department to compliance certification. 27, 1996), which added that it is not ‘‘require manufacturers to certify Zentralverband Elektrotechnik- und necessary to limit independent through an independent testing or Elektronikindustrie e.V. (ZVEI) asserts certification—that is, certification of certification program nationally that the manufacturer’s declaration energy-efficient electric motors by a recognized in the United States, that nationally recognized program—to two [any electric motor subject to EPCA 7 ‘‘Public Hearing, Tr. Pgs. 123–124,’’ refers to the particular certification organizations. efficiency standards] meets the page numbers of the transcript of the ‘‘Public The apparent concern that the Hearing on Energy Efficiency Standards, Test applicable standard.’’ EPCA section Procedures, Labeling, and Certification Reporting Department might limit a manufacturer 345(c), 42 U.S.C. 6316(c). Consistent for Certain Commercial and Industrial Electric to only certain choices when selecting with the approach in DOE’s program Motors,’’ held in Washington, DC, January 15, 1997. an agency to accredit its testing
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Sections Rather it is a means for assuring that a program, such as the ones conducted by 431.26, Department of Energy laboratory can perform the test Underwriters Laboratories (UL) or CSA recognition of accreditation bodies, and procedures, and that a manufacturer’s International (CSA), a motor 431.27, Department of Energy efficiency representations, to the extent manufacturer’s production and testing recognition of nationally recognized they are based on the laboratory’s test operations would be evaluated and certification programs, of the proposed measurements, are accurate and reliable. representative samples of electric rule essentially provide that any In this regard, use of an accredited motors would be tested to applicable accreditation body or certification laboratory serves a function very similar standards. Following an initial organization can request classification to use of a certification organization. In verification, follow-up audits of motors by the Department as being nationally section 431.25(a) of the proposed rule, and on-going testing by the recognized in the United States for the the Department’s objective is to provide manufacturer would be required. Such purposes of section 345 of EPCA. options for determining compliance to programs are in compliance with Section 431.25(a) of the proposed rule manufacturers faced with a small Federal law in Canada, and are permits a certificate of conformity for a number of existing third party accredited by the Standards Council of basic model of an electric motor to be laboratories. These options will Canada, with whom NVLAP holds an obtained from any certification program continue to be offered to manufacturers agreement of mutual recognition. classified by DOE as nationally in today’s final rule. The issue is one of confidence, that is, recognized under section 431.27, and The Department agrees with Reliance confidence that a manufacturer’s permits testing in any laboratory that the use of a certification program as production units are being produced in accredited by NIST/NVLAP, by a foreign a means for determining compliance conformance with EPCA requirements. organization recognized by NIST/ could be more explicitly stated. The The Department believes that use of an NVLAP, or by an organization classified Department is therefore re-organizing independent certification program by the Department, pursuant to section and revising Section 431.24 of today’s without testing in an accredited facility 431.26, as an accreditation body. Thus, final rule, and adopting additional will provide adequate assurance of a manufacturer would be able to language in Section 431.123(a), to make compliance with EPCA’s energy establish compliance with EPCA clear that a manufacturer can use such efficiency requirements. Consequently, standards through its own choice of any a program to establish the efficiency of the Department is adopting the options testing laboratory or certification its motors and as a basis for certifying for determining compliance that were program that meets these standards. In to DOE that the motors comply with set forth in the proposed rule. this regard, the Department will make EPCA requirements. As mentioned above, Section 345(c) of no change to today’s final rule. NIST asserts that the proposed rule EPCA requires that compliance be Comments from Reliance Electric would create two different compliance certified through a testing or Company encourage the Department to procedures, accreditation and certification program that is ‘‘nationally include a separate and clearly identified certification, with unequal criteria for recognized.’’ The proposed rule, at paragraph in the final rule which states determining compliance with energy sections 431.26 and 431.27, provides the ‘‘methods’’ that can be used for efficiency requirements. (NIST, No.10 at criteria and general procedures for DOE determining compliance with EPCA. section 2.). Statistical sampling recognition of accreditation bodies and Reliance suggests the following: (i) procedures and test data, NIST certification programs, to meet this actual testing of a basic model of electric contends, should be uniform and based requirement. These sections have been motor, (ii) use of an alternative on proficiency testing under a round- incorporated into the final rule virtually efficiency determination method robin type program, to assure a common unchanged. In addition, section 431.28 (AEDM), and (iii) use of a third party basis for determining whether a motor is of the final rule also adds specific certification agency (Reliance, No. 11 at in compliance. According to NIST, test procedures, including an opportunity pgs. 6 and 7). Reliance, in facility competence would be based on for public participation, that the recommending ‘‘methods,’’ including the requirement of laboratory Department will follow in considering actual testing, use of an AEDM, and a accreditation by NVLAP to assure petitions for recognition under sections third party certification agency, also confidence in test data, and the validity, 431.26 and 431.27. asserts that accreditation ‘‘in and of reliability, reproducibility, and accuracy Neither of these sections, however, itself, is not an actual means for of test measurements. The Department addresses a situation where DOE has determining compliance.’’ (Reliance, understands that NIST advocates that all classified an organization as an No. 11, p. 7). efficiency testing of motors under EPCA accreditation body, or as a nationally The Department believes Reliance is be performed in laboratories accredited recognized certification program, and addressing two related issues: (1) by NVLAP, including testing that is the organization subsequently ceases to accreditation should not be considered under the auspices of a certification comply with the conditions for such an optional ‘‘method’; and (2) the program. classification.8 Therefore, in the Department should explicitly recognize The Department notes that reopening notice, 63 FR 34766 (June 25, certification programs as an option. As accreditation is being required under to Reliance’s proposed methods, the today’s rule to satisfy the intent of the 8 One of the conditions stated in the proposed Department questions whether a ‘‘independent testing’’ provision of rule is that the organization must have ‘‘standards certification program is a method for section 345(e) of EPCA, and that section and procedures’’ for carrying out accreditation or a determining compliance, comparable to 345(e) allows use of an ‘‘independent certification program. 61 FR 60467, 60468 (November 27, 1996). The proposed rule testing and use of an AEDM, because a certification program’’ as an alternative contemplates, at sections 431.26(d) and 431.27(d) certification program often determines means of establishing compliance. In for example, that this condition would be met only the efficiency of an electric motor using addition, the Department understands if the Department found acceptable the one or both of these approaches, as well that a certification program is a organization’s standards and procedures for carrying out its program. The final rule reinforces as other methods. However, the continuous assessment to assure that and clarifies this point by adding the word Department agrees that accreditation is new products and subsequent ‘‘satisfactory’’ before ‘‘standards and procedures’’ in not a method for determining whether production conform to specified sections 431.26(b)(1) and 431.27(b)(1).
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1998), the Department proposed to add Finally, the Department’s energy (NEMA, No. 38 at C., pages 4 and 5), provisions to (1) notify an accreditation conservation program has not had and they are incorporated into today’s body or a certification organization of experience with this type recognition rule. failure to comply with the conditions of requirement, and the Department is NEMA also asserts that ‘‘DOE should section 431.26 or 431.27, respectively, uncertain as to the effects of possible accept existing certifications that are in (2) request appropriate corrective action, withdrawals of recognition. For these good standing’’ when the final rule is (3) provide an opportunity to respond, reasons, the Department will address published. (NEMA, No. 38 at C., page and (4) withdraw recognition. Also, the consequences to manufacturers of 5.). Initially, the Department notes that Department proposed to permit an withdrawals of recognition on a case by a third party certification would not accreditation body or certification case basis, as necessary, rather than by normally be provided to it. Rather, organization to withdraw itself from including specific language on this issue under section 431.123 of today’s final recognition by the Department. in today’s final rule. DOE will consider rule, each manufacturer must submit its NEMA and ACEEE support the amending the rule to include such own Compliance Certification(s) to Department’s procedure for notification language only if experience indicates a DOE, although such Certification may and corrective action. Further, NEMA need to do so. be based on an efficiency certification and ACEEE recommend that the rule provided by a certification program. also require DOE to notify 3. Issues Concerning Use of Certification Consistent with NEMA’s suggestion, manufacturers that use an accreditation Organizations however, under both the proposed and body or certification program that As discussed above, proposed section final versions of section 431.123, the recognition will be withdrawn, and to 431.24 prescribes for compliance testing Compliance Certification may contain allow time for the manufacturer to (including testing to substantiate an motor efficiency information developed change its procedures for determining AEDM) criteria for selecting basic before the effective date of the rule. compliance. (NEMA/ACEEE, No. 38 at models for testing, and a sampling plan Thus, a Compliance Certification could pages 6 and 7.) In section 431.28 of for picking the particular units to be be based on a third-party efficiency today’s final rule, the Department tested. These requirements apply both certification that (1) was issued by a includes provisions for withdrawing when a manufacturer establishes a DOE-recognized certification program recognition from an accreditation body motor’s efficiency without using a prior to the effective date of the rule, (2) or certification organization, and for certification program (i.e., required was based on use of the criteria and publishing in the Federal Register testing is performed in an accredited procedures incorporated into the rule, notice of such action. However, because laboratory), and when a manufacturer and (3) remains in effect at the time of the Department would often be unaware uses a certification program. 61 FR the Compliance Certification. This of which manufacturers are using a 60466–67 (November 27, 1996). assumes, of course, that information in particular accreditation body or In their comments on the NOPR, both the third-party certification supports the certification organization, the final rule NEMA and Reliance Electric asserted representations in the Compliance contains no provision for the that DOE should not impose its Certification. Moreover, the certification Department to directly notify them of its sampling plan for compliance testing organization used by the manufacturer action. when a manufacturer uses a certification must receive recognition from DOE The final rule also does not program to establish compliance. They under section 431.27 after the effective incorporate language to specifically stated that such a program’s own testing date of the rule, even though it met the ‘‘allow time’’ for a manufacturer to and sampling procedures will give criteria for such recognition before the change its compliance procedures when adequate assurance of the accuracy of effective date of the rule. In sum, the recognition has been withdrawn from an any reported efficiency level, and Department does not intend to conclude accreditation body or certification NEMA recommended that the that a Compliance Certification violates organization it is using. To the extent Department review and approve a 431.123 solely because the applicable NEMA and ACEEE are suggesting that, certification program’s testing determinations underlying the during a period after such withdrawal of procedures before according the Certification, such as those described in recognition, the rule should permit a program ‘‘nationally recognized’’ status section 431.123(b)(1)(ii), were made manufacturer temporarily to distribute for purposes of EPCA. (Reliance, No. 11 before the effective date of the rule. an electric motor without certifying its at pg. 7; NEMA, No. 18 at pgs. 8–9). Proposed section 431.25(a), Testing compliance with the applicable Recognizing that these contentions had laboratories, provides in essence that all standard, or to certify the motor without merit, in the reopening notice the testing of a basic model to meet the using an accredited laboratory or a Department proposed that, when a requirements of section 431.24, Units to recognized certification program, DOE manufacturer establishes a motor’s be tested, shall be carried out in an believes a sufficient showing has not efficiency under EPCA through a accredited laboratory, unless a been made to justify such an approach. certification program, the final rule certificate of conformity for that basic In addition, the proposed and final rules would not require use of the rule’s model is obtained from a certification do not per se require a manufacturer to criteria for identifying basic models for program classified by DOE as nationally continuously maintain an accredited compliance testing, or its sampling recognized. 61 FR 60467, 60468–69 laboratory. And although they provisions for selecting units for such (November 27, 1996). This applies, for contemplate continuous participation in testing. 63 FR 34765 (June 25, 1998). In example, to testing required by a certification program when such a addition, DOE proposed that review and proposed section 431.24(b)(3) to program is used, no provision precludes approval of a certification program’s substantiate an AEDM. Under these a temporary lapse in such participation criteria for selecting basic models for provisions, therefore, when a caused by a withdrawal of recognition. testing, and its sampling plan, would be manufacturer uses a certification Hence, the Department believes that the included in the Department’s evaluation program to establish the efficiency of a final rule will allow a manufacturer a of whether to grant a program basic model, testing of the basic model, reasonable amount of time to replace an ‘‘nationally recognized’’ status for including testing used to substantiate an accrediting body or certification purposes of EPCA. The NEMA AEDM, would not need to be performed program that has lost its recognition. comments support these DOE proposals in an accredited laboratory. Reliance
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Electric asserts that the proposed rule is fail to meet this statutory requirement. organizations so that the laboratory’s unclear on this point. (Reliance, No.11 A professional engineer neither carries capacity to render calibration or test at pgs 5 and 6; see ACEEE/NEMA, No. national recognition nor is the reports objectively and without bias is 38 at pg. 5). The Department has revised equivalent of a certification program, not adversely affected.’’ 9 The proposed sections 431.24 and 431.25 in and proposed section 431.24(b)(4)(i)(C) Department believes this means that an the final rule to further clarify that does not require the professional accredited laboratory will be testing of a basic model to substantiate engineer to perform testing. independent in the sense that it will an AEDM need not be in an accredited Finally, the Department proposed in perform tests without influence ‘‘by laboratory when a certification program the reopening notice to require that, marketing and production concerns,’’ certifies the basic model’s efficiency. when a motor’s efficiency rating is and ‘‘with assurance that test results are Reliance Electric also agrees with the derived from use of an AEDM, the accurate, valid, and capable of being proposal that five basic models be tested AEDM could not be subsequently replicated.’’ 61 FR 60455 (November 27, as part of the initial substantiation of an verified by the certification organization 1996). The Department agrees with AEDM, but that the methods for initial that had initially certified the motor’s ACIL that accreditation assures substantiation of an AEDM under efficiency rating. 63 FR 34765 (June 25, technical competency, and does not section 431.24(b)(3) should otherwise be 1998). NEMA and ACEEE jointly assert confer on a laboratory independence in the same as the methods permitted that DOE should permit the use of the the sense of autonomy. under section 431.24(b)(4)(i)(A)–(C) for same certification organization for both WSU/WSD expressed concern about a subsequent verification of an AEDM. substantiation and verification of an manufacturer’s own (accredited) (Reliance, No.11 at pgs. 5 and 6). Two AEDM. To require one certification laboratory sufficing as an of the methods permitted for such organization to be used for ‘‘independent’’ laboratory. WSU/WSD subsequent verification are testing in an substantiation and a different one for posited that if subsequent testing by accredited laboratory and use of a verification of an AEDM would cause outside laboratories finds efficiencies certification organization. As indicated manufacturers to participate in multiple being overstated, then the above and as the final rule makes clear, certification programs to accomplish the manufacturer’s laboratory should be both can be used to initially substantiate same thing. (NEMA/ACEEE, No. 38 at subject to disaccreditation. (WSU/WSD, an AEDM. The third method for page 5). The Department understands, No. 5, p.6). subsequent verification of an AEDM, from the NEMA/ACEEE comments, that Section 431.26 of the proposed rule however, is the use of a professional the proposal contemplated in the provides criteria and procedures by engineer, and the Department does not reopening notice would be burdensome which the Department of Energy would agree it is appropriate for initial for manufacturers. Therefore, the recognize an accreditation body. To substantiation of an AEDM. Department will not adopt this proposal meet the conditions of proposed section First, the Department believes that in the final rule. 431.26, the accreditation body would initial substantiation of an AEDM have to assume the responsibility (1) to should be inherently stringent because 4. Compliance Testing When a periodically audit and review a testing an AEDM could underlie compliance Manufacturer Does Not Use a laboratory to verify continued determinations for many motors. The Certification Program (Independence compliance with the conditions of its Department believes that such and Performance of an Accredited accreditation, and (2) to make provision stringency will exist when the initial Laboratory, Selection of Basic Models for withdrawal of accreditation where a substantiation of an AEDM is based on for Testing, Sampling Plan) and testing laboratory fails to comply with testing in an accredited laboratory that Enforcement Testing Sampling Plan the conditions of its accreditation, meets the requirements of section a. Accredited Laboratories including failure to provide accurate 431.25, or on use of a certification test results. Similarly, section 285.24, program classified by DOE as nationally As discussed above, the Department proposed that a manufacturer could ‘‘Denying, suspending, and revoking recognized under section 431.27. accreditation,’’ implicitly makes such However, having a professional engineer meet the statutory provision for certification through an ‘‘independent provision in the NIST/NVLAP review the results of the manufacturer’s Handbook 150, ‘‘Procedures and testing, and initially certify the accuracy testing program’’ by using a laboratory, General Requirements.’’ Furthermore, of the AEDM, would not be as operated by either a third party or the under section 285.22(b)(7) of ‘‘Assessing inherently rigorous, or provide the same manufacturer, that has been accredited and evaluating a laboratory’’ in NIST/ likelihood of uniform results. Both the to perform the DOE test procedures. NVLAP Handbook 150–10, ‘‘Efficiency proposed and final rules allow the use Commenting on the meaning of of Electric Motors,’’ where problems are of a professional engineer for ‘‘independence,’’ ACIL opines that the indicated by proficiency testing and the verification of an AEDM because that proposed rule implies that once a test laboratory fails to resolve the would be only a check on the initial laboratory is accredited, its problems in a timely manner, NIST/ determination of the AEDM’s validity, independence is assured. ACIL asserts NVLAP may revoke or suspend its and would be applied to a limited that while accreditation assures a number of basic models. In addition, the laboratory’s technical competence, and accreditation of that laboratory. In the provisions in DOE’s rule for initial that testing will be conducted free from final rule, the Department has added substantiation of an AEDM implement certain marketing pressures, it does not language to section 431.26 to explicitly the statutory requirement for a mean that the laboratory is autonomous. provide that, to be recognized by DOE, manufacturer to certify, through an (ACIL, No. 7., and Public Hearing, Tr. an accreditation body must periodically independent testing or certification pgs. 124–131.). audit laboratories it accredits, and program nationally recognized in the Independence is a criterion, used for withdraw accreditation from those that United States, that an electric motor example under NVLAP accreditation do not adhere to the conditions of their meets the applicable efficiency procedures, to verify that a laboratory is 9 NIST Handbook 150, National Voluntary standard. It appears to the Department able to ‘‘maintain an independent Laboratory Accreditation Program Procedures and that use of a professional engineer for decisional relationship between itself General Requirements March 1994, section initial substantiation of an AEDM would and its clients, affiliates, or other 285.32(a)(10), pg. 20.
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Motors such as a 143T and energy efficiency standards based on model if warranted under section 145T, for example, are different frame testing in an accredited laboratory, 431.127 of today’s final rule. sizes but are in the same frame series including its own laboratory, and Also, Reliance Electric opines that the and are quite similar in size, whereas subsequently its motors are determined requirement in proposed section 143T and 182T, for example, are in not in compliance under section 431.24(b)(1)(i)(A), that basic models different frame number series and are 431.127, ‘‘Enforcement,’’ that selected based on production during the very different in size. Under the manufacturer would be required, for ‘‘prior year,’’ might be inappropriate for proposed rule, a manufacturer could test example, to immediately cease the initial years in which 10 CFR Part motors that are all similar in size, by distribution in commerce of that basic 431 for electric motors becomes selecting motors in one or possibly two model motor, under section 431.128 of effective. For example, according to frame series. This would defeat the the rule. Reliance Electric, selection by a Department’s goal of having a manufacturer in 1998 of the basic manufacturer establish compliance by b. Selection of Basic Models for Testing models produced in the highest unit testing a range of motor sizes. Also, Proposed section 431.24(b)(1)(i)–(ii) volumes by that manufacturer in 1997 because there are only nine frame provides criteria that a manufacturer might include basic models which have number series covered by EPCA, must use to decide which basic models efficiencies below EPCA levels. requiring tested basic models to be from to test. Subsection 431.24(b)(1)(i)(A) Consequently, the basis of different number series, when possible, states that two of the basic models substantiation of the AEDM would be could cover over half of the sizes of selected for testing must be among the dependent on basic models with motors made by any manufacturer. The five basic models with the highest unit efficiency levels that can no longer be Department understands that this would volumes of production by the manufactured for sale in the United include a greater percentage of the manufacturer in the prior year. States. (Reliance, No. 11 at pg. 1). product line for manufacturers not Washington State opines that the unit Had this rule gone into effect prior to producing motors over the full range of volume should be horsepower weighted, the latter part of 1998, Reliance’s point ratings covered by EPCA. The otherwise there would be a bias toward would have been well taken. EPCA’s Department also believes that selecting the more numerous small motors. Also, efficiency standards, however, became basic models based on different frame Washington State asserts that the applicable to electric motors on October number series would show an AEDM to Department of Energy should retain the 24, 1997, and by the time this rule be accurate over a wider range of motors right of selecting basic models, whether becomes effective the standards will to which it is applied, thereby covering to verify compliance through actual have been in effect for most motors for a greater expanse of basic models testing or application of an alternative at least a year. Moreover, because produced and without adding burden to efficiency determination method. today’s rule does not require the manufacturer. Therefore, the (WSU/WSD, No. 5 at pg. 6, items II.P. manufacturers to certify compliance Department modifies proposed section and Q.). until 24 months after its effective date, 431.24(b)(1)(i)(C) to read ‘‘frame number The Department expects that the basic the Department presumes that most series’’ in today’s final rule. models with the highest unit volumes of testing covered by this part of the rule production would be those in the lower (i.e., testing in accredited laboratories) c. Sampling Plans for Compliance and horsepower ratings. If the Department will occur during calendar year 1999 or Enforcement Testing were to require all basic models selected later. Therefore, it is unlikely that Sampling plans for compliance and for testing to be from those with the models selected for testing under this enforcement testing are at proposed highest unit volumes of production, criterion would have efficiency levels sections 431.24 and 431.27(c), then Washington State’s concern might below EPCA levels. Nevertheless, some respectively. They are intended to be significant. However, only two of the manufacturers might have begun testing provide statistically meaningful basic models selected must be from prior to the end of 1998, and the sampling procedures for conducting those with the highest unit volumes of Department in its Policy Statement tests, so as to reduce the testing burden production. Other criteria for selection acknowledges the possibility that some while giving sufficient assurance (1) in are that the basic models be of different motors could continue to be the case of the compliance plan, that the horsepowers and different frame series. manufactured in non-compliance with true mean energy efficiency of a basic Thus, for example, under today’s final EPCA standards after October 1998. model (i.e., the average efficiency of all rule, the two basic models with the Therefore, today’s rule allows units manufactured) meets or exceeds highest volume of production must, if manufacturers that began testing in 1998 the applicable energy efficiency possible, span two different frame to select units for testing under this standard established in EPCA and the series. (See discussion below on use of criterion based on 12 months of basic model’s labeled efficiency level, frame series rather than frame size.) production that begins on November 1 and (2) in the case of the enforcement Therefore, the Department declines to or December 1 of 1997, and provides plan, that an electric motor found to be adopt the WSU/WSD suggestion to that no motor manufactured in in noncompliance will actually be in weight by horsepower the basic models noncompliance with EPCA standards, noncompliance. The November 27, 1996 for testing under section pursuant to the Policy Statement or Federal Register notice (61 FR 60440), 431.24(b)(1)(i)(A) of today’s final rule. otherwise, shall be considered under at section XIII.C.3. and 8., Issues for Furthermore, because it would not be this criterion. Public Comment, requested comments feasible for the Department to select The Department has also reviewed on these proposed sampling plans. models for compliance testing, it does section 431.24(b)(1)(i)(C) and has In response, the National Electrical not intend to retain the right to make determined that motors selected for Manufacturers Association (NEMA) and such selection as suggested by WSU/ testing should be from different frame motor manufacturers raised issues WSD. Nevertheless, under the final rule number series, rather than frame sizes, concerning the proposed sampling the Department of Energy can select when possible. (Frame series plans, and NEMA submitted to the
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Department alternative approaches, one would pass the compliance test.’’ The Under DOE’s proposed compliance for compliance testing and another for same concerns would be raised, they sampling plan, however, such a high enforcement testing. NISTIR 6092 contend, by reducing the 1.05 probability would not exist. The NEMA ‘‘Analysis of Proposals for Compliance coefficient in the NEMA proposal for compliance sampling proposal also and Enforcement Testing Under the compliance, to a number such as 1.03 or provides that a basic model cannot be New Part 431; Title 10, Code of Federal 1.01. (ACEEE/NEMA, No. 38 at pg.3). determined to meet a given nominal Regulations,’’ January 1998, (the NIST Also, ACEEE and NEMA recommend efficiency level if the measured analysis) compared the DOE’s proposed that the Department not specify a fixed efficiency of any of the test specimens rule and the NEMA proposals through sample size, but rather specify a is below a level analogous to the model calculations of their operating minimum sample size of five units for minimum efficiency specified for a characteristics, i.e., the estimated the compliance sampling plan. Further, motor in MG1. Thus, the NEMA probability of demonstrating a sample size of fewer than five units proposal has the advantage of compliance for a given true average of should be permitted when the basic incorporating methods that efficiency. model is of a rare design for which manufacturers are familiar and In the reopening notice, the fewer than five units would be comfortable with. Department stated that, although it produced over a reasonable period of In addition, the efficiency continued to consider adoption of the time. ACEEE and NEMA assert that the requirements mandated by EPCA for NOPR’s sampling plans, it was also absolute pass or fail nature of their joint electric motors consist largely of considering adopting instead NEMA’s sampling plan proposal would also not industry standards contained in NEMA proposed sampling plans, or variations cause undue burden on motor MG1. Section 343(a)(5)(A) of EPCA of those sampling plans. 63 FR 34762– manufacturers. (ACEEE/NEMA, No. 38 prescribes the test procedure contained 64 (June 25, 1998). Comments and data at pgs. 3 and 4). in MG1, the mandatory efficiency were requested concerning the accuracy Sterling Electric, Inc., asserts that it is standards in section 342(b)(1) are taken and workability of NEMA’s proposals. a small manufacturer with ‘‘limited from MG1, and the definitions of resources,’’ and advocates a ‘‘simple ‘‘electric motor’’ and ‘‘nominal full load (1) Sampling Plan for Compliance statistical procedure’’ to verify that its efficiency,’’ in sections 340(13)(A) and Testing motors comply with EPCA efficiency (H), respectively, must be construed Section II.B.2. of the reopening notice, standards. (Sterling, No. 13). with reference to MG1. Thus, the 63 FR 34764 (June 25, 1998), requests Based on the NIST analysis, and on Congress apparently intended that comments on whether DOE should further review of the sampling criteria efficiency requirements for motors adopt the NEMA proposal for for compliance testing in the proposed would adhere to industry standards compliance testing, or alternatively, rule and in the NEMA proposal, the where possible, see also EPCA section adopt the NEMA proposal but substitute Department believes that the NEMA 343(a)(5)(B), providing further support a coefficient of 1.03 or 1.01 for the 1.05 proposal and the comments by ACEEE, for DOE’s adoption of the NEMA coefficient in the NEMA formula. Also, NEMA and Sterling Electric have sampling proposal for compliance the reopening notice states that DOE substantial merit. To begin with, the testing. could adopt the NEMA proposal, with Department has determined that the The Department is also persuaded by or without change in the 1.05 NEMA proposal for compliance testing the contention of NEMA and ACEEE coefficient, but with a requirement that provides statistically meaningful that the compliance sampling the number of units to be tested be sampling procedures for conducting provisions in the proposed rule could fixed, at five motors for example. tests for electric motors, so as to reduce unreasonably burden motor The American Council for an Energy the testing burden while giving manufacturers. These provisions could Efficient Economy (ACEEE) and NEMA sufficient assurance that the true mean in effect require that electric motors be jointly advocate adoption of the ‘‘NEMA energy efficiency of a basic model (i.e., designed to exceed represented proposal,’’ 10 as it is referred to in the the average efficiency of all units efficiency values, and values prescribed reopening notice, 63 FR 34763 (June 25, manufactured) meets the motor’s by section 342(b)(1) of EPCA, which 1998), for compliance testing as well as represented energy efficiency level. DOE believes would be unwarranted. To enforcement testing. As to the sampling Furthermore, the NEMA proposal is begin with, the amount of such required plan for compliance at proposed section closely aligned with existing industry ‘‘overdesign’’ could be substantial. For 431.24(b)(1)(iii), 61 FR 60467 approaches for rating and labeling the example, NIST states in its analysis that, (November 27, 1996), ACEEE and efficiency of electric motors. Under if two units of a basic model are tested, NEMA contend that, given the actual NEMA Standard MG1, a manufacturer for the model to have a 90 percent variations in the performance of electric determines the nominal efficiency of probability of being found in motors and the accuracy of any test each design of electric motor, and each compliance with a given nominal procedure to measure efficiency, individual motor of such design must be efficiency, the average efficiency of the ‘‘requiring the average efficiency of any labeled with that value and have a entire population would have to be sample to be not less than the corresponding minimum efficiency. above the next higher nominal value. represented efficiency places an Manufacturers design a motor to Testing large numbers of units would be unreasonable burden on manufacturers perform at or above its labeled nominal one way, under the DOE proposal, to and would require that all electric efficiency and, generally, the nominal increase the likelihood that the sample motors be designed to substantially efficiency will closely reflect the actual tests would indicate a given efficiency exceed the represented value [of average efficiency of motors of that level, and to reduce the need for efficiency] to assure that any sample design. Consistent with this approach, ‘‘overdesign.’’ This would not be an under the NEMA proposal there is a option, however, for the many basic 1 ‘‘Proposal for the Method of Determining high probability that, if the entire models of electric motor that are Compliance and Enforcement for Electric Motors population of a basic model of motor produced in small quantities. Finally, Under the Efficiency Labeling Program of DOE 10 CFR Part 431,’’ NEMA Motor and Generator averages a given efficiency, tests of a DOE’s understanding is that, given the Section, Friday, April 18, 1997 (Docket No. EE– sample of such motors will indicate that nature of the ‘‘electric motors’’ covered RM–96–400, No. 23) (the ‘‘NEMA proposal’’). the basic model performs at that level. by EPCA, the burdens created by any
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(For example, increasing the describes the NEMA sampling plan for variations at different test facilities. quantity and quality of materials in such enforcement, 63 FR 34763 (June 25, The proposed sampling plan for a motor are virtually the only ways to 1998), and states that DOE could adopt enforcement is designed to be different improve its efficiency, and any changes the NEMA plan with or without from the sampling plan for compliance. to improve efficiency are highly likely modification of the coefficient, 63 FR It is based on the t-statistic, which is to necessitate other changes in the 34764 (June 25, 1998). Alternatively, the used at appendix B to subpart F of 10 product.) reopening notice states, DOE could CFR Part 430—Sampling Plan for For all of these reasons, in today’s retain the sampling plan for Enforcement Testing, and is tailored for final rule the Department adopts the enforcement in the proposed rule with enforcement testing of electric motors, NEMA sampling proposal for the statistical confidence level increased based upon NEMA MG1–1993 compliance testing of electric motors, from 90 percent to 99 percent, or some paragraphs 12.58 and 12.59. According with a required minimum sample size of other value higher than 90 percent. to NIST, the t-test is not strongly five units. A minimum sample size of Also, as further discussed below in influenced by the exact form of the five units shall be required for basic Section E.2, DOE stated its intention in underlying distribution, it is a widely models for which more than five units the reopening notice that the accepted basis for a testing protocol, and would be produced over a reasonable enforcement procedures in the final the likelihood of a correct determination time (approximately 180 days). Where rule, including the enforcement increases with sample size. The fewer than five units of a basic model sampling plan, would apply to Department finds that the likelihood of are produced over a reasonable time, allegations both of labeling violations as a correct determination increasing with then each unit shall be tested for well as non-compliance with the sample size is consistent with the applicable standard for efficiency. 63 FR ACEEE/NEMA recommendation that a compliance. This latter provision is 34765–66 (June 25, 1998). minimum of five units be tested, designed to address a situation where a As with sampling for compliance although ACEEE/NEMA opine that there basic model is of a rare design, such as testing, ACEEE and NEMA jointly should be no upper limit placed on the a design that is not mass produced or is advocate adoption of the April 18, 1997, sample size. As a practical matter, the built to order, and for which ‘‘NEMA proposal’’ as it pertains to Department has determined that the manufacturing and delivery schedules enforcement sampling. (ACEEE/NEMA, upper limit of the sample size should be are uncertain. No. 38 at pg. 4). ACEEE and NEMA fixed at 20 units, as it is in appendix B (2) Sampling Plan for Enforcement assert that the only difference between to subpart F of 10 CFR Part 430. Based Testing their joint proposals for compliance and on NISTIR 6092, pages 6–7, the enforcement are the coefficients that Department agrees with NIST that it is DOE’s proposed sampling plan for represent the variation in total losses for highly unlikely that a motor that is enforcement testing at section the sample or population. They opine labeled in accordance with the NEMA 431.127(c), Sampling, and appendix B that the values for enforcement are MG1 energy efficiency standards would of subpart G, 61 FR 60472, 60474–5 greater in order to account for the added require testing beyond the initial sample (November 27, 1996), assumes that the variation that results when efficiency is of five, and that any risk of additional true mean full load efficiency and determined through testing at different testing is more than offset by the standard deviation of the motor test facilities. They also state that their increased value of the test in assuring efficiencies are not known. The enforcement sampling plan would apply that the manufacturer’s interests are proposed sampling plan establishes to both the accuracy of the nameplate protected. Moreover, if enforcement benchmarks for the standard error in the efficiency, as well as compliance with testing is carried on up to 20 units, there mean, based on the existing NEMA the applicable EPCA efficiency value. would be likely indications of other guidelines for identifying motor (ACEEE/NEMA, No. 38 at pgs. 5–6). fundamental problems in the efficiency levels at NEMA MG1–12.58, Based on the NIST analysis of the manufacture and/or testing of such basic and NEMA Table 12–8. Under the operating characteristics of the model which could be ascertained and NEMA guidelines, no single unit can enforcement sampling plan proposed by corrected through other means, such as have energy losses more than 20 percent NEMA, at NISTIR 6092 (January 1998), examination of the underlying data greater than the average losses for that pages 4 through 7, the Department finds according to the aforementioned ‘‘test type of motor, i.e., a 20 percent loss that the industry plan for enforcement notice’’ procedure described at 10 CFR tolerance is permitted for a given unit sampling makes little distinction 431.127(a)(1). but the average must still be met. between energy efficiency performance The Department agrees with NIST, Section III.G. of the preamble to the at and significantly below an efficiency NISTIR 6092 at page 6, that the proposed rule states the Department’s standard prescribed by EPCA. performance of the Sampling Plan for belief that the 20 percent loss tolerance According to the NIST analysis of the Enforcement Testing with the statistical is reasonable and meaningful. 61 FR NEMA proposal for enforcement testing, confidence of 90 percent could imply 60459–60, 60474–75 (November 27, the NEMA plan may not adequately that the likelihood of a false conclusion 1996). NEMA’s sampling plan for differentiate between significant levels that a product is not in compliance enforcement testing is very similar to its of performance. For example, there could be as high as 10 percent, and that plan for compliance testing, and appears to be no appreciable change in this level of assurance may not provides that the same conditions must the outcome of testing between a test of adequately protect the manufacturer’s be met to establish that a motor a basic model for which the true mean interests. The Department has complies with the applicable EPCA efficiency is equal to a given nominal considered various levels of statistical standard, except that the coefficient is value and a test of a basic model for confidence, other than 90 percent, and based on the total variation in energy which the true efficiency is equal to the has determined that the Sampling Plan efficiency permitted by NEMA MG 1 next lower NEMA nominal value. Also, for Enforcement Testing in today’s final paragraph 12.59, ‘‘Efficiency Levels of the Department is not convinced that rule will be based on 97.5 percent
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They Sampling Plan for Enforcement Testing, a rated horsepower that exceeds a power incorrectly state that ‘‘the Department as set forth at proposed appendix B to rating specified in EPCA, by greater than proposes that IEC motors with ratings subpart G of Part 431, will apply to a one percent, should be required to meet falling between two standard test of whether an electric motor’s the efficiency rating prescribed for the horsepower ratings should be required nominal full load efficiency complies next higher horsepower specified in to meet the more stringent rating of the with section 342(b)(1) of EPCA as well EPCA. In other words, WSU/WSD higher horsepower.’’ (WSU/WSD, No. 5 as to a test of the accuracy of the labeled apparently advocate the one percent at II.D.). First, as to an electric motor efficiency of a motor. point for rounding up. (WSU/WSD, No. with a standard kilowatt rating, the Department proposed in section D. Energy Efficiency Standards 5 at page 5, item D.). The issue here is whether to round up 431.42(a) that the required efficiency Section 342(b)(1) of EPCA, 42 U.S.C. or down from the mid-point between level be that prescribed for motors with 6313(b)(1), prescribes energy efficiency two horsepowers, as DOE proposed at the equivalent horsepower rating standards for electric motors that are 1 specified in IEC Standard 60072–1. 61 through 200 horsepower. Section 431.42 section 431.42(b) in the rule, or from the 1 percent point, as WSD suggests. The FR 60449–50, 60469 (November 27, of the proposed rule incorporates these 1996). As demonstrated by examination efficiency standards, and for each WSU/WSD approach to rounding up is similar to the NEMA position described of these specified equivalencies and the horsepower rating to which a group of exact conversions of standard kilowatt standards applies, states the equivalent at page 60450 in the preamble to the proposed rule, where a motor with ratings to horsepowers—no standard kilowatt rating which those standards kilowatt rating exactly equals a standard rating between two of the horsepower also apply. The NOPR proposes the horsepower rating—an IEC motor with a ratings specified by EPCA would be following criteria for determining the standard kW rating must sometimes required to meet the efficiency standard standard that applies to an electric meet the efficiency standard for the next for the next highest horsepower. For the motor that has a horsepower or kilowatt higher horsepower and sometimes for reasons stated in the preamble, the rating between two horsepowers or the next lower. Id. In all cases the Department continues to believe that kilowattages listed consecutively in standard it must meet is prescribed for such rounding up to the next energy section 342(b)(1) of EPCA and section a horsepower that is very close to an efficiency level could make it very 431.42(a) of the proposed rule: (1) a exact conversion from its kilowatt difficult for some sizes of motors to horsepower at or above the midpoint rating. Id. Second, as to motors with between the two consecutive meet the statutory energy efficiency non-standard kilowatt ratings, section horsepowers would be rounded up to levels and could have the effect of 431.42(b)(3) of the proposed rule the higher of the two horsepowers; (2) banning or limiting their use. 61 FR provides that the kilowatt rating would a horsepower below the midpoint 60450 (November 27, 1996). This would be arithmetically converted to its between two consecutive horsepowers be true for an electric motor used as a equivalent horsepower rating, and then, would be rounded down to the lower of component of a compressor, for based on whether the motor falls above the two horsepowers; or (3) a kilowatt example, where the compressor is or below the midpoint between rating would be directly converted from designed around the size of the motor to consecutive horsepower ratings, would kilowatts to horsepower and the allow for air flow and cooling be required to meet the corresponding resulting horsepower rounded as stated requirements. Such space requirements higher or lower energy efficiency level, above. 61 FR 60470 (November 27, and restrictions could prevent the use of respectively. The Department believes 1996). a larger motor, such as an electric motor that such rounding from the midpoint that must be physically larger to meet between two non-standard kilowattages 1. Non-standardized Horsepower the next higher energy efficiency level. Ratings further addresses WSU/WSD’s concern (Kaeser Compressors, No. 48). Also, the about requiring IEC motors to meet the Washington State University Department believes that rounding up or next higher levels of efficiency. Cooperative Extension Energy Program down from the mid-point is not Therefore, the Department will make no and the Washington State Department of sufficient incentive for a manufacturer change in this regard in today’s final Community, Trade and Economic to produce new intermediate rule. Development (WSU/WSD) address horsepower ratings, such as the 12 DOE’s concern, in the preamble to the horsepower rating contemplated by 3. World Trade Organization (WTO) proposed rule at section III.D.2, WSU/WSD. If that were to occur, Agreements and the Trans Atlantic ‘‘Standards for Horsepowers Not Listed however, the Department could Business Dialogue (TABD) in Statute, and for Non-standard consider amending the rule to adopt Zentralverband Elektrotechnik-und Kilowatt Ratings,’’ 61 FR 60450 alternative rounding approaches. Elektronikindustrie e.V. (ZVEI) (November 27, 1996), about efficiency 2. Motor Horsepower and Standard advocates that the Department’s levels that would be applicable to Kilowatt Equivalent standards regulations for electric motors electric motors manufactured to non- be set up according to the principles of standard horsepower ratings. WSU/ The joint comments of WSU/WSD the WTO and the TABD, using WSD assert that the output rating of an recommend that an electric motor rated international standards as much as electric motor is not the maximum in kilowatts be allowed to meet the possible. (ZVEI, No. 37 pg. 2). horsepower the motor will produce but energy efficiency of the nearest lower The energy efficiency test procedures is a nominal output power at which horsepower equivalent if the motor’s and standards for electric motors are nameplate and catalog performance kilowatt rating is within one percent of established by sections 343(a)(5)(A) and parameters are tabulated. Most motors, that lower horsepower equivalent, and 342(b)(1), respectively, of EPCA. To the they explain, can operate near not be required to meet the efficiency extent possible under EPCA, the
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Section efficiency at section 342(a) of EPCA that Section 431.82(a) of the proposed rule 431.42, Energy efficiency standards and explicitly or implicitly renders the sets forth efficiency labeling effective dates, of the proposed rule, for efficiency standards in section 342(b)(1) requirements for the permanent example, prescribes the EPCA energy inapplicable to motors used in air nameplate of an electric motor. efficiency levels in terms of both conditioning or other equipment Proposed section 431.82(a)(1) and (2), horsepower and equivalent kilowatt covered by section 342(a). requires the nameplate to display the ratings based on IEC Standard 60072–1. Consequently, there is no change in motor’s nominal full load efficiency and Similarly, the definition of ‘‘electric today’s final rule. the Compliance Certification number, motor’’ in section 431.2 of the proposed and states how such information is to be rule uses various descriptive terms in E. Labeling displayed. Proposed section 431.82(a)(3) the definition which are followed by the 1. Statutory Provisions allows the words ‘‘energy efficient,’’ or parenthetical ‘‘IEC’’ as referenced to the the encircled lower case letters ‘‘ee,’’ 11 IEC Standards 60034–1, 60034–12, Section 344(a) of EPCA provides that, or some comparable designation or logo, 60050–411 and 60072–1. Also, sections if the Department has adopted test to be displayed at the manufacturer’s 431.26 and 431.27, which pertain to procedures for a type of ‘‘covered option on a motor that meets the Department of Energy recognition of equipment,’’ such as motors, it must accrediting bodies and certification applicable efficiency standard and prescribe a labeling rule for that compliance certification requirements. programs, cite ISO/IEC Guides 25, equipment. Section 344(b) provides that General requirements for the Section 431.82(b) sets forth the such rule must require disclosure of the competence of calibration and testing requirements for disclosure of motor’s energy efficiency, and may laboratories, 27, Guidelines for information in marketing materials. corrective action to be taken by a require disclosure of estimated Section 431.82(c) proposes that certain certification body in the event of either operating cost and energy use, information be disclosed on import misapplication of its mark of conformity determined in accordance with the test documents. Section 431.82(d) deals to a product, or products which bear the procedures. Section 344(c) authorizes with voluntary compliance with the mark of the certification body being inclusion in the rule of additional aforementioned labeling requirements found to subject persons or property to requirements ‘‘likely to assist for motors that would otherwise not be risk, 28, General rules for a model third- purchasers in making purchasing covered under EPCA. party certification system for products, decisions,’’ such as requirements for a. Use of the Words ‘‘Energy Efficient’’ 58, Calibration and testing laboratory display of the label, providing accreditation systems—General information as to energy consumption, Washington State asserts that ‘‘energy requirements for operation and and disclosing in printed matter efficient’’ is the official NEMA term for recognition, and 65, General efficiency information required to be on motors that meet the requirements of requirements for bodies operating labels. paragraph MG1–12.59 and Table 12–10 product certification systems. There is in NEMA Standards Publication MG1, Section 344(d) of EPCA, 42 U.S.C. ‘‘Motors and Generators.’’ While that no change to such provisions in today’s 6315(d), requires that within 12 months final rule. table currently is identical to section of establishing test procedures, ‘‘the 342(b)(1) of EPCA, it encompasses more 4. Electric Motors as Components of Secretary shall prescribe labeling rules motors than the electric motors covered Systems ** * applicable to electric motors under EPCA. Consequently, use of the Section 342(b)(1) of EPCA, 42 U.S.C. taking into consideration NEMA term ‘‘energy efficient’’ should be 6313(b)(1), imposes efficiency standards Standards Publication MG1–1987.’’ avoided. (WSU/WSD, No. 5 at II.J.). for ‘‘each electric motor manufactured Such rules shall require that electric NEMA recommends that the words (alone or as a component of another motors be labeled to ‘‘(1) indicate the ‘‘energy efficient’’ not be used, even as piece of equipment).’’ Consistent with energy efficiency of the motor on the an option, since the nominal full load the above provision of EPCA, the permanent nameplate attached to such efficiency values, and their associated proposed rule covers every ‘‘electric motor; (2) prominently display the minimum efficiency values, in MG1– motor’’ that is manufactured, regardless energy efficiency of the motor in 1993 are subject to change and, of whether it is manufactured ‘‘alone,’’ equipment catalogs and other material subsequently, could become and then inserted into another piece of used to market the equipment; and (3) inconsistent with the EPCA efficiency equipment, or manufactured ‘‘as a include such other markings as the levels for electric motors. (NEMA, No. component of another piece of Secretary determines necessary, solely 18 at 9.). equipment.’’ to facilitate enforcement of the EPCA requires an electric motor to York International (York) asserts that standards established for electric motors meet a specified level of nominal that standards imposed by section under section 342.’’ efficiency, and does not require an 342(b)(1) of EPCA do not apply to electric motor to be labeled with a motors used as components in certain All of the foregoing provisions are minimum efficiency value. Under the commercial heating, ventilating, and air- subject to section 344(h) of EPCA, 42 NEMA convention, a motor that is conditioning equipment covered by the U.S.C. 6315(h), which states in essence labeled as ‘‘energy efficient’’ must meet energy efficiency standards at section that no labeling rule shall be both a specified nominal efficiency and 342(a) of EPCA. (York, No. 6) promulgated for a type of covered a minimum efficiency associated with Section III.D.3., ‘‘Electric Motors as equipment unless (1) such labeling is that nominal efficiency. In view of the Components of Systems,’’ 61 FR 60451 technologically and economically comments from both Washington State (November 27, 1996), of the preamble to feasible with respect to such class; (2) and NEMA, the Department the proposed rule, addresses concerns significant energy savings will likely understands that confusion could arise from the Air-Conditioning & result from the labeling; and (3) the from allowing the term ‘‘energy Refrigeration Institute similar to those of labeling is likely to assist customers in York. The Department finds no making purchases. 11 See § 431.82(a)(3).
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54133 efficient’’ being used to connote minimum, their review of actual motor (NEMA, Public Hearing, Tr. pg. 180). In compliance with EPCA. Consequently, efficiency from motor testing its written comments, however, NEMA the Department withdraws its proposed laboratories shows that many individual asserts that the location of the use of the term ‘‘energy efficient’’ in motors fall both below the statutory Compliance Certification number section 431.82(a)(3) and (b)(2) of today’s nominal efficiency and the voluntary should be optional to the manufacturer. final rule. minimum efficiency associated with a (NEMA, No. 18 at page 11). particular nominal efficiency. Section 431.82(a)(1)(ii) and (2) of the b. Use of Standardized Nominal Full Washington State believes that rigorous proposed rule requires the Compliance Load Efficiency Values verification of compliance with the Certification number to be marked on As explained in section II.A.7. above, nominal efficiency will reduce the permanent nameplate of an electric NEMA MG1 establishes a logical series occurrences of electric motor efficiency motor. The Department believes that of standard nominal motor efficiencies, falling below the minimum. (UL, No. 9 marking the Compliance Certification from which the motor nameplate at page 2; WSU/WSD, No. 5 at II.G; and number on the permanent nameplate of efficiency marking is selected, to avoid NEMA, Public Hearing, Tr., pg. 180). a covered motor is necessary to help the inference of unrealistic accuracy in Having given this issue further enforce the efficiency standards manufacturing and testing that might be consideration, the Department now established for electric motors under assumed from a potentially infinite believes it may have the authority under section 342 of EPCA, since the number of labeled efficiency values. section 344(c)(2) of EPCA to require permanent nameplate provides the most One commenter queried whether only display of minimum efficiency levels on durable, common location from which the statutory nominal full load labels or in marketing materials. to glean standardized information efficiency values would be allowed on Nevertheless, in light of the comments, concerning the identity of the the electric motor nameplate, or some the Department will not adopt such a manufacturer of that motor, intermediate level of actual efficiency, requirement in today’s final rule. construction data, operational data, as determined by testing that particular energy efficiency data, and other data. d. Display of Nominal Efficiency, motor. (Treffinger, No. 4 at 4.). Also, the Department understands that Compliance Certification Number, ‘‘ee’’ Although the efficiencies stated on most electric motors are often Logo, and Date of Compliance the labels would be standardized values, purchased, sight unseen, through and often would not match precisely the Section 431.82(a)(1) of the proposed catalogs and other marketing materials, test procedure results for the type of rule requires that the permanent and the permanent nameplate is often motor being labeled, the intervals nameplate of an electric motor be not a factor in motor selection. The between standardized values are small, marked with the motor’s nominal full information marked on the permanent and differences among efficiency values load efficiency and the Compliance nameplate would provide some within a given interval are not Certification number supplied by DOE. assurance to a purchaser that it had significant. The Department believes Also, proposed section 431.82(a)(3) received a motor that has been certified that such standardized values accurately provides for optional display of the as complying with EPCA, and provide represent both the energy efficiency of encircled lower case letters ‘‘ee,’’ or traceability that would assist agencies a given motor, and the differences in comparable logo, if the motor both that enforce the energy efficiency efficiency among motors. Consequently, meets the applicable standard and is standards for electric motors under the Department is adopting in today’s covered by a Compliance Certification. EPCA. final rule the proposed requirement that Several commenters support the use The Department believes that the motors be labeled with nominal full of the Compliance Certification number proposed rule provides for the markings load efficiency values which are and the ‘‘ee’’ logo. (Treffinger, No. 4 at necessary to facilitate enforcement, in identical to the standardized values paragraph 6; WSU/WSD, No. 5 at II.J; accordance with section 344(d)(3) of contained in NEMA MG1–1993, Table UL, No. 9, at page 2; ACEEE, Public EPCA, and sees little value in requiring 12–8. Hearing, Tr. Pg. 204; and NEMA, No. 18 the date of compliance on the nameplate at pages 9 and 10; and NEMA, Public of each complying motor, as ACEEE c. Minimum Efficiency Hearing, Tr., pg. 180). UL opines that recommends. This view is supported by In the preamble to the proposed rule, use of the ‘‘ee’’ mark would be a simple NEMA’s assertion that disclosing the at section III.E.2., Information on Motor means to identify a motor that is in date of compliance on shipping Nameplate, the Department considered compliance, but cautions that DOE documents would serve no useful the requirement to display both the would have difficulty controlling its purpose. (NEMA, No. 18 at page 10). nominal and applicable minimum fraudulent use. (UL, No. 9, at page 2). For the above reasons, the Department efficiency on the nameplate of an The Department also received will not require the date of compliance electric motor. For the reasons given, comments concerning the location of to be marked on the nameplate of a the Department stated its belief that it the Compliance Certification number, complying electric motor, and the could not require the minimum and the additional requirement of a date provisions proposed at section 431.82(a) efficiency to be displayed on labels or or other information on the nameplate. for marking an electric motor with the in marketing material. See 61 FR 60452 ACEEE supports display of a CC nominal full load efficiency, the and 53 (November 27, 1996). number, date of compliance, and ‘‘ee’’ Compliance Certification number, and Underwriters Laboratories, Inc., the logo on the nameplate of each the encircled letters ‘‘ee’’ will remain joint comments of WSU/WSD, and complying motor, but asserts that largely unchanged in today’s final rule. NEMA recommend against labeling information beyond that would not (Discussion below at section II.F.4. electric motors with a minimum contribute to enforcement. (ACEEE, further addresses use of the Compliance efficiency value. WSU/WSD assert that Public Hearing, Tr. pg. 204.). In Certification number on motor labels.) the term ‘‘minimum efficiency’’ is testimony, NEMA asserted that the confusing and has ‘‘little basis in motor nameplate should contain the e. Labeling of Motors Not Covered by reality.’’ They assert that, even though nominal efficiency and Compliance EPCA there is popular belief that the Certification number, and that display Section 431.82(d), ‘‘Other motors,’’ of minimum efficiency is a ‘‘guaranteed’’ of a standardized DOE logo be optional. the proposed rule permits a ‘‘non-
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54134 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations covered’’ motor, including a motor considerable burdens on DOE. The determining both the accuracy of the manufactured prior to the effective date Department would have to process any nameplate efficiency, as well as of EPCA for electric motors, to be Compliance Certifications submitted for compliance with the applicable EPCA labeled with the information required or such motors, and address any efficiency value. (NEMA/ACEEE, No. 38 permitted for electric motors, and complaints of mislabeling and of non- at D.) There were no comments to the provides that the ‘‘non-covered’’ motor compliance with efficiency standards contrary. The final rule provides that will then become subject to the and test procedures. This could detract these procedures, including the requirements of 10 CFR Part 431 from the Department’s activities as to proposed sampling plan at section concerning standards, testing, motors and other products that are 431.127(c), will be used to determine certification and enforcement. clearly covered by EPCA. The the validity of labeling representations Mr. W. Treffinger supports retroactive Department does not believe that such for an electric motor, and not just use of the encircled ‘‘ee’’ marking for use of its resources, even if legally whether the motor meets or exceeds the units currently in stock.12 (Treffinger, permitted, is justified at this time. regulatory standard for efficiency. The No. 4 at paragraph 6.). Both NEMA and Second, the Department believes it Department has made necessary ACEEE support use of the encircled would be problematic, under the modifications in the language of section ‘‘ee’’ logo for motors that meet EPCA statutory provisions for enforcement at 431.127(a)(1) and appendix B to subpart efficiency standards, even if such sections 332, 333, and 345 of EPCA as G, and has modified section 431.127(c), motors are manufactured before the to whether DOE could take enforcement Sampling, to read, ‘‘The determination effective date of the standards, or are action and impose sanctions as to a that a manufacturer’s basic model definite or special purpose motors. motor that is not covered under EPCA. complies with the applicable energy (NEMA, Public Meeting, June 2, 1995, Consequently, today’s final rule will not efficiency standard, or with its labeled Tr. pgs. 195–6; NEMA, No. 9 at pg. 13 include the provisions proposed at efficiency, must be based on testing and appendix C, pgs. 11–12; NEMA, No. section 431.82(d) for motors that are not conducted in accordance with the 9 at C.; NEMA, No. 38 at pg. 15; and covered under EPCA, thereby rendering statistical sampling procedures set forth ACEEE, Public Meeting, June 2, 1995, moot the aforementioned comments. in appendix B of this subpart and the Tr. pg. 201.) Washington State asserts Notwithstanding today’s final rule, test procedures set forth in Appendix A that any ‘‘non-covered’’ motor model, the Department understands that the to subpart B of this part.’’ having an enclosure and speed Federal Trade Commission would have equivalent to a covered motor, which jurisdiction, under section 5(a)(1) of the g. Imported Motors bears the ‘‘ee’’ mark should be subject Federal Trade Commission Act, 15 Section 431.82(c) of the proposed rule to the same testing requirements as U.S.C. 45(a)(1), for example, to address would require any electric motor covered motors. (WSU/WSD, No. 5 at efficiency mislabeling of motors not imported into the United States to be II.J.). NEMA expresses concern, covered by EPCA. The Department also accompanied by shipping papers that however, that under proposed section understands that motors not covered disclose clearly the date of the 431.82(d), any motor for which nominal under the statutory definition of Compliance Certification for that motor, efficiency is marked on the nameplate ‘‘electric motor’’ are typically tested for and the applicable Compliance would be classified as an ‘‘electric energy efficiency, in the same manner as Certification number. motor,’’ and that many types of non- covered electric motors, under IEEE NEMA asserts that shipping covered motors are marked with the Standard 112–1996 Test Method B or documents should show the applicable nominal efficiency value. CSA Standard C390–93 Test Method (1), Compliance Certification number(s) for NEMA asserts that classifying a non- and such motors that are not covered the electric motor(s) covered under covered motor as an ‘‘electric motor,’’ could be generically represented as EPCA, for example, ‘‘EPACT CC No. however, should be at the option of the ‘‘energy efficient’’ according to the XXX IMPORTED FOR SALE IN USA.’’ manufacturer, and should only occur voluntary labeling provisions in NEMA NEMA objects to disclosing the date of when the manufacturer uses the MG1–1993, apart from the provisions of the Compliance Certification and energy Compliance Certification number and EPCA. efficiency of the motor or motors on ‘‘ee’’ logo. (NEMA, No. 18 at pg. 10, and import documents. NEMA also asserts f. Enforcement Testing Where Violation No. 38 at pg. 15). that shipping documents should list In section III.E.4., ‘‘Other Matters,’’ in of a Labeling Representation is Alleged motors that are not covered by EPCA the preamble to the proposed rule, 61 The proposed rule could be with the reason they are not covered, for FR 60454 (November 27, 1996), the interpreted as providing that the example, ‘‘DEF. PURPOSE MOTOR Department states that there is merit in enforcement procedures, set forth in EXEMPT FROM EPACT IMPORTED the proposal to permit manufacturers to section 431.27 of the proposed rule, FOR SALE IN USA.’’ (NEMA, No. 18 at use the encircled ‘‘ee’’ logo for motors would be used only to address pages 9 and 10, and exhibits B, C, and that meet EPCA efficiency standards, allegations of non-compliance with the D). even if such motors are manufactured applicable regulatory standard for Proposed section 431.82(c), was before the effective date, or are definite efficiency. In the reopening notice, at intended to aid the U.S. Customs or special purpose motors. However, Section II.D., Enforcement Testing Service in preventing entry into the after further review, the Department has Where Violation of a Labeling United States of motors that do not decided to exclude proposed section Representation Is Alleged, 63 FR 34765– comply with EPCA. In discussions with 431.82(d) from the final rule. First, 66 (June 25, 1998), DOE stated its the Department, however, the Customs monitoring whether ‘‘non-covered’’ intention to make clear in the final rule Service has raised questions as to motors meet requirements imposed by that the enforcement procedures would whether the provisions of proposed and under EPCA could impose also apply in determining whether the section 431.82(c) would help them. labeled efficiency rating for a motor is Consequently, the Department had 12 The Department infers that ‘‘units currently in erroneous, and the reopening notice decided to delay final action on this stock’’ refers to motors manufactured prior to the section until it has had further effective date of EPCA, and that would be covered sought comments on this issue. equipment if they had been manufactured after The ACEEE and NEMA support use of consultations with Customs. The such effective date. the enforcement procedures for Department intends to include in those
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54135 discussions the subject of requirements distribution of a non-complying motor population of motors of the same for imported motors not covered by manufactured before the applicable design. Pursuant to sections 431.2 and EPCA. Therefore, today’s final rule date. Consequently, the Department has 431.24 of the proposed and final rules, includes no provisions concerning not added to proposed section ‘‘average full load efficiency’’ refers to import documents. 431.123(a) the language ‘‘manufactured the average of the individual efficiencies after October 24, 1997’’ to qualify the of such a population of motors, h. Weights of Conductors and Magnetic term ‘‘electric motor,’’ as suggested by determined through testing or use of an Materials NEMA (NEMA, No. 18, p. 12), because AEDM. Section 431.123(b)(2)(i) of the One commenter proposed that the to do so would create a redundancy. proposed rule requires that the motor nameplate list the weight of the The following addresses issues Compliance Certification report the copper or aluminum conductors used in concerning the content and format of average full load efficiency of an electric the motor, and the weight of the the Compliance Certification, and motor, as is designated on the sample magnetic iron used in the construction concerning issuance and use of Compliance Certification in appendix A of the motor. (Angelo Ruggiero, No. 17.). Compliance Certification numbers. to subpart G of part 431. The Department understands that a Reliance Electric encourages the 1. Reference to Certification Programs relationship exists between the Department to modify this requirement, efficiency of an electric motor and the The Compliance Certification form in so that the efficiency value to be quantity and quality of active materials, Appendix A of subpart G in the reported is the declared ‘‘nominal full such as copper and magnetic steel, used proposed rule includes tables for load efficiency’’ and not the ‘‘average in the motor. In the Department’s view, reporting the efficiencies of electric full load efficiency.’’ Reliance states this marking the measured weight of copper, motors. A ‘‘Note’’ to the tables, 61 FR would be consistent with both the aluminum, or magnetic steel content for 60474 (November 27, 1996), directs instructions in the Note on the a particular basic model electric motor manufacturers to ‘‘place an asterisk Compliance Certification, and the might provide some indication of motor beside each reported nominal full load efficiency which is marked on the efficiency, but it would be of limited efficiency that is determined by actual motor, rather ‘‘than a value of efficiency value because it is only one of several testing rather than by application of an not found in any publication, database, variables affecting efficiency that could alternative efficiency determination or on the motor itself.’’ (Reliance, No. 11 also be marked on the nameplate of a method.’’ Reliance Electric encourages at pg. 7) motor. On the other hand, marking of all the Department to modify the The Department recognizes that of these values on the nameplate would Compliance Certification in appendix A ‘‘nominal full load efficiency’’ is used in be very burdensome and might not be of subpart G to also include EPCA, and has been in use by industry, technically feasible. Therefore, the identification of motors for which a to represent the energy efficiency of a Department does not believe that it certification organization was used. motor. Moreover, as indicated in should require such markings under (Reliance, No. 11, pp. 6–7; Reliance No. Section II.A.7. above, the definition of section 344 of EPCA and the final rule 47). ‘‘nominal full load efficiency’’ in today’s contains no such requirement. Whether a manufacturer uses its own final rule is based on the Department’s accredited laboratory, a third party acceptance of the view that the F. Certification of Compliance accredited laboratory or a certification measured average full load efficiency of EPCA directs the Department to program, the manufacturer bears a motor could sometimes overstate the require manufacturers to certify that ultimate responsibility for certifying motor’s efficiency, and could contain each motor meets the applicable EPCA compliance under 431.123 of the rule. fractional values that would suggest an efficiency standard. EPCA section The Department believes that there is no unrealistic degree of precision in 345(c). 42 U.S.C. 6316(c). Section need to specify that a certification determining efficiency. The Department 431.123 of the proposed rule establishes program is contributing to the also believes at this point that its receipt the requirements for manufacturers to determination, since the manufacturer is of average full load efficiency figures in certify compliance, including a listed on the Compliance Certification. Compliance Certifications would not reference to Appendix A of subpart G, Consequently, in today’s final rule the significantly aid in achieving which sets forth the format for a Department will not require the compliance with EPCA. For all of these Compliance Certification. 61 FR 60371, Compliance Certification to identify reasons, today’s final rule requires 60473–60474 (November 27, 1996). motors for which a certification nominal full load efficiency to be The first sentence of proposed Section organization was used. reported under section 431.123(b)(2)(i), 431.123(a) states that no electric motor and on the sample Compliance 2. Nominal Versus Average Full Load ‘‘subject to an energy efficiency Certification in appendix A to subpart G Efficiency standard set forth in subpart C of this of the final rule. part’’ may be distributed unless it is Each efficiency standard prescribed covered by a Compliance Certification. by EPCA for an electric motor is a 3. Other Information To Be Reported Thus, because proposed section 431.42 specified minimum ‘‘nominal full load As indicated above, the proposed in subpart C provides that only electric efficiency.’’ EPCA section 342(b)(1), 42 Appendix A to Subpart G provides for motors manufactured after October 24, U.S.C. 6313(b)(1). The preamble to the reporting the efficiencies of electric 1997 (or October 24, 1999 for certain proposed rule, in section III.E.2., motors. Specifically, pursuant to motors) are subject to standards, the ‘‘Information on Motor Nameplate,’’ proposed section 431.123(b)(2)(i), proposed rule as written would require discusses nominal full load efficiency as Appendix A’s ‘‘Attachment to a Compliance Certification to be the efficiency that industry currently Compliance Certification’’ submitted only for an electric motor marks on the motor nameplate, and that (‘‘Attachment’’) contains two tables (one manufactured after whichever of the the Department will require be on the for motors rated in horsepower and the two dates applies to that motor. 61 FR nameplate. ‘‘Nominal full load other for motors rated in kilowatts) for 60469–70 (November 27, 1996). For the efficiency’’ is defined in the rule at reporting the efficiency of the least same reason, proposed section section 431.2 as being derived from the efficient basic model within each 431.123(a) would not bar the ‘‘average full load efficiency’’ of a category for which EPCA prescribes a
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54136 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations minimum efficiency. The purpose of testing undertaken to comply with the motor’s efficiency. (Leeson, Public these tables is to enable a manufacturer DOE regulation. Accordingly, the term Hearing, Tr., pgs. 191–92). GE Motors or private labeler support its is deleted from the heading of the fourth recommends that the name on the certification of compliance, by reporting column. Finally, in today’s final rule the nameplate be consistent with the motor efficiencies which show that the Department has changed the title of this Compliance Certification number. (GE, least efficient basic model in each table to ‘‘Models Actually Tested and Public Hearing, Tr. pg. 192–93). category is at or above the EPCA Not Previously Identified’’, as suggested The Department understands that a standard for that category. by Reliance. Reliance points out that the motor manufacturer could manufacture As also described above, the Note to title in the proposed rule, ‘‘Additional a motor for sale (1) under its own name, the Attachment directs that an asterisk Motors Actually Tested’’, erroneously (2) by another motor manufacturer, (3) identify each reported efficiency that is assumes that the table for reporting by a private labeler, or (4) by any determined through testing rather than motor efficiencies will identify at least combination of these three means. For use of an AEDM. The Note also directs one basic model that has been tested. reasons of contractual obligation or listing of other basic models that have 4. Compliance Certification Number product differentiation, a motor been tested, and the Attachment manufacturer might not want to indicate contains a table for providing such a Section 431.123(e), Response to on a motor nameplate or in marketing list. 61 FR 60474. These provisions were Certification; Certification Number for materials that, for example, its Motor A intended to implement section Electric Motor, in the proposed rule, and competitor’s Motor A are both made 431.123(b)(2)(ii), which requires that the requires DOE to provide an by the competitor. Similarly, a company Compliance Certification identify all identification number to each owning a private label might not want basic models that have been tested manufacturer or private labeler to to disclose the identity of the motor pursuant to section 431.24. (Such signify compliance with section manufacturer on its motor nameplate or 431.123, Compliance Certification. testing occurs either (1) to determine a in marketing materials for economic or Section 431.82(a)(1)(ii), Electric motor basic model’s efficiency for purposes of marketing reasons, such as using a nameplate, in turn, requires the certifying its compliance to DOE and of variety of manufacturers to supply the manufacturer to display the Compliance labeling or (2) to substantiate an AEDM.) same type motor, or maintaining the Certification number (‘‘CC number’’) on Identification of these basic models focus of recognition on its private label the permanent nameplate of the electric would indicate whether five or more to the exclusion of identifying the motor. (As written, the proposed rule basic models were tested, as is generally source of the motor. On the other hand, does not allow for a ‘‘private labeler’s’’ required by section 431.24. The because of contractual or other Compliance Certification number to be Attachment is not intended to require a considerations, a private labeler or a marked on the nameplate.) The manufacturer to report to DOE manufacturer selling a motor made by efficiency tests it performs for other Department believes that such a number another manufacturer, might wish to purposes, such as quality control. is necessary to help enforce the include on the motor’s nameplate the Reliance suggests certain changes in efficiency standards, under section the tables of the Attachment. (Reliance 344(d) of EPCA, because it would CC number of the firm that No. 47) First, it recommends that the provide traceability directly to the manufactured the motor. two tables for reporting motor manufacturer or private labeler, and The Department is persuaded that the efficiencies be combined into one, with would discourage distribution of non- final rule should allow a private labeler, the title of the first column to be ‘‘Motor complying motors. or a manufacturer distributing a motor horsepower/kilowatts.’’ The Department NEMA and ACEEE recommend that it did not manufacture, to mark a motor believes that combining the two tables one number be assigned to each with its own CC number or the number would simplify the format of the manufacturer, unless the manufacturer of the motor’s manufacturer. Use of the attachment, reduce in some instances requests additional numbers. (NEMA, CC number is intended to discourage the amount of information that would No. 18 at page 11; and NEMA/ACEEE, distribution of non-complying motors, have to be reported, and still provide No. 38 at pages 16 and 17). Also, NEMA to provide a marking to identify a motor the necessary information for certifying recommends that each manufacturer that has been certified to be in compliance. Consequently, the marketing an electric motor under its compliance with 10 CFR Part 431 and Attachment in the final rule combines own name receive its own CC number, to identify the source of the Compliance these two tables as recommended by and that a private labeler should have Certification, not necessarily to identify Reliance. Second, in the table for listing the option to receive its own number, or the manufacturer to the consumer. other basic models that have been arrange to use a manufacturer’s number. The proposed rule would already tested, the heading of the fourth column (Public Hearing, Tr., pg. 180). permit (1) a private labeler to mark a refers to the ‘‘least efficient basic Leeson Electric asserts that a CC motor’s nameplate with the model.’’ Reliance points out that this number on the nameplate should manufacturer’s CC number, and (2) a seems to call for reporting on the same identify the party responsible for the manufacturer distributing a motor it had basic models that would be included in energy efficiency of that motor. Leeson not manufactured to use either its own the aforementioned table for reporting conjectures, for example, that it could CC number or the number of the efficiencies, and would not provide for design and test a motor for efficiency, manufacturer. The final rule provides identification of more efficient basic and through contractual arrangements likewise. In light of the foregoing models that had been tested to have another manufacturer produce that discussion, however, proposed section substantiate an AEDM. On this point as motor complete with a Leeson 431.82(a)(1)(ii) is revised in the final well, the Department agrees with nameplate and traceable to Leeson. rule to permit a private labeler to use its Reliance’s comments. The Department Alternatively and with proper own CC number. DOE does not believe erroneously included the term ‘‘least arrangements, Leeson conjectures that it that any purpose would be served by efficient’’ in this table, and its retention could manufacture a motor using requiring the CC number on a motor to would prevent the table from serving its someone else’s design and number. In be the number provided to the party intended purpose of assuring that the either case, the CC number should named on the motor nameplate, as Compliance Certification identifies all identify a party responsible for the apparently recommended by GE Motors.
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As to the issuance of more than one to the U.S. Customs Service and any although relevant to motors that are CC number to a manufacturer (or private other enforcement agencies. covered, are irrelevant to issues of motor labeler), in the Department’s view this efficiency, or do not concern any of the G. Other Matters would be warranted only in limited matters, discussed above, on which circumstances. Although the 1. Standards Incorporated by Reference EPCA directs that MG1 be followed. commenters that made this proposal Section 340(13)(A) of EPCA, which Rather they concern subjects such as gave no reasons for it, it appears that a defines the term ‘‘electric motor,’’ states aspects of the construction and manufacturer or private labeler that that the terms in that definition shall be performance of motors that do not bear distributes motors under different brand used ‘‘as defined in NEMA Standards upon the definition of ‘‘electric motor,’’ the test procedures for measuring names, trademarks or labels, might wish Publication MG1–1987.’’ Under section efficiency, or determination of nominal to obtain more than one number to 340(13)(H) of EPCA, ‘‘nominal full load efficiency. Thus, to incorporate all of preserve the separate identities of these efficiency’’ is an average efficiency ‘‘as MG1 into the final rule would result in motors. The Department believes that, determined in accordance with’’ NEMA the rule’s containing a considerable in such a situation, a manufacturer or MG1–1987. Section 343(a)(5) of the Act amount of material that is irrelevant to private labeler should be permitted to requires that testing procedures for compliance with EPCA. Moreover, MG1 obtain a CC number that would apply to motor efficiency shall be the test is a sizable volume. If it were motors it distributes under a name that procedures specified in NEMA incorporated into the final rule, a does not overlap with other names Standards Publication MG1–1987, substantial amount of material would under which it sells motors. Issuance of unless those are amended. become part of the rule, and the First, consistent with the EPCA more than one CC number under other Department would have to have directive that the definition of ‘‘electric circumstances, however, would be complete copies of this material motor’’ be based on NEMA MG1, section unnecessarily burdensome to the available for inspection both at the Department, and could conflict with the 431.2 of the proposed rule states, for the Federal Register and the Department. use of the CC number as a means of most part, that the terms used to define For all of these reasons, the final rule discouraging distribution of non- ‘‘electric motor’’ shall be construed with does not incorporate by reference the complying motors and readily reference to provisions in the NEMA entirety of MG1. identifying the source of the Standards Publication MG1–1987. 61 FR The final rule, however, particularly Compliance Certification. Thus, for 60466 (November 27, 1996). In addition, in the definition of ‘‘electric motor,’’ example, if Company XYZ, a motor section 431.2 of the proposed rule refers to MG1 more extensively and manufacturer or private labeler, sells defines the term ‘‘general purpose’’— with greater specificity than does the electric motors under the ‘‘XYZ’’ brand one element in the EPCA definition of proposed rule. Moreover, the final rule name or label, and also under the ‘‘electric motor’’—by reference to the incorporates by reference all of the MG1 ‘‘ABC’’ brand name or label, it should be service conditions specified in NEMA provisions referred to in the rule. As permitted to obtain one CC number for MG1 paragraph 14.02, ‘‘Usual Service indicated above, the proposed rule each of these labels or brand names. But Conditions.’’ states only that terms in the ‘‘electric it should not be permitted, for example, Second, consistent with section motor’’ definition that are not defined in to obtain one CC number for motors sold 340(13)(H) of EPCA, the proposed rule the rule or with reference to IEC under the ‘‘XYZ Premium’’ or ‘‘XYZ’’ defines ‘‘nominal full load efficiency’’ standards, ‘‘shall be construed with label, and another for motors sold under with reference to Table 12–8 of NEMA reference to * * * MG1–1987.’’ 61 FR the ‘‘XYZ Standard’’ or ‘‘XYZ/ABC’’ MG1–1993. 60466 (November 27, 1996). The final label. Accordingly, section 431.123(c) Third, consistent with the EPCA rule specifically identifies each such and provisions in section 431.123(f) directive that the test procedures be term that is defined in MG1, cites the have been added to the final rule to those specified in NEMA MG1, section provision or provisions of MG1 allow a manufacturer or private labeler 431.22(a)(2)(i) of the proposed rule, containing the definition, and states that to request and obtain a separate CC Reference sources, incorporates by the term must be construed with number for any unique name under reference NEMA MG1 with Revision 1, reference to the cited provision or which it distributes electric motors. paragraph 12.58.1, ‘‘Determination of provisions. Motor Efficiency Losses’’, and Table 12– All of these references are to Underwriters Laboratories contends 8, ‘‘Efficiency Levels.’’ 61 FR 60466 provisions of MG1–1993 with Revisions that a database of information related to (November 27, 1996). 1–4. Several of the referenced the Compliance Certification number Among the comments received provisions (e.g., paragraphs 1.16.1, 4.01 will be needed for use by enforcement concerning the proposed rule were and 12.40.1) contain differences in agencies, such as the U.S. Customs requests from NEMA and ACEEE that numbering, language, or format, but not Service. Otherwise, motors could be the Department make reference to the substance, from the corresponding labeled as being in compliance even complete NEMA MG1, including provisions of MG1–1987. Referencing though they have not been certified updates through Revision 4 (June 1997), these MG1–1993 paragraphs in the final under section 431.123 and appendix A since they provide the details necessary rule raises no issue as to the rule’s to subpart G. (UL, No. 9 at page 2.). The to understand other requirements of the conformity with EPCA’s requirement Department is likewise concerned about definition of electric motor, such as that terms in the definition of electric keeping records of Compliance Design A and B characteristics. (NEMA, motor be used ‘‘as defined in MG1– Certification that would facilitate No. 18 at pg. 5; and NEMA/ACEEE, No. 1987.’’ The final rule’s references to enforcement. As with compliance 38 at pg. 14.) paragraphs 11.31, 11.34 and 11.36 of statements and certification reports filed The Department believes it is MG1–1993, however, to construe the with the Department of Energy under 10 inappropriate and impractical to term ‘‘NEMA T-frame dimensions,’’ CFR 430.62, Submission of data, for incorporate into the final rule the specifically exclude the dimension residential appliances, the Department entirety of NEMA MG1. Many parts of values in those paragraphs for motors intends to maintain such files for MG1 concern motors that are not with frame sizes 447 and 449. These electric motors. These will be available covered by EPCA. Other parts of MG1, values were not included in MG1–1987
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00025 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54138 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations and these motors were not considered to The Department believes that NEMA 1. (The fourth term is construed with be NEMA T-frame motors under MG1– has misconstrued the proposed rule. reference to certain provisions of 1987. Proposed section 431.122(b) provides, Standard 34–1.) The final rule revises In an additional departure from MG1– and DOE intends, that distribution of the definition of ‘‘electric motor’’ to 1987, paragraph 11.31 of MG1–1993 ‘‘each unit’’ of an electric motor that reference the current versions of these does not contain values for the ‘‘Bmax’’ fails to comply with the applicable provisions. In addition, because they dimension—the maximum sizes for the EPCA efficiency standard would be a must be used to construe the terms used ‘‘B’’ dimension. Consequently, MG1– separate violation. Thus, for example, if in the definition, section 431.22 of the 1993 appears to define ‘‘T-frame’’ more a manufacturer were to distribute 1,000 final rule incorporates these provisions broadly than it was defined in MG– motors that do not meet the applicable by reference. The Department has also 1987, and to increase the number of standard, that would constitute 1,000 added a definitions of ‘‘ISO’’— motors that meet the T-frame violations, and the total penalty would ‘‘International Organization for classification. The Department be $100,000 ($100 times 1,000). Standardization’’—to section 431.2 of understands, however, that even while In this and other respects, proposed the final rule, because of the many operating under MG1–1987, the section 431.122 closely adheres to the references to ISO in the rule. industry widely ignored the Bmax EPCA provisions that delineate dimension, considered motors with B violations of efficiency requirements, b. Use of Term ‘‘Energy Conservation dimensions in excess of Bmax to be T- and penalties for such violations. In Standard’’ frame, and did not view Bmax as critical particular, sections 332(a), 333(a), and Part C of EPCA, which governs this in defining what constituted a T-frame 345(a) of EPCA provide that a separate final rule, uses the term ‘‘energy motor. Thus, MG1–1987 as applied violation occurs, (1) for ‘‘each violation’’ conservation standard’’ to refer to a excluded the Bmax dimension, and of the prohibition against distributing level of energy efficiency required under when the ‘‘electric motor’’ definition any new covered equipment that does Part C. See EPCA section 340, 42 U.S.C. was added to EPCA, in 1992, ‘‘T-frame, not conform to an applicable EPCA 6311. In the final rule, therefore, that * * * motor * * * as defined in MG1– standard, and (2) for ‘‘each day’’ a term is used in place of the term 1987’’ meant a motor with T-frame manufacturer fails to provide required ‘‘energy efficiency standard’’, as for dimensions without regard to Bmax. For information, or comply with certain example in sections 431.41 and 431.42. these reasons, the final rule references requirements of section 326 of EPCA. c. Preemption of State Regulations and incorporates paragraph 11.31 of Those sections do not provide that each MG1–1993 without altering its day of noncompliance with an Section 431.43 of today’s final rule exclusion of the Bmax dimension. applicable standard is a violation, as concerns preemption of state energy Finally, the final rule retains the NEMA recommends. It is questionable, efficiency requirements for electric proposed rule’s references to MG1–1993 therefore, whether the Department motors. It contains, with minor in the definitions of ‘‘general purpose’’ could adopt such a provision in today’s technical modifications, the language of and ‘‘nominal full load efficiency’’, and regulations. Nor is such a provision in 10 CFR section 430.33, which concerns adds references to MG1–1993’s 10 CFR section 430.61, which preemption of state efficiency description of ‘‘unusual service implements these same sections of requirements for products covered by conditions’’ in the definitions of EPCA for consumer products. The Part 430. Similarly, section 431.83 of ‘‘definition purpose motor’’ and Department sees no basis at this time for today’s final rule concerns preemption ‘‘general purpose.’’ With respect to the taking a different approach in Part 431. of state efficiency labeling requirements test procedure, the final rule also retains Accordingly, today’s rule does not for electric motors. It contains, with the proposed rule’s references to MG1– incorporate NEMA’s suggestion that minor technical modifications, the 1993 but adds references to Revisions 1– each day of noncompliance with an language of 16 CFR section 305.17, a 4. applicable standard would be a separate Federal Trade Commission regulation that concerns preemption of state 2. Enforcement: Determining What violation. labeling requirements for products Constitutes a ‘‘Separate Violation’’ 3. Technical Corrections covered by Part 430. Neither section Sections 332, 333(a) and 345(a) of Today’s final rule makes a number of 431.33 nor section 431.83 was in the EPCA, 42 U.S.C. 6302, 6303(a) and changes to the proposed rule that do not proposed rule, but each merely 6316(a) set forth actions that violate alter the substance or intended effect of incorporates pre-emption requirements EPCA requirements for electric motors, the rule. These changes, for example, specified by sections 327 and 345 of and the penalties associated with each expand or correct references, conform EPCA and neither changes the violation. Section 431.122, Prohibited language in the rule to statutory substance, force or effect of the acts, in the proposed rule incorporates language, or clarify the language of the provisions of the proposed rule. and implements these provisions. It rule. They are as follows: provides in paragraph (b) that, for each d. Provisions Incorporated from Part 430 motor a manufacturer distributes that a. References to International Standards Sections 431.28, 431.61, 431.125, does not comply with applicable The definition of ‘‘electric motor’’ at 431.126, 431.128, 431.129, 431.130, efficiency standard, a separate violation section 431.2 of the proposed rule states 431.131, and 431.132 of the proposed occurs. NEMA questions whether the that four terms in the definition shall be rule incorporate sections of 10 CFR Part Department intends ‘‘that the total construed with reference to IEC 430. These proposed sections do not penalty for distribution of a non- Standard 34–1. 61 FR 60465–66 repeat the language of the Part 430 compliant motor be limited to $100,’’ (November 27, 1996). The Department provisions, but merely specify the and recommends that distribution of a has determined that three of these changes that must be made in that motor that does not comply with the terms—‘‘cage,’’ ‘‘IEC metric equivalents language when it is used in Part 431. applicable efficiency standard be a [to T-frame dimensions]’’ and ‘‘Design NEMA requests that the language of separate violation for each day of N’’—must instead be construed with these sections be printed in full in Part noncompliance. (NEMA, No. 18 at pgs. reference to certain provisions in three 431, so that Part 431 will be self- 10–11; emphasis added.) IEC standards other than Standard 34– contained, and its users will not have to
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00026 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54139 consult Part 430 to find pertinent such as sections 343(d)(1) and 344(b), 42 C. Review Under the Regulatory requirements. (NEMA, No. 18 at pg. 13). U.S.C. 6214((d)(1) and 6215(b), and as Flexibility Act Today’s final rule accepts NEMA’s recognized in other provisions of the This rule was reviewed pursuant to suggestion, and contains the language of final rule such as sections 431.24 and the Regulatory Flexibility Act of 1980, 5 each of these sections in full. This 431.82(a), the test procedures in the U.S.C. 601 et seq., which requires the results in no substantive change from final rule must be used to measure an preparation of an initial regulatory the proposed rule. electric motor’s efficiency for all flexibility analysis for every rule which e. Amount of Penalty purposes under EPCA. Section 431.23 of by law must be proposed for public the final rule has been revised to make comment, unless the agency certifies Section 345(a) of EPCA, 42 U.S.C. this clear. 6316(a), applies the civil monetary that the rule, if promulgated, will not penalty provisions of Section 333(a) of Language has been added to section have a significant economic impact on EPCA, 42 U.S.C. 6303(a), to electric 431.124, Maintenance of records, to a substantial number of small entities. A motors. Section 333(a) provides for a make clear that a manufacturer must regulatory flexibility analysis examines maximum civil penalty of $100 for each keep records of any written certification the impact of the rule on small entities violation of an EPCA requirement. As it receives from a certification and considers alternative ways of proposed, section 431.122(b) organization and relies upon under the reducing negative impacts. The incorporated the provisions of section Part 431. The manufacturer’s record- Department included an analysis of 333(a), including the $100 penalty. keeping obligation is not be limited to small entity impact in the NOPR, 61 FR Subsequent to issuance of the proposed certifications that attest to a motor’s 60460–61 (November 27, 1996). In rule, the Department adjusted civil compliance with the applicable summary, DOE estimates there are monetary penalties under its standard, as suggested by the proposed approximately 27 domestic firms and 14 jurisdiction, as required by the Federal rule. A manufacturer also must keep, for foreign firms that manufacture electric Civil Penalties Inflation Adjustment Act example, certifications in which a motors covered under EPCA. Of these of 1990, 28 U.S.C. 2461 note, as certification organization attests to the firms, DOE estimates there are four to amended by the Debt Collection numerical efficiency ratings of six electric motor manufacturers that are Improvement Act of 1996 (Pub. L. 104– particular motors. This is consistent small businesses under the size 134). 62 FR 46181 (September 2, 1997). with the understanding of the standards published by the Small The Department increased to $110 the Department and the industry that Business Administration. The NOPR penalty amount specified by section certification organizations do not merely analysis examined the anticipated 333(a). This increase was reflected in an certify a motor’s compliance with a economic impact of the proposed rule amendment to 10 CFR section 430.61. standard, but also certify its level of on small manufacturers, taking into 62 FR 46181, 46183 (September 2, performance. 61 FR 60457 (November account current industry practices and 1997). Accordingly, DOE has adjusted 27, 1996), section II.C.1–3 above, steps taken in the design of the rule to the penalty amount in section Reliance No. 11 at p. 7, NEMA No. 38 keep the testing burden on manufacturers as low as possible. DOE 431.122(b) of the final rule to at p. 5. incorporate the $110 penalty, to reflect concluded that the cost of complying the increase in all civil penalties set by III. Procedural Issues and Regulatory with the rule (excluding the cost of EPCA. Review compliance with the energy efficiency standards and test procedures directly f. Prohibited Acts—Section 431.122 A. Review Under the National imposed by EPCA) would not impose Environmental Policy Act Proposed section 431.122(a)(4) significant economic costs on a provides that it would be a prohibited This rule was reviewed for significant number of small act under EPCA to advertise in a catalog environmental impacts and the manufacturers. from which an electric motor can be Department concluded that neither an Only Sterling Electric, Inc. submitted comments concerning the possible effect purchased without including in the environmental assessment nor an of the proposed rule, and in particular catalog the information ‘‘required by environmental impact statement is its provisions pertinent to sampling section 431.82(b)(2).’’ This section required. 61 FR at 60460. There were no plans and compliance certification, on reference is erroneous. It is section comments on this issue. Therefore, the small business. (Sterling, No. 13). 431.82(b)(1), rather than Section Department will take no further action Sterling Electric requested that the 431.82(b)(2), that requires inclusion of in today’s final rule with respect to the Department ‘‘keep the small certain information in catalogs. National Environmental Policy Act. Therefore, in the final rule, the section manufacturer in mind’’ as the final rule cited in section 431.122(a)(4) is B. Review Under Executive Order 12866, is written and recommended (1) ‘‘more corrected to 431.82(b)(1). ‘‘Regulatory Planning and Review’’ than one choice selecting an agency to The final rule also adds to paragraph either certify and/or accredit labs,’’ and (c) of section 431.122 the definition of This regulatory action was reviewed (2) ‘‘a simple statistical procedure’’ to ‘‘knowingly’’ that is contained in pursuant to Executive Order 12866, verify that its electric motors are in section 333(b) of EPCA. ‘‘Regulatory Planning and Review,’’ compliance with EPCA efficiency levels. October 4, 1993. The Department The Sterling comments are addressed g. Language Changes in Sections 431.23 concluded that this action was not at sections II.C.2. ‘‘Issues involving both and 431.124(a) subject to review under the Executive use of accredited laboratories and use of As proposed, section 431.23 could Order by the Office of Information and certification organizations,’’ and give the impression that the test Regulatory Affairs. There were no II.C.4.c.(1), ‘‘Sampling Plan for procedures prescribed in the regulation comments concerning Executive Order Compliance Testing,’’ in the preamble to are mandatory only for determining 12866. Therefore, the Department will today’s final rule. In sum, today’s final whether a motor satisfies the applicable take no further action in today’s final rule at section 431.25(a) allows a energy conservation standard. However, rule with respect to Executive Order manufacturer to certify compliance as demonstrated by EPCA provisions 12866. through its election of either an
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Furthermore, and as With respect to the review of existing necessary for implementing and regulations and the promulgation of pointed out in the Department’s monitoring compliance with the regulatory flexibility analysis, 61 FR new regulations, section 3(a) of efficiency standards, testing, labeling Executive Order 12988, ‘‘Civil Justice 60461 (November 27, 1996), the and certification requirements for compliance certification requirement Reform,’’ 61 FR 4729 (February 7, 1996), electric motors, as mandated by EPCA. imposes on executive agencies the would not become effective until 24 The Department set forth its analysis, months after the effective date of the general duty to adhere to the following under the Paperwork Reduction Act, in requirement: (1) eliminate drafting final rule. As per its analysis in the the NOPR, 61 FR 60462 (November 27, NOPR, and in view of the Department’s errors and ambiguity; (2) write 1996). regulations to minimize litigation; and response to the aforementioned The recordkeeping and reporting comments from Sterling Electric, the (3) provide a clear legal standard for requirements in the proposed rule, such affected conduct rather than a general Department certifies that today’s final as disclosing energy efficiency on the rule will not impose significant standard and (4) promote simplification nameplate of a motor and in marketing and burden reduction. economic costs on a substantial number materials, maintaining records that of small manufacturers. With regard to the review required by substantiate the efficiency of an electric section 3(a), section 3(b) of the D. Review Under Executive Order motor for two years, and a one-time Executive Order specifically requires 12612, ‘‘Federalism’’ Compliance Certification that affirms that Executive agencies make every that each basic model meets the reasonable effort to ensure that the This rule was reviewed pursuant to applicable EPCA efficiency standard, regulation: (1) Clearly specifies the Executive Order 12612, ‘‘Federalism,’’ were based on current industry practice preemptive effect, if any; (2) clearly 52 FR 41685 (October 30, 1987), which and the views of stakeholders received specifies any effect on existing Federal requires that regulations, rules, at a public meeting held in May 1995, law or regulation; (3) provides a clear legislation, and any other policy actions in written comments solicited in the legal standard for affected conduct be reviewed for any substantial direct notice of that meeting, and in while promoting simplification and effect on States, on the relationship subsequent informal contacts. burden reduction; (4) specifies the between the National Government and Comments relevant to the information retroactive effect, if any; (5) adequately States, or in the distribution of power and recordkeeping requirements that defines key terms; and (6) addresses and responsibilities among various were considered under the Paperwork other important issues affecting clarity levels of government. Reduction Act, such as comments on and general draftsmanship under any The Department set forth its analysis labeling, disclosure of efficiency guidelines issued by the Attorney in the NOPR, 61 FR 60461–62 information in marketing materials, General. Section 3(c) of the Executive (November 27, 1996), and concluded compliance certification and Order requires Executive agencies to that the proposed rule would not alter recordkeeping, were submitted by review regulations in light of applicable the distribution of authority, nor would NEMA, Reliance Electric, Underwriters standards in section 3(a) and section it regulate the States. There were no Laboratories, and the American Council 3(b) to determine whether they are met comments concerning Executive Order for an Energy Efficient Economy, and or it is unreasonable to meet one or 12612. Therefore, the Department will were addressed in the NOPR, 61 FR more of them. DOE reviewed today’s take no further action in today’s final 60451–54; 60458–59 (November 27, final rule under the standards of section rule with respect to Executive Order 1996). (NEMA, No. 9 at C., D. and D.3.; 3 of the Executive Order and 12612. Reliance, No. 8 at 3.b.3, 3.c. and 3.d.1; determined that, to the extent permitted UL, No. 4 at Labeling; ACEEE, No. 7 at by law, they meet the requirements of E. Review Under Executive Order 12630, 3.c). Subsequent comments concerning those standards. ‘‘Governmental Actions and the information and recordkeeping Interference With Constitutionally requirements at proposed sections H. Review Under Section 32 of the Protected Property Rights’’ 431.24(b)(4)(ii), 431.82, 431.123 and Federal Energy Administration Act appendix A to subpart G, and 431.124 Pursuant to section 301 of the The Department determined, 61 FR in the proposed rule, were addressed Department of Energy Organization Act 60462 (November 27, 1996), pursuant to above (Treffinger, No. 4; WSU/WSD, No. (Pub. L. 95–91), the Department of Executive Order 12630, ‘‘Governmental 5; UL, No. 9; Ruggiero, No. 17; and Energy is required to comply with Actions and Interference with NEMA, No. 18). Commenters were, in section 32 of the Federal Energy Constitutionally Protected Property general, supportive of the proposed rule. Administration Act of 1974 (FEAA), as Rights,’’ 52 FR 8859 (March 18, 1988), The information collection and amended by the Federal Energy that this regulation would not result in recordkeeping requirements in this final Administration Authorization Act of any takings which might require rule have been approved by the Office 1977. 15 U.S.C. 788. compensation under the Fifth of Management and Budget (OMB) The final rule incorporates a number Amendment to the United States under the provisions of the Paperwork of commercial standards that are Constitution. Reduction Act of 1995 (44 U.S.C. 3501 essentially required by the Act. For There were no comments concerning et seq.) and have been assigned OMB example, the procedures required for Executive Order 12630. Therefore, the control number 1910–5104. OMB measuring the efficiency of electric Department will take no further action assigns a control number for each motors come from the NEMA in today’s final rule with respect to collection of information it approves. publication, ‘‘Motors and Generators,’’ Executive Order 12630. DOE may not conduct or sponsor, and MG1–1993 Revisions 1 through 4; the
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Institute of Electrical and Electronics Issued in Washington, DC, July 26, 1999. Subpart FÐ[Reserved] Engineers, Inc., ‘‘Standard Test Dan W. Reicher, Subpart GÐCertification and Enforcement Procedure for Polyphase Induction Assistant Secretary for Energy Efficiency and 431.121 Purpose and scope. Motors and Generators,’’ IEEE Std 112– Renewable Energy. 1996 Test Method B for motor 431.122 Prohibited acts. efficiency; and CSA International For the reasons set forth in the 431.123 Compliance Certification. Standard C390–93, ‘‘Energy Efficiency preamble, Chapter II of Title 10, Code of 431.124 Maintenance of records. Test Methods for Three-Phase Induction Federal Regulations (CFR), is amended 431.125 Imported equipment. 431.126 Exported equipment. Motors,’’ Test Method (1). By way of by adding new Part 431 to read as set 431.127 Enforcement. further example, certain definitions in forth below. 431.128 Cessation of distribution of a basic the final rule are drawn from NEMA PART 431ÐENERGY EFFICIENCY model. Publication MG1. Because the PROGRAM FOR CERTAIN 431.129 Subpoena. Department has little discretion to omit COMMERCIAL AND INDUSTRIAL 431.130 Remedies. these standards from its regulation, EQUIPMENT 431.131 Hearings and appeals. section 32 of the FEAA has no 431.132 Confidentiality. application to them. Subpart AÐGeneral Provisions Appendix A to Subpart G of Part 431— As part of its definition of electric Compliance Certification motor, however, the final rule does Sec. 431.1 Purpose and scope. Appendix B to Subpart G of Part 431— employ the commercial International 431.2 Definitions. Sampling Plan for Enforcement Testing Electrotechnical Commission Standards Appendix A to Subpart A of 10 CFR Part 431, Authority: 42 U.S.C. 6311–6316 60034–1, 60034–12, 60050(411) and Policy Statement for Electric Motors 60072–1, which the Act does not direct Covered Under the Energy Policy and Subpart AÐGeneral Provisions the Department to adopt. In addition, as Conservation Act proposed in the NOPR, 61 FR 60449–50, § 431.1 Purpose and scope. Subpart BÐTest Procedures and Materials 60469–70 (November 27, 1996), the Incorporated This part establishes the regulations Department has incorporated into the for the implementation of Part C of Title final rule the standard kilowatt 431.21 Purpose and scope. 431.22 Reference sources. III of the Energy Policy and equivalents specified in IEC Standard Conservation Act, as amended, 42 72–1 for the horsepower ratings that 431.23 Test procedures for measurement of energy efficiency. U.S.C. 6311–6316, which establishes an EPCA prescribes standards for. energy conservation program for certain As required by section 32(c) of the 431.24 Determination of efficiency. 431.25 Testing laboratories. industrial equipment. FEAA, the Department has consulted 431.26 Department of Energy recognition of with the Attorney General and the accreditation bodies. § 431.2 Definitions. Chairman of the Federal Trade 431.27 Department of Energy recognition of Commission concerning the impact of For purposes of this part, words shall nationally recognized certification be defined as provided for in section these standards on competition, and programs. neither has recommended against 431.28 Procedures for recognition and 340 of the Act and as follows— incorporation or use of these standards. withdrawal of recognition of Accreditation means recognition by accreditation bodies and certification an accreditation body that a laboratory I. Review Under the Unfunded programs. is competent to test the efficiency of Mandates Reform Act 431.29 Petitions for waiver, and electric motors according to the scope This regulatory action was reviewed applications for interim waiver, of test and procedures given in Test Method B pursuant to the Unfunded Mandates procedure. of IEEE Standard 112–1996, Test Reform Act of 1995 (UMRA), and the Appendix A to Subpart B of Part 431— Procedure for Polyphase Induction Uniform Test Method for Measuring Department concluded that the Motors and Generators, and Test requirements of sections 203 and 204 of Nominal Full Load Efficiency of Electric Motors Method (1) of CSA Standard C390–93, the UMRA did not apply to today’s final Energy Efficient Test Methods for Three- rule. 61 FR 60463 (November 27, 1996). Subpart CÐEnergy Conservation Standards Phase Induction Motors. There were no comments concerning 431.41 Purpose and scope. Accreditation body means an the UMRA. Therefore, the Department 431.42 Energy conservation standards and organization or entity that conducts and will take no further action in today’s effective dates. administers an accreditation system and 431.43 Preemption of state regulations. final rule with respect to the UMRA. grants accreditation. J. Review Under the Small Business Subpart DÐPetitions to Exempt State Accreditation system means a set of Regulatory Enforcement Fairness Act Regulation from Preemption; Petitions to requirements to be fulfilled by a testing Withdraw Exemption of State Regulation Consistent with Subtitle E of the laboratory, as well as rules of procedure Small Business Regulatory Enforcement 431.61 Purpose and scope. and management, that are used to Fairness Act of 1996, 5 U.S.C. 801–808, 431.62 Prescriptions of a rule. accredit laboratories. 431.63 Filing requirements. DOE will submit to Congress a report Accredited laboratory means a testing regarding the issuance of today’s final 431.64 Notice of petition. 431.65 Consolidation. laboratory to which accreditation has rule before the effective date set forth in 431.66 Hearing. been granted. the outset of this notice. The report will 431.67 Disposition of petitions. Act means the Energy Policy and state that it has been determined that 431.68 Effective dates of final rules. Conservation Act of 1975, as amended this rule is not a ‘‘major rule’’ as defined 431.69 Request for reconsideration. (42 U.S.C. 6291 et seq.). by 5 U.S.C. 804(2). 431.70 Finality of decision. Alternative efficiency determination List of Subjects in 10 CFR Part 431 Subpart EÐLabeling method or AEDM means a method of Administrative practice and 431.81 Purpose and scope. calculating the total power loss and procedure, Energy conservation, 431.82 Labeling requirements. average full load efficiency of an electric Incorporation by reference. 431.83 Preemption of state regulations. motor.
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Average full load efficiency means the Electric motor is defined as follows: 12–2, pertain both to ‘‘NEMA Design A’’ arithmetic mean of the full load (1) ‘‘Electric motor’’ means a machine and ‘‘NEMA Design B.’’ efficiencies of a population of electric which converts electrical power into (3) Terms in this definition followed motors of duplicate design, where the rotational mechanical power and which: by the parenthetical ‘‘IEC’’ must be full load efficiency of each motor in the (i) is a general purpose motor, construed with reference to provisions population is the ratio (expressed as a including but not limited to motors with in IEC Standards as follows: percentage) of the motor’s useful power explosion-proof construction; (i) IEC Standard 60034–1 (1996), output to its total power input when the (ii) is a single speed, induction motor Rotating electrical machines, Part 1: motor is operated at its full rated load, (MG1); Rating and performance, with rated voltage, and rated frequency. (iii) is rated for continuous duty Amendment 1 (1997), Section 3: Duty, Basic model means all units of a given (MG1) operation, or is rated duty type clause 3.2.1 and figure 1 pertain to type of covered equipment (or class S1 (IEC); ‘‘duty type S1’’; thereof) manufactured by a single (iv) contains a squirrel-cage (MG1) or (ii) IEC Standard 60050–411 (1996), manufacturer, and, with respect to cage (IEC) rotor, and has foot-mounting, International Electrotechnical electric motors, which have the same including foot-mounting with flanges or Vocabulary Chapter 411: Rotating rating, have electrical characteristics detachable feet; machines, sections 411–33–07 and 411– that are essentially identical, and do not (v) is built in accordance with NEMA 37–26, pertain to ‘‘cage’’; have any differing physical or T-frame dimensions (MG1), or IEC (iii) IEC Standard 60072–1 (1991), functional characteristics which affect metric equivalents (IEC); Dimensions and output series for (vi) has performance in accordance energy consumption or efficiency. For rotating electrical machines—Part 1: with NEMA Design A (MG1) or B (MG1) the purpose of this definition, ‘‘rating’’ Frame numbers 56 to 400 and flange characteristics, or equivalent designs means one of the 113 combinations of numbers 55 to 1080, clauses 2, 3, 4.1, such as IEC Design N (IEC); and an electric motor’s horsepower (or 6.1, 7, and 10, and Tables 1, 2 and 4, (vii) operates on polyphase alternating standard kilowatt equivalent), number pertain to ‘‘IEC metric equivalents’’ to current 60-Hertz sinusoidal power, and: of poles, and open or enclosed ‘‘T-frame’’ dimensions; and construction, with respect to which (A) is rated 230 volts or 460 volts, or both, including any motor that is rated (iv) IEC Standard 60034–12 (1980), § 431.42 prescribes nominal full load Rotating electrical machines, Part 12: efficiency standards. at multi-voltages that include 230 volts or 460 volts, or Starting performance of single-speed Certificate of conformity means a three-phase cage induction motors for document that is issued by a (B) can be operated on 230 volts or 460 volts, or both. voltages up to and including 660 V, certification program, and that gives with Amendment 1 (1992) and written assurance that an electric motor (2) Terms in this definition followed by the parenthetical ‘‘MG1’’ must be Amendment 2 (1995), clauses 1, 2, 3.1, complies with the energy efficiency 4, 5, and 6, and Tables I, II, and III, standard applicable to that motor, as construed with reference to provisions in NEMA Standards Publication MG1– pertain to ‘‘IEC Design N.’’ specified in 10 CFR 431.42. Enclosed motor means an electric Certification program means a 1993, Motors and Generators, with motor so constructed as to prevent the certification system that determines Revisions 1, 2, 3 and 4, as follows: free exchange of air between the inside conformity by electric motors with the (i) Section I, General Standards and outside of the case but not energy efficiency standards prescribed Applying to All Machines, Part 1, sufficiently enclosed to be termed by and pursuant to the Act. Referenced Standards and Definitions, Certification system means a system, paragraphs 1.16.1, 1.16.1.1, 1.17.1.1, airtight. that has its own rules of procedure and 1.17.1.2, and 1.40.1 pertain to the terms EPCA means the Energy Policy and management, for giving written ‘‘induction motor,’’ ‘‘squirrel-cage,’’ Conservation Act of 1975, as amended assurance that a product, process, or ‘‘NEMA Design A,’’ ‘‘NEMA Design B,’’ (42 U.S.C. 6291 et seq.). service conforms to a specific standard and ‘‘continuous duty’’ respectively; General purpose motor means any or other specified requirements, and (ii) Section I, General Standards motor which is designed in standard that is operated by an entity Applying to All Machines, Part 4, ratings with either: independent of both the party seeking Dimensions, Tolerances, and Mounting, (1) Standard operating characteristics the written assurance and the party paragraph 4.01 and Figures 4–1, 4–2, 4– and standard mechanical construction providing the product, process or 3, and 4–4 pertain to ‘‘NEMA T-frame for use under usual service conditions, service. dimensions;’’ such as those specified in NEMA Covered equipment means industrial (iii) Section II, Small (Fractional) and Standards Publication MG1–1993, equipment of a type specified in section Medium (Integral) Machines, Part 11, paragraph 14.02, ‘‘Usual Service 340 of the Act. Dimensions—AC and DC Small and Conditions,’’ and without restriction to CSA means CSA International. Medium Machines, paragraphs 11.01.2, a particular application or type of Definite purpose motor means any 11.31 (except the lines for frames 447T, application; or motor designed in standard ratings with 447TS, 449T and 449TS), 11.32, 11.34 (2) Standard operating characteristics standard operating characteristics or (except the line for frames 447TC and or standard mechanical construction for standard mechanical construction for 449TC, and the line for frames 447TSC use under unusual service conditions, use under service conditions other than and 449TSC), 11.35, and 11.36 (except such as those specified in NEMA usual, such as those specified in NEMA the line for frames 447TD and 449TD, Standards Publication MG1–1993, Standards Publication MG1–1993, and the line for frames 447TSD and paragraph 14.03, ‘‘Unusual Service Motors and Generators, paragraph 449TSD), and Table 11–1, pertain to Conditions,’’ or for a particular type of 14.03, ‘‘Unusual Service Conditions,’’ or ‘‘NEMA T-frame dimensions;’’ and application, and which can be used in for use on a particular type of (iv) Section II, Small (Fractional) and most general purpose applications. application, and which cannot be used Medium (Integral) Machines, Part 12, IEC means the International in most general purpose applications. Tests and Performance—AC and DC Electrotechnical Commission. DOE or the Department means the Motors, paragraphs 12.35.1, 12.35.5, IEEE means the Institute of Electrical Department of Energy. 12.38.1, 12.39.1, and 12.40.1, and Table and Electronics Engineers, Inc.
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ISO means International Organization certification that covered motors comply modifications are covered under the for Standardization. with the standards. statute, and as to whether manufacturers Manufacture means to manufacture, Section 340(13)(A) of EPCA defines will be able to comply with the statute produce, assemble, or import. the term ‘‘electric motor’’ based by October 25, 1997 with respect to all NEMA means the National Electrical essentially on the construction and of these covered motors. Consequently, Manufacturers Association. rating system in the National Electrical motor manufacturers have requested Nominal full load efficiency of an Manufacturers Association (NEMA) that the Department provide additional electric motor means a representative Standards Publication MG1. Sections guidance as to which types of motors value of efficiency selected from 340(13)(B) and (C) of EPCA define the are ‘‘electric motors,’’ ‘‘definite purpose Column A of Table 12–8, NEMA terms ‘‘definite purpose motor’’ and motors,’’ and ‘‘special purpose motors’’ Standards Publication MG1–1993, that ‘‘special purpose motor,’’ respectively, under EPCA. The policy statement that is not greater than the average full load for which the statute prescribes no follows is based upon input from motor efficiency of a population of motors of efficiency standards. manufacturers and energy efficiency the same design. In its proposed rule to implement the advocates, and provides such guidance. EPCA provisions that apply to motors Open motor means an electric motor II. Guidelines for Determining Whether (61 FR 60440, November 27, 1996), DOE having ventilating openings which a Motor Is Covered by EPCA permit passage of external cooling air has proposed to clarify the statutory over and around the windings of the definition of ‘‘electric motor,’’ to mean A. General machine. a machine which converts electrical EPCA specifies minimum nominal Secretary means the Secretary of the power into rotational mechanical power full-load energy efficiency standards for Department of Energy. and which: (1) is a general purpose 1 to 200 horsepower electric motors, motor, including motors with explosion- Special purpose motor means any and, to measure compliance with those proof construction; 2 (2) is a single motor, other than a general purpose standards, prescribes use of the test speed, induction motor; (3) is rated for motor or definite purpose motor, which procedures in NEMA Standard MG1 and continuous duty operation, or is rated has special operating characteristics or Institute of Electrical and Electronics duty type S–1 (IEC) 3; (4) contains a special mechanical construction, or Engineers, Inc., (IEEE) Standard 112. In squirrel-cage or cage (IEC) rotor; (5) has both, designed for a particular DOE’s view, as stated in Assistant foot-mounting, including foot-mounting application. Secretary Ervin’s letter of May 9, 1996, with flanges or detachable feet; (6) is to NEMA’s Malcolm O’Hagan, until Total power loss means that portion of built in accordance with NEMA T-frame the energy used by an electric motor not DOE’s regulations become effective, dimensions, or IEC metric equivalents manufacturers can establish compliance converted to rotational mechanical (IEC); (7) has performance in accordance power, expressed in percent. with these EPCA requirements through with NEMA Design A or B use of competent and reliable Appendix A to Subpart A of 10 CFR characteristics, or equivalent designs procedures or methods that give Part 431, Policy Statement for Electric such as IEC Design N (IEC); and (8) reasonable assurance of such Motors Covered Under the Energy operates on polyphase alternating compliance. So long as these criteria are Policy and Conservation Act current 60-Hertz sinusoidal power, and met, manufacturers may conduct is (i) rated 230 volts or 460 volts, or This is a reprint of a policy statement required testing in their own both, including any motor that is rated which was published on November 5, laboratories or in independent at multi-voltages that include 230 volts 1997 at 62 FR 59978. laboratories, and may employ or 460 volts, or (ii) can be operated on alternative correlation methods (in lieu Policy Statement for Electric Motors 230 volts or 460 volts, or both. of actual testing) for some motors. Covered Under the Energy Policy and Notwithstanding the clarification Manufacturers may also establish their Conservation Act provided in the proposed rule, there compliance with EPCA standards and I. Introduction still appears to be uncertainty as to test procedures through use of third which motors EPCA covers. It is widely party certification or verification The Energy Policy and Conservation understood that the statute covers programs such as those recognized by Act (EPCA), 42 U.S.C. 6311, et seq., ‘‘general purpose’’ motors that are Natural Resources Canada. Labeling and establishes energy efficiency standards manufactured for a variety of certification requirements will become and test procedures for certain applications, and that meet EPCA’s effective only after DOE has commercial and industrial electric definition of ‘‘electric motor.’’ Many promulgated a final rule prescribing motors manufactured (alone or as a modifications, however, can be made to such requirements. component of another piece of such generic motors. Motor Motors with features or characteristics equipment) after October 24, 1997, or, in manufacturers have expressed concern that do not meet the statutory definition the case of an electric motor which as to precisely which motors with such of ‘‘electric motor’’ are not covered, and requires listing or certification by a therefore are not required to meet EPCA nationally recognized safety testing 2 Section 342(b)(1) of EPCA recognizes that requirements. Examples include motors laboratory, after October 24, 1999.1 EPCA’s efficiency standards cover ‘‘motors which require listing or certification by a nationally without feet and without provisions for EPCA also directs the Department of recognized safety testing laboratory.’’ This applies, feet, and variable speed motors operated Energy (DOE or Department) to for example, to explosion-proof motors which are on a variable frequency power supply. implement the statutory test procedures otherwise general purpose motors. Similarly, multispeed motors and 3 prescribed for motors, and to require Terms followed by the parenthetical ‘‘IEC’’ are variable speed motors, such as inverter efficiency labeling of motors and referred to in the International Electrotechnical Commission (IEC) Standard 34–1. Such terms are duty motors, are not covered equipment, included in DOE’s proposed definition of ‘‘electric based on their intrinsic design for use at 1 The term ‘‘manufacture’’ means ‘‘to motor’’ because DOE believes EPCA’s efficiency variable speeds. However, NEMA manufacture, produce, assemble or import.’’ EPCA requirements apply to metric system motors that section 321(10). Thus, the standards apply to conform to IEC Standard 34, and that are identical Design A or B motors that are single motors produced, assembled, imported or or equivalent to motors constructed in accordance speed, meet all other criteria under the manufactured after these statutory deadlines. with NEMA MG1 and covered by the statute. definitions in EPCA for covered
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00031 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54144 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations equipment, and can be used with an NEMA Standards Publication MG1 Department’s view, a motor that is of a inverter in variable speed applications categorizes electrical modifications to larger frame series than normally as an additional feature, are covered motors according to performance assigned to that standard rating of motor equipment under EPCA. In other words, characteristics that include locked rotor is not covered by EPCA. A physically being suitable for use on an inverter by torque, breakdown torque, pull-up larger motor within the same frame itself does not exempt a motor from torque, locked rotor current, and slip at series would be covered, however, EPCA requirements. rated load, and assigns design letters, because it would be usable in most Section 340(13)(F) of EPCA, defines a such as Design A, B, C, D, or E, to general purpose applications. ‘‘small electric motor’’ as ‘‘a NEMA identify various combinations of such Motors built in a T-frame series or a general purpose alternating current electrical performance characteristics. T-frame size smaller than that assigned single-speed induction motor, built in a Under section 340(13)(A) of EPCA, by MG 13–1984 (R1990) are also two-digit frame number series in electric motors subject to EPCA considered usable in most general accordance with NEMA Standards efficiency requirements include only purpose applications. This is because Publication MG 1–1987.’’ Section 346 of motors that fall within NEMA ‘‘Design simple modifications can generally be EPCA requires DOE to prescribe testing A and B * * * as defined in [NEMA] made to fit a smaller motor in place of requirements and efficiency standards Standards Publication MG1–1987.’’ As a motor with a larger frame size only for those small electric motors for to locked rotor torque, for example, assigned in conformity with NEMA MG which the Secretary determines that MG1 specifies a minimum performance 13. Therefore, DOE believes that such standards are warranted. The value for a Design A or B motor of a smaller motors are covered by EPCA. Department has not yet made such a given speed and horsepower, and D. Motors with Seals determination. somewhat higher minimum values for Some electric motors have seals to B. Electrical Features Design C and D motors of the same speed and horsepower. The Department prevent ingress of water, dust, oil, and As noted above, the Department’s understands that, under MG1, the other foreign materials into the motor. proposed definition of ‘‘electric motor’’ industry classifies a motor as Design A DOE understands that, typically, a provides in part that it is a motor that or B if it has a locked rotor torque at or manufacturer will add seals to a motor ‘‘operates on polyphase alternating above the minimum for A and B but that it manufactures, so that it will sell current 60-Hertz sinusoidal power, and below the minimum for Design C, so two motors that are identical except that ** * can be operated on 230 volts or long as it otherwise meets the criteria one has seals and the other does not. In 460 volts, or both.’’ In DOE’s view, ‘‘can for Design A or B. Therefore, in the such a situation, if the motor without be operated’’ implicitly means that the Department’s view, such a motor is seals is ‘‘general purpose’’ and covered motor can be operated successfully. covered by EPCA’s requirements for by EPCA’s efficiency requirements, then According to NEMA Standards electric motors. By contrast a motor that the motor with seals will also be Publication MG1–1993, paragraph meets or exceeds the minimum locked covered because it can still be used in 12.44, ‘‘Variations from Rated Voltage rotor torque for Design C or D is not most general purpose applications. DOE and Rated Frequency,’’ alternating- covered by EPCA. In sum, if a motor has understands, however, that manufacturers previously believed current motors must operate electrical modifications that meet motors with seals were not covered successfully under running conditions Design A or B performance under EPCA, in part because IEEE at rated load with a variation in the requirements it is covered by EPCA, and Standard 112, ‘‘Test Procedure for voltage or the frequency up to the if its characteristics meet Design C, D or Polyphase Induction Motors and following: plus or minus 10 percent of E it is not covered. rated voltage, with rated frequency for Generators,’’ prescribed by EPCA, does induction motors; 4 plus or minus 5 C. Size not address how to test a motor with percent of rated frequency, with rated Motors designed for use on a seals installed. voltage; and a combined variation in particular type of application which are The efficiency rating of such a motor, voltage and frequency of 10 percent in a frame size that is one or more frame if determined with seals installed and (sum of absolute values) of the rated series larger than the frame size assigned when the motor is new, apparently values, provided the frequency variation to that rating by sections 1.2 and 1.3 of would significantly understate the does not exceed plus or minus 5 percent NEMA Standards Publication MG 13– efficiency of the motor as operated. New of rated frequency. DOE believes that, 1984 (R1990), ‘‘Frame Assignments for seals are stiff, and provide friction that for purposes of determining whether a Alternating Current Integral-Horsepower is absent after their initial break-in motor meets EPCA’s definition of Induction Motors,’’ are not, in the period. DOE understands that, after this ‘‘electric motor,’’ these criteria should Department’s view, usable in most initial period, the efficiency ratings be used to determine when a motor that general purpose applications. This is determined for the same motor with and is not rated at 230 or 460 volts or 60 due to the physical size increase without seals would be virtually Hertz can be operated at such voltage associated with a frame series change. A identical. To construe EPCA, therefore, and frequency.5 frame series is defined as the first two as requiring such separate efficiency digits of the frame size designation. For determinations would impose an 4 For example, a motor that is rated at 220 volts example, 324T and 326T are both in the unnecessary burden on manufacturers. In light of the foregoing, the should operate successfully on 230 volts, since 220 same frame series, while 364T is in the + .10(220) = 242 volts. A 208 volt motor, however, Department believes that EPCA next larger frame series. Hence, in the would not be expected to operate successfully on generally permits the efficiency of a 230 volts, since 208 + .10(208) = 228.8 volts. 5 The Department understands that a motor that view a motor that is not rated for 230 or 460 volts, motor with seals to be determined can operate at such voltage and frequency, based on or 60 Hertz, but that can be successfully operated without the seals installed. variations defined for successful operation, will not at these levels, must meet the energy efficiency Furthermore, notwithstanding the prior necessarily perform in accordance with the industry requirements at its rated voltage(s) and frequency. belief that such motors are not covered standards established for operation at the motor’s DOE also notes that when a motor is rated to rated voltage and frequency. In addition, under the include a wider voltage range that includes 230/460 by EPCA, use of this approach to test procedures prescribed by EPCA, motors are to volts, the motor should meet the energy efficiency determining efficiency will enable be tested at their rated values. Therefore, in DOE’s requirements at 230 volts or 460 volts. manufacturers to meet EPCA’s standards
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00032 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54145 with respect to covered motors with application and which cannot be used Thus, the Department intends to refrain seals by the date the standards go into in most general purpose applications.’’ from taking enforcement action for two effect on October 25, 1997. [Emphasis added.] Except, significantly, years, until October 25, 1999, with for exclusion of the italicized language, respect to motors with horsepower III. Discussion of How DOE Would the industry definition of ‘‘definite ratings that fall between the horsepower Apply EPCA Definitions, Using the purpose motor,’’ set forth in NEMA ratings in section 342(b)(1) of EPCA, Foregoing Guidelines MG1, is identical to the foregoing. thermally protected motors, and motors Using the foregoing guidelines, the Category II consists of electric motors with roller bearings. Manufacturers are attached matrix provides DOE’s view as with horsepower ratings that fall encouraged, however, to manufacture to which motors with common features between the horsepower ratings in these motors in compliance with EPCA are covered by EPCA. Because section 342(b)(1) of EPCA, thermally at the earliest possible date. manufacturers produce many basic protected motors, and motors with roller The following sets forth in greater models that have many modifications of bearings. As with motors in Category I, detail, for each of these types of motors, generic general purpose motors, the these motors are essentially the basis for the Department’s policy to Department does not represent that the modifications of generic general refrain from enforcement for two years. matrix is all-inclusive. Rather it is a set purpose motors. Generally, however, the Also set forth is additional explanation of examples demonstrating how DOE modifications contained in these motors of the Department’s understanding as to would apply EPCA definitions, as are more extensive and complex than why manufacturers previously believed construed by the above guidelines, to the modifications in Category I motors. intermediate horsepower motors were various motor types. By extension of These Category II motors have been not covered by EPCA. considered ‘‘definite purpose’’ in these examples, most motors currently Intermediate Horsepower Ratings in production, or to be designed in the common industry parlance, but are future, could probably be classified. The covered equipment under EPCA because Section 342(b)(1) of EPCA specifies matrix classifies motors into five they can be used in most general efficiency standards for electric motors categories, which are discussed in the purpose applications. with 19 specific horsepower ratings, following passages. According to statements provided ranging from one through 200 during the January 15, 1997, Public horsepower. Each is a preferred or Category I—For ‘‘electric motors’’ Hearing, Tr. pgs. 238–239, Category II standardized horsepower rating as (manufactured alone or as a component motors were, until recently, viewed by reflected in the table in NEMA of another piece of equipment) in most manufacturers as definite purpose Standards Publication MG1–1993, Category I, DOE will enforce EPCA motors, consistent with the industry paragraph 10.32.4, Polyphase Medium efficiency standards and test procedures definition that did not contain the Induction Motors. However, an ‘‘electric beginning on October 25, 1997 clause ‘‘which cannot be used in most motor,’’ as defined by EPCA, can be The Department understands that general purpose applications.’’ Hence, built at other horsepower ratings, such some motors essentially are relatively DOE understands that many as 6 horsepower, 65 horsepower, or 175 simple modifications of generic general manufacturers assumed these motors horsepower. Such motors, rated at purpose motors. Modifications could were not subject to EPCA’s efficiency horsepower levels between any two consist, for example, of minor changes standards. During the period prior and adjacent horsepower ratings identified such as the addition of temperature subsequent to the hearing, discussions in section 342(b)(1) of EPCA will be sensors or a heater, the addition of a among manufacturers resulted in a new referred to as ‘‘intermediate horsepower shaft extension and a brake disk from a understanding that such motors are motors.’’ In the Department’s view, kit, or changes in exterior features such general purpose under EPCA, since they efficiency standards apply to every as the motor housing. Such motors can can be used in most general purpose motor that has a rating from one through still be used for most general purpose applications. Thus, the industry only 200 horsepower (or kilowatt applications, and the modifications recently recognized that such motors are equivalents), and that otherwise meets have little or no effect on motor covered under EPCA. Although the the criteria for an ‘‘electric motor’’ performance. Nor do the modifications statutory definition adopted in 1992 under EPCA, including an electric affect energy efficiency. contained the above-quoted definition motor with an intermediate horsepower of ‘‘definite purpose,’’ the delay in (or kW) rating. Category II—For certain motors that are issuing regulations which embody this To date, these motors have typically ‘‘definite purpose’’ according to present definition may have contributed to been designed in conjunction with and industry practice, but that can be used industry’s delay in recognizing that supplied to a specific customer to fulfill in most general purpose applications, these motors are covered. certain performance and design DOE will generally enforce EPCA The Department understands that requirements of a particular application, efficiency standards and test procedures redesign and testing these motors in as for example to run a certain type of beginning no later than October 25, order to meet the efficiency standards in equipment. See the discussion in 1999 the statute may require a substantial Section IV below on ‘‘original amount of time. Given the recent equipment’’ and ‘‘original equipment General Statement recognition that they are covered, it is manufacturers.’’ In large part for these EPCA does not prescribe standards not realistic to expect these motors will reasons, manufacturers believed and test procedures for ‘‘definite be able to comply by October 25, 1997. intermediate horsepower motors to be purpose motors.’’ Section 340(13)(B) of A substantial period beyond that will be ‘‘definite purpose motors’’ that were not EPCA defines the term ‘‘definite required. Moreover, the Department covered by EPCA. Despite their specific purpose motor’’ as ‘‘any motor designed believes different manufacturers will uses, however, these motors are electric in standard ratings with standard need to take different approaches to motors under EPCA when they are operating characteristics or standard achieving compliance with respect to capable of being used in most general mechanical construction for use under these motors, and that, for a particular purpose applications. service conditions other than usual or type of motor, some manufacturers will Features of a motor that are directly for use on a particular type of be able to comply sooner than others. related to its horsepower rating include
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00033 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 54146 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations its physical size, and the ratings of its making this delay in enforcement need to redesign the motor in order to controller and protective devices. These applicable only to pre-existing designs comply with the statute. In this aspects of a 175 horsepower motor, for of intermediate horsepower motors, the situation, the Department understands example, which is an intermediate Department believes it has made that testing, redesigning, and retesting horsepower motor, must be appropriate adequate provision for the manufacture lines of motors with roller bearings, to to that horsepower, and would generally of bona fide intermediate horsepower establish compliance, would be difficult differ from the same aspects of 150 and motor designs that cannot be changed to and time consuming. 200 horsepower motors, the two be in compliance with EPCA by October Categories III, IV and V—Motors not standard horsepower ratings closest to 25, 1997. within EPCA’s definition of ‘‘electric 175. To re-design an existing Thermally Protected Motors motor,’’ and not covered by EPCA intermediate horsepower electric motor so that it complies with EPCA could The Department understands that in Close-coupled Pump Motors order to redesign a thermally protected involve all of these elements of a NEMA Standards Publication MG1– motor to improve its efficiency so that motor’s design. For example, the 1993, with revisions one through three, it complies with EPCA, various changes addition of material necessary to Part 18, ‘‘Definite-Purpose Machines,’’ in the windings must be made which achieve EPCA’s prescribed level of defines ‘‘a face-mounting close-coupled will require the thermal protector to be efficiency could cause the size of the pump motor’’ as ‘‘a medium alternating- re-selected. Such devices sense the motor to increase. The addition of current squirrel-cage induction open or inrush and running current of the magnetic material would invite higher totally enclosed motor, with or without motor, as well as the operating inrush current that could cause an feet, having a shaft suitable for temperature. Any changes to a motor incorrectly sized motor controller to mounting an impeller and sealing that affect these characteristics will malfunction, or the circuit breaker with device.’’ Paragraphs MG1–18.601– prevent the protector from operating a standard rating to trip unnecessarily, 18.614 specify its performance, face and correctly. When a new protector is or both. The Department believes motor shaft mounting dimensions, and frame selected, the motor must be tested to manufacturers will require a substantial assignments that replace the suffix verify proper operation of the device in amount of time to redesign and retest letters T and TS with the suffix letters the motor. The motor manufacturer each intermediate horsepower electric JM and JP. motor they manufacture. would test the locked rotor and overload The Department understands that To the extent such intermediate conditions, which could take several such motors are designed in standard horsepower electric motors become days, and the results may dictate that a ratings with standard operating unavailable because motor second selection is needed with characteristics for use in certain close- manufacturers have recognized only additional testing. When the coupled pumps and pumping recently that they are covered by EPCA, manufacturer has finished testing, applications, but cannot be used in non- equipment in which they are typically the manufacturer will have a pumping applications, such as, for incorporated would temporarily become third party conduct additional testing. example, conveyors. Consequently, the unavailable also. Moreover, re-design of This testing may include cycling the Department believes close-coupled such a motor to comply with EPCA motor in a locked-rotor condition to pump motors are definite-purpose could cause changes in the motor that verify that the protector functions motors not covered by EPCA. However, require re-design of the equipment in properly. This testing may take days or a motor that meets EPCA’s definition of which the motor is used. For example, even weeks to perform for a particular ‘‘electric motor,’’ and which can be if an intermediate horsepower electric model of motor. coupled to a pump, for example by motor becomes larger, it might no longer Since it was only recently recognized means of a C-face or D-flange endshield, fit in the equipment for which it was by industry that these motors are as depicted in NEMA Standards designed. In such instances, the covered by EPCA, in the Department’s Publication MG1, Part 4, ‘‘Dimensions, equipment would have to be re- view the total testing program makes it Tolerances, and Mounting,’’ is covered. designed. Because these motors were impossible for manufacturers to comply previously thought not to be covered, with the EPCA efficiency levels in Totally-enclosed Non-ventilated (TENV) equipment manufacturers may not have thermally protected motors by October and Totally-enclosed Air-over (TEAO) had sufficient lead time to make the 25, 1997, especially since each different Motors necessary changes to the equipment motor winding must be tested and A motor designated in NEMA MG1– without interrupting its production. motor winding/thermal protector 1993, paragraph MG1–1.26.1, as With respect to intermediate combinations number in the thousands. ‘‘totally-enclosed non-ventilated (IP54, horsepower motors, the Department 6 Motors With Roller Bearings IC410)’’ is ‘‘not equipped for cooling intends to refrain from enforcing EPCA by means external to the enclosing Motors with roller bearings fit within for a period of 24 months only as to parts.’’ This means that the motor, when the definition of electric motor under such motor designs that were being properly applied, does not require the the statute. However, because the IEEE manufactured prior to the date this use of any additional means of cooling Policy Statement was issued. The Standard 112 Test Method B does not Department is concerned that small provide measures to test motors with 6 IP refers to the IEC Standard 34–5: Classification adjustments could be made to the roller bearings installed, manufacturers of degrees of protection provided by enclosures for horsepower rating of an existing electric mistakenly believed such motors were rotating machines. IC refers to the IEC Standard 34– motor, in an effort to delay compliance not covered. Under IEEE Standard 112, 6: Methods of cooling rotating machinery. The IP and IC codes are referenced in the NEMA with EPCA, if it delayed enforcement as a motor with roller bearings could only designations for TENV and TEAO motors in MG1– to all intermediate horsepower motors be tested for efficiency with the roller 1993 Part 1, ‘‘Classification According to produced during the 24 month period. bearings removed and standard ball Environmental Protection and Methods of Cooling,’’ For example, a 50 horsepower motor bearings installed as temporary as a Suggested Standard for Future Design, since the TENV and TEAO motors conform to IEC Standards. that has a service factor of 1.15 could be substitutes. Then on the basis of the Details of protection (IP) and methods of cooling 1 renameplated as a 57 ⁄2 horsepower energy efficiency information gained (IC) are defined in MG1 Part 5 and Part 6, motor that has a 1.0 service factor. By from that test, the manufacturer may respectively.
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In some NEMA MG1–1993, Suggested Standard are not covered under EPCA. of these instances, the file for listing or for Future Design, paragraph MG1– However, an ‘‘electric motor,’’ as certification specifies the particular 1.26.1a, a TENV motor ‘‘is only defined by EPCA, which is connected to motor to be used. No substitution could equipped for cooling by free a stand alone mechanical gear drive or be made for the motor without review convection.’’ The general requirement an assembly of gears, such as a gear and approval of the new motor and the for the installation of the TENV motor reducer connected by direct coupling, entire system by the safety testing is that it not be placed in a restricted belts, bolts, a kit, or other means, is laboratory. Consequently, a specified space that would inhibit this natural covered equipment under EPCA. motor that does not meet EPCA dissipation of the motor heat. Most IV. Electric Motors That Are standards could not be replaced by a general purpose applications use motors Components in Certain Equipment complying motor without such review which include a means for forcing air and approval. flow through or around the motor and The primary function of an electric This re-listing or re-certification usually through the enclosed space and, motor is to convert electrical energy to process is subject to substantial therefore, can be used in spaces that are mechanical energy which then directly variation from one piece of original more restrictive than those required for drives machinery such as pumps, fans, equipment to the next. For some TENV motors. Placing a TENV motor in or compressors. Thus, an electric motor equipment, it could be a simple such common restricted areas is likely is always connected to a driven machine paperwork transaction between the to cause the motor to overheat. The or apparatus. Typically the motor is safety listing or certification TENV motor may also be larger than the incorporated into a finished product organization and the OEM, taking motors used in most general purpose such as an air conditioner, a refrigerator, approximately four to eight weeks to applications, and would take up more of a machine tool, food processing complete. But the process could raise the available space, thus reducing the equipment, or other commercial or more complex system issues involving size of the open area surrounding the industrial machinery. These products redesign of the motor or piece of motor. Installation of a TENV motor are commonly known as ‘‘original equipment, or both, and actual testing to might require, therefore, an additional equipment’’ or ‘‘end-use equipment,’’ assure that safety and performance means of ventilation to continually and are manufactured by firms known criteria are met, and could take several exchange the ambient around the motor. as ‘‘original equipment manufacturers’’ months to complete. The completion A motor designated in NEMA MG1– (OEMs). time could also vary depending on the 1993 as ‘‘totally-enclosed air-over (IP54, Many types of motors used in original response time of the particular safety IC417)’’ is intended to be cooled by equipment are covered under EPCA. As approval agency. Moreover, in the ventilation means external to (i.e., noted above, EPCA prescribes efficiency period immediately after October 24, the separate and independent from) the standards to be met by all covered Department believes wholesale changes motor, such as a fan. The motor must be electric motors manufactured after could occur in equipment lines when provided with the additional ventilation October 24, 1997, except that covered OEMs must begin using motors that to prevent it from overheating. motors which require listing or comply with EPCA. These changes are Consequently, neither the TENV certification by a nationally recognized likely to be concentrated in the period motor nor the TEAO motor would be safety testing laboratory need not meet immediately after EPCA goes into effect suitable for most general purpose the standards until after October 24, on October 24, and if many OEMs seek applications, and, DOE believes they are 1999. Thus, for motors that must to re-list or re-certify equipment at the definite-purpose motors not covered by comply after October 24, 1997, once same time, substantial delays in the EPCA. inventories of motors manufactured review and approval process at the before the deadline have been Integral Gearmotors safety approval agencies could occur. exhausted, only complying motors For these reasons, the Department is An ‘‘integral gearmotor’’ is an would be available for purchase and use concerned that certain end-user assembly of a motor and a specific gear by OEMs in manufacturing original equipment that requires safety listing or drive or assembly of gears, such as a equipment. Any non-complying motors certification could become unavailable gear reducer, as a unified package. The previously included in such equipment in the marketplace, because an electric motor portion of an integral gearmotor would no longer be available. motor specifically identified in a listing is not necessarily a complete motor, The physical, and sometimes or certification is covered by EPCA and since the end bracket or mounting operational, characteristics of motors will become unavailable, and the steps flange of the motor portion is also part that meet EPCA efficiency standards have not been completed to obtain of the gear assembly and cannot be normally differ from the characteristics safety approval of the equipment when operated when separated from the of comparable existing motors that do manufactured with a complying motor. complete gear assembly. Typically, an not meet those standards. In part Second, a situation could exist where integral gearmotor is not manufactured because of such differences, the an electric motor covered by EPCA is to standard T-frame dimensions Department is aware of two types of constructed in a T-frame series or T- specified in NEMA MG1. Moreover, situations where strict application of the frame size that is smaller (but still neither the motor portion, nor the entire October 24, 1997 deadline could standard) than that assigned by NEMA integral gearmotor, are capable of being temporarily prevent the manufacture of, Standards Publication MG 13–1984 used in most general purpose and remove from the marketplace, (R1990), sections 1.2 and 1.3, in order applications without significant currently available original equipment. to fit into a restricted mounting space modifications. An integral gearmotor is One such situation is where an that is within certain end-use also designed for a specific purpose and original equipment manufacturer uses equipment. (Motors in IEC metric frame can have unique performance an electric motor as a component in sizes and kilowatt ratings could also be
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These in no event beyond October 24, 1999, time required for continued production circumstances as well could result in the Department would refrain from of the motor, with a statement that a certain currently available equipment taking enforcement action under EPCA substitute electric motor that complies becoming temporarily unavailable in the with respect to manufacture of the with EPCA could not be obtained by an market, since the smaller size motor motor for installation in such original earlier date; and (5) the name, address, would become unavailable before the equipment. This policy would apply and telephone number of the person to original equipment had been re- only where the motor has been contact for further information. The designed to accommodate the larger, manufactured and specified in the joint request should be signed by a complying motor. approved safety listing or certification responsible official of each requesting The Department understands that prior to October 25, 1997. company, and sent to: U.S. Department many motor manufacturers and OEMs Where a particular electric motor is of Energy, Assistant Secretary for Energy became aware only recently that the used in a piece of original equipment Efficiency and Renewable Energy, Office electric motors addressed in the and manufactured in a smaller than of Building Research and Standards, preceding paragraphs were covered by assigned frame size or series, and the EE–41, Forrestal Building, 1000 EPCA. This is largely for the same motor does not meet the applicable Independence Avenue, SW, Room 1J– reasons, discussed above, that EPCA efficiency standard in EPCA, the 018, Washington, DC 20585–0121. The coverage of Category II motors was only Department’s policy will be as follows: Department does not intend to apply recently recognized. In addition, the For the period of time necessary for the this policy to any motor for which it Department understands that some OEM to re-design the piece of does not receive such a notification. motor manufacturers and original equipment to accommodate a motor that equipment manufacturers confused complies with EPCA, but in no event Moreover, the Department may use the motors that themselves require safety beyond October 24, 1999, the notification, and make further inquiries, listing or certification, which need not Department would refrain from to be sure motors listed in the comply until October 25, 1999, with enforcing the standard with respect to notification meet the criteria for motors that, while not subject to such manufacture of the motor for application of the policy. requirements, are included in original installation in such original equipment. This part of the Policy Statement will equipment that requires safety listing or This policy would apply only to a not apply to a motor in Category II, certification. Consequently, motor model of motor that has been discussed above in section III. Because manufacturers and original equipment manufactured and included in the up to 24 months is contemplated for manufacturers took insufficient action original equipment prior to October 25, compliance by Category II motors, the to assure that appropriate complying 1997. Department believes any issues that motors would be available for the To allow the Department to monitor might warrant a delay of enforcement original equipment involved, and that application of the policy set forth in the for such motors can be addressed during the equipment could accommodate such prior two paragraphs, the Department that time period. motors. OEMs involved in such needs to be informed as to the motors situations may often be unable to switch being manufactured under the policy. V. Further Information to motors that meet EPCA standards in Therefore, each motor manufacturer and The Department intends to the period immediately following OEM should jointly notify the incorporate this Policy Statement into October 24. To mitigate any hardship to Department as to each motor they will an appendix to its final rule to purchasers of the original equipment, be manufacturing and using, implement the EPCA provisions that the Department intends to refrain from respectively, after October 24, 1997, in apply to motors. Any comments or enforcing EPCA in certain limited the belief that it is covered by the suggestions with respect to this Policy circumstances, under the conditions policy. The notification should set forth: Statement, as well as requests for further described below. (1) the name of the motor manufacturer, Where a particular electric motor is and a description of the motor by type, information, should be addressed to the specified in an approved safety listing model number, and date of design or Director, Office of Building Research or certification for a piece of original production; (2) the name of the original and Standards, EE–41, U.S. Department equipment, and the motor does not meet equipment manufacturer, and a of Energy, 1000 Independence Avenue, the applicable efficiency standard in description of the application where the SW, Washington, DC 20585–0121. EPCA, the Department’s policy will be motor is to be used; (3) the safety listing BILLING CODE 6450±01±P
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BILLING CODE 6450±01±C
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Subpart BÐTest Procedures and Medium Machines, paragraphs 14.02 Piscataway, NJ 08855–1331, 1–800– Materials Incorporated and 14.03. 678–IEEE; (ii) Institute of Electrical and (ii) Copies of NEMA Standards § 431.21 Purpose and scope. Electronics Engineers, Inc., Standard Publication MG1–1993 with Revisions This subpart contains test procedures 112–1996, Test Procedure for Polyphase 1, 2, 3, and 4, and copies of for electric motors, required to be Induction Motors and Generators, Test International Electrotechnical prescribed by DOE pursuant to section Method B, and the correction to the Commission standards can be obtained 343 of EPCA, 42 U.S.C. 6314, and calculation at item (28) in section 10.2 from Global Engineering Documents, 15 identifies materials incorporated by Form B-Test Method B issued by IEEE Inverness Way East, Englewood, reference in this Part. on January 20, 1998. (Note: Paragraph 2 Colorado 80112–5776, 1–800–854–7179 (within the U.S.) or (303) 397–7956 § 431.22 Reference sources. of Appendix A to Subpart B of Part 431 sets forth modifications to this Standard (international). (a) Materials incorporated by when it is used for purposes of Part 431 (iii) Copies of CSA International reference. and EPCA.) Standard C390–93 can be obtained from (1) General. The following standards (iii) CSA International Standard CSA International, 178 Rexdale which are not otherwise set forth in this C390–93, Energy Efficiency Test Boulevard, Etobicoke (Toronto), part 431 are incorporated by reference. Methods for Three-Phase Induction Ontario, Canada M9W 1R3, (416) 747– The material listed in paragraph (a)(2) of Motors, Test Method (1). 4044; this section has been approved for (b) Reference Standards.—(1) General. (iv) International Electrotechnical incorporation by reference by the The standards listed in this paragraph Commission Standard 60034–1 (1996), Director of the Federal Register in are referred to in the DOE procedures Rotating electrical machines, Part 1: accordance with 5 U.S.C. 552(a) and 1 for testing laboratories, and recognition Rating and performance, with CFR Part 51. Any subsequent of accreditation bodies and certification Amendment 1 (1997), Section 3: Duty, amendment to a standard by the programs but are not incorporated by clause 3.2.1 and figure 1. standard-setting organization will not reference. These sources are given here (v) International Electrotechnical affect the DOE test procedures unless for information and guidance. Commission Standard 60050–411 and until amended by DOE. Material is (2) List of References. (1996), International Electrotechnical incorporated as it exists on the date of (i) National Voluntary Laboratory Vocabulary Chapter 411: Rotating the approval and a notice of any change Accreditation Program Handbooks 150, machines, sections 411–33–07 and 411– in the material will be published in the ‘‘Procedures and General 37–26. Federal Register. Requirements,’’ March 1994, and 150– (2) List of standards incorporated by (vi) International Electrotechnical 10, ‘‘Efficiency of Electric Motors,’’ reference. Commission Standard 60072–1 (1991), August 1995. National Voluntary (i) The following provisions of Dimensions and output series for Laboratory Accreditation Program, National Electrical Manufacturers rotating electrical machines—Part 1: National Institute of Standards and Association Standards Publication Frame numbers 56 to 400 and flange Technology, Gaithersburg, MD 20899. MG1–1993, Motors and Generators, numbers 55 to 1080, clauses 2, 3, 4.1, (ii) ISO/IEC Guide 25, ‘‘General with Revisions 1, 2, 3 and 4: 6.1, 7, and 10, and Tables 1, 2 and 4. requirements for the competence of (A) Section I, General Standards (vii) International Electrotechnical calibration and testing laboratories.’’ Applying to All Machines, Part 1, Commission Standard 60034–12 (1980), (iii) ISO Guide 27, ‘‘Guidelines for Referenced Standards and Definitions, Rotating electrical machines, Part 12: corrective action to be taken by a paragraphs 1.16.1, 1.16.1.1, 1.17.1.1, Starting performance of single-speed certification body in the event of either 1.17.1.2, and 1.40.1; three-phase cage induction motors for misapplication of its mark of conformity (B) Section I, General Standards voltages up to and including 660 V, to a product, or products which bear the Applying to All Machines, Part 4, with Amendment 1 (1992) and mark of the certification body being Dimensions, Tolerances, and Mounting, Amendment 2 (1995), clauses 1, 2, 3.1, found to subject persons or property to paragraph 4.01 and Figures 4–1, 4–2, 4– 4, 5, and 6, and Tables I, II, and III. risk.’’ 3, and 4–4; (3) Inspection of standards. The (iv) ISO/IEC Guide 28, ‘‘General rules (C) Section II, Small (Fractional) and standards incorporated by reference are for a model third-party certification Medium (Integral) Machines, Part 11, available for inspection at: system for products.’’ Dimensions-AC and DC Small and (i) Office of the Federal Register (v) ISO/IEC Guide 58, ‘‘Calibration Medium Machines, paragraphs 11.01.2, Information Center, 800 North Capitol and testing laboratory accreditation 11.31 (except the lines for frames 447T, Street, NW, Suite 700, Washington, DC; systems—General requirements for 447TS, 449T and 449TS), 11.32, 11.34 (ii) U.S. Department of Energy, Office operation and recognition.’’ (except the line for frames 447TC and of Energy Efficiency and Renewable (vi) ISO/IEC Guide 65, ‘‘General 449TC, and the line for frames 447TSC Energy, Hearings and Dockets, ‘‘Test requirements for bodies operating and 449TSC), 11.35, and 11.36 (except Procedures, Labeling, and Certification product certification systems.’’ the line for frames 447TD and 449TD, Requirements for Electric Motors,’’ § 431.23 Test procedures for the and the line for frames 447TSD and Docket No. EE–RM–96–400, Forrestal measurement of energy efficiency. 449TSD), and Table 11–1; Building, 1000 Independence Avenue, For purposes of 10 CFR Part 431 and (D) Section II, Small (Fractional) and SW, Washington, DC. EPCA, the test procedures for measuring Medium (Integral) Machines, Part 12, (4) Availability of standards. the energy efficiency of an electric Tests and Performance-AC and DC Standards incorporated by reference motor shall be the test procedures Motors, paragraphs 12.35.1, 12.35.5, may be obtained from the following specified in appendix A to this subpart 12.38.1, 12.39.1, and 12.40.1, 12.58.1, sources: B. and Tables 12–2 and 12–8; and (i) Copies of IEEE Standard 112–1996 (E) Section II, Small (Fractional) and can be obtained from the Institute of § 431.24 Determination of efficiency. Medium (Integral) Machines, Part 14, Electrical and Electronics Engineers, When a party determines the energy Application Data-AC and DC Small and Inc., 445 Hoes Lane, P.O. Box 1331, efficiency of an electric motor in order
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(ii) Each manufacturer that has used duplication; and (1) General Requirements. The an AEDM under this section shall have average full load efficiency of each basic available for inspection by the (D) Each basic model should be model of electric motor must be Department of Energy records showing: expected to have the lowest nominal determined either by testing in the method or methods used; the full load efficiency among the basic accordance with § 431.23 of this mathematical model, the engineering or models with the same rating (‘‘rating’’ as subpart, or by application of an statistical analysis, computer simulation used here has the same meaning as it alternative efficiency determination or modeling, and other analytic has in the definition of ‘‘basic model’’). method (AEDM) that meets the evaluation of performance data on (ii) In any instance where it is requirements of paragraphs (a)(2) and which the AEDM is based; complete test impossible for a manufacturer to select (3) of this section, provided, however, data, product information, and related basic models for testing in accordance that an AEDM may be used to determine information that the manufacturer has with all of these criteria, the criteria the average full load efficiency of one or generated or acquired pursuant to shall be given priority in the order in more of a manufacturer’s basic models §§ 431.24(a)(3) and (a)(4)(i); and the which they are listed. Within the limits only if the average full load efficiency calculations used to determine the imposed by the criteria, basic models of at least five of its other basic models average full load efficiency and total shall be selected randomly. is determined through testing. power losses of each basic model to (2) Selection of units for testing. For (2) Alternative efficiency which the AEDM was applied. each basic model selected for testing,2 a determination method. An AEDM (iii) If requested by the Department, sample of units shall be selected at applied to a basic model must be: the manufacturer shall conduct random and tested. The sample shall be (i) Derived from a mathematical simulations to predict the performance comprised of production units of the model that represents the mechanical of particular basic models of electric basic model, or units that are and electrical characteristics of that motors specified by the Department, representative of such production units. basic model, and analyses of previous simulations The sample size shall be not fewer than (ii) Based on engineering or statistical conducted by the manufacturer, sample five units, except that when fewer than analysis, computer simulation or testing of basic models selected by the five units of a basic model would be modeling, or other analytic evaluation Department, or a combination of the produced over a reasonable period of of performance data. foregoing. time (approximately 180 days), then (3) Substantiation of an alternative (5) Use of a certification program or each unit shall be tested. In a test of efficiency determination method. Before accredited laboratory. compliance with a represented average an AEDM is used, its accuracy and (i) A manufacturer may have a or nominal efficiency: reliability must be substantiated as certification program, that DOE has (i) The average full-load efficiency of follows: classified as nationally recognized the sample X¯ which is defined by (i) The AEDM must be applied to at under § 431.27, certify the nominal full least five basic models that have been load efficiency of a basic model of n = 1 tested in accordance with § 431.23 of electric motor, and issue a certificate of X ∑ X i , this subpart, and conformity for the motor. n i=1 (ii) The predicted total power loss for (ii) For each basic model for which a where Xi is the measured full-load each such basic model, calculated by certification program is not used as efficiency of unit i and n is the number applying the AEDM, must be within described in paragraph (a)(5)(i) of this of units tested, shall satisfy the plus or minus ten percent of the mean section, any testing of the motor condition: total power loss determined from the pursuant to § 431.24(a)(1) through (3) to testing of that basic model. determine its energy efficiency must be 100 (4) Subsequent verification of an X ≥ carried out in accordance with 100 AEDM. § 431.24(b), in an accredited laboratory 1+ 1. 05 − 1 (i) Each manufacturer shall that meets the requirements of § 431.25. RE periodically select basic models (This includes testing of the basic where RE is the represented nominal representative of those to which it has model, pursuant to § 431.24(a)(3)(i), to full-load efficiency, and applied an AEDM, and for each basic substantiate an AEDM.) model selected shall either: (b) Additional testing requirements (ii) The lowest full-load efficiency in (A) Subject a sample of units to applicable when a certification program the sample Xmin, which is defined by testing in accordance with §§ 431.23 is not used. X = min(X ) and 431.24(b)(2) by an accredited (1) Selection of basic models for min i laboratory that meets the requirements testing. shall satisfy the condition of § 431.25, (i) Basic models must be selected for (B) Have a certification body testing in accordance with the following 1 In identifying these five basic models, any recognized under § 431.27 certify its criteria: electric motor that does not comply with § 431.42, nominal full load efficiency, or (A) Two of the basic models must be shall be excluded from consideration. (C) Have an independent state- among the five basic models with the 2 Components of similar design may be substituted without requiring additional testing if registered professional engineer, who is highest unit volumes of production by the represented measures of energy consumption qualified to perform an evaluation of the manufacturer in the prior year, or continue to satisfy the applicable sampling electric motor efficiency in a highly during the prior 12 calendar month provision.
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§ 431.26 Department of Energy recognition ≥ 100 distributor, private labeler, vendor, X min of accreditation bodies. trade association or other such entity, as +100 − 1 115. 1 (a) Petition. To be classified by the well as any other relationship it believes RE Department of Energy as an might appear to create a conflict of (3) Substantiation of an alternative accreditation body, an organization interest for it in performing as an efficiency determination method. The must submit a petition to the accreditation body for electric motor basic models tested under Department requesting such testing laboratories. It should explain § 431.24(a)(3)(i) must be selected for classification, in accordance with why it believes such relationship(s) testing in accordance with paragraph paragraph (c) of this section and would not compromise its (b)(1), and units of each such basic § 431.28 of this part. The petition must independence as an accreditation body. model must be tested in accordance demonstrate that the organization meets (3) Qualifications to do accrediting. with paragraph (b)(2) by an accredited the criteria in paragraph (b) of this Experience in accrediting should be laboratory that meets the requirements section. discussed and substantiated by of § 431.25. (b) Evaluation criteria. To be supporting documents. Of particular classified as an accreditation body by relevance would be documentary § 431.25 Testing laboratories. the Department, the organization must evidence that establishes experience in (a) Testing pursuant to meet the following criteria: the application of guidelines contained § 431.24(a)(5)(ii) must be conducted in (1) It must have satisfactory standards in the ISO/IEC Guide 58, Calibration an accredited laboratory for which the and procedures for conducting and and testing laboratory accreditation accreditation body was: administering an accreditation system systems—General requirements for (1) The National Institute of Standards and for granting accreditation. This operation and recognition, as well as and Technology/National Voluntary must include provisions for periodic experience in overseeing compliance Laboratory Accreditation Program audits to verify that the laboratories with the guidelines contained in the (NIST/NVLAP), or receiving its accreditation continue to ISO/IEC Guide 25, General (2) A laboratory accreditation body conform to the criteria by which they Requirements for the Competence of having a mutual recognition were initially accredited, and for Calibration and Testing Laboratories. arrangement with NIST/NVLAP, or withdrawal of accreditation where such (4) Expertise in electric motor test conformance does not occur, including (3) An organization classified by the procedures. The petition should set failure to provide accurate test results. Department, pursuant to section 431.26, forth the organization’s experience with (2) It must be independent of electric the test procedures and methodologies as an accreditation body. motor manufacturers, importers, (b) NIST/NVLAP is under the in IEEE Standard 112–1996 Test Method distributors, private labelers or vendors. B and CSA Standard C390–93 Test auspices of the National Institute of It cannot be affiliated with, have Standards and Technology (NIST) Method (1), and with similar procedures financial ties with, be controlled by, or and methodologies. This part of the which is part of the U.S. Department of be under common control with any such Commerce. NIST/NVLAP accreditation petition should include description of entity. prior projects, qualifications of staff is granted on the basis of conformance (3) It must be qualified to perform the with criteria published in 15 CFR Part members, and the like. Of particular accrediting function in a highly relevance would be documentary 285, The National Voluntary Laboratory competent manner. Accreditation Program Procedures and evidence that establishes experience in (4) It must be expert in the content applying the guidelines contained in the General Requirements. NIST Handbook and application of the test procedures 150–10, August 1995, presents the ISO/IEC Guide 25, General and methodologies in IEEE Standard Requirements for the Competence of technical requirements of the National 112–1996 Test Method B and CSA Voluntary Laboratory Accreditation Calibration and Testing Laboratories, to Standard C390–93 Test Method (1), or energy efficiency testing for electric Program for the Efficiency of Electric similar procedures and methodologies Motors field of accreditation. This motors. for determining the energy efficiency of (d) Disposition. The Department will handbook supplements NIST Handbook electric motors. evaluate the petition in accordance with 150, National Voluntary Laboratory (c) Petition format. Each petition section 431.28, and will determine Accreditation Program Procedures and requesting classification as an whether the applicant meets the criteria General Requirements, which contains accreditation body must contain a in paragraph (b) of this section to be 15 CFR Part 285 of the U.S. Code of narrative statement as to why the classified as an accrediting body. Federal Regulations plus all general organization meets the criteria set forth NIST/NVLAP procedures, criteria, and in paragraph (b) of this section, must be § 431.27 Department of Energy recognition policies. Changes in NIST/NVLAP’s signed on behalf of the organization by of nationally recognized certification criteria, procedures, policies, standards an authorized representative, and must programs. or other bases for granting accreditation, be accompanied by documentation that (a) Petition. For a certification occurring subsequent to the initial supports the narrative statement. The program to be classified by the effective date of 10 CFR part 431 shall following provides additional guidance: Department of Energy as being not apply to accreditation under this (1) Standards and procedures. A copy nationally recognized in the United part unless approved in writing by the of the organization’s standards and States for the purposes of section 345 of Department of Energy. Copies of NIST procedures for operating an EPCA (‘‘nationally recognized’’), the Handbooks 150 and 150–10 and accreditation system and for granting organization operating the program information regarding NIST/NVLAP and accreditation should accompany the must submit a petition to the its Efficiency of Electric Motors Program petition. Department requesting such (EEM) can be obtained from NIST/ (2) Independent status. The classification, in accordance with NVLAP, 100 Bureau Drive, Mail Stop petitioning organization should identify paragraph (c) of this section and section 2140, Gaithersburg, MD 20899–2140, and describe any relationship, direct or 431.28 of this part. The petition must telephone (301) 975–4016, or telefax indirect, that it has with an electric demonstrate that the program meets the (301) 926–2884. motor manufacturer, importer, criteria in paragraph (b) of this section.
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(b) Evaluation criteria. For a compromise its independence in 1004.11, any request for confidential certification program to be classified by operating a certification program. treatment of any information contained the Department as nationally (3) Qualifications to operate a in such a Petition or in supporting recognized, it must meet the following certification system. Experience in documentation must be accompanied by criteria: operating a certification system should a copy of the Petition or supporting (1) It must have satisfactory standards be discussed and substantiated by documentation from which the and procedures for conducting and supporting documents. Of particular information claimed to be confidential administering a certification system, relevance would be documentary has been deleted. including periodic follow up activities evidence that establishes experience in (b) Public notice and solicitation of to assure that basic models of electric the application of guidelines contained comments. DOE shall publish in the motor continue to conform to the in the ISO/IEC Guide 65, General Federal Register the Petition from efficiency levels for which they were requirements for bodies operating which confidential information, as certified, and for granting a certificate of product certification systems, ISO/IEC determined by DOE, has been deleted in conformity. Guide 27, Guidelines for corrective accordance with 10 CFR 1004.11 and (2) It must be independent of electric action to be taken by a certification shall solicit comments, data and motor manufacturers, importers, body in the event of either information on whether the Petition distributors, private labelers or vendors. misapplication of its mark of conformity should be granted. The Department It cannot be affiliated with, have to a product, or products which bear the shall also make available for inspection financial ties with, be controlled by, or mark of the certification body being and copying the Petition’s supporting be under common control with any such found to subject persons or property to documentation from which confidential entity. risk, and ISO/IEC Guide 28, General information, as determined by DOE, has (3) It must be qualified to operate a rules for a model third-party been deleted in accordance with 10 CFR certification system in a highly certification system for products, as well 1004.11. Any person submitting written competent manner. as experience in overseeing compliance comments to DOE with respect to a (4) It must be expert in the content with the guidelines contained in the Petition shall also send a copy of such and application of the test procedures ISO/IEC Guide 25, General requirements comments to the petitioner. (c) Responsive statement by the and methodologies in IEEE Standard for the competence of calibration and petitioner. A petitioner may, within 10 112–1996 Test Method B and CSA testing laboratories. working days of receipt of a copy of any Standard C390–93 Test Method (1), or (4) Expertise in electric motor test comments submitted in accordance with similar procedures and methodologies procedures. The petition should set forth the program’s experience with the paragraph (b) of this section, respond to for determining the energy efficiency of such comments in a written statement electric motors. It must have satisfactory test procedures and methodologies in IEEE Standard 112–1996 Test Method B submitted to the Assistant Secretary for criteria and procedures for the selection Energy Efficiency and Renewable and sampling of electric motors tested and CSA Standard C390–93 Test Method (1), and with similar procedures Energy. A petitioner may address more for energy efficiency. than one set of comments in a single (c) Petition format. Each petition and methodologies. This part of the petition should include description of responsive statement. requesting classification as a nationally (d) Public announcement of interim recognized certification program must prior projects, qualifications of staff members, and the like. Of particular determination and solicitation of contain a narrative statement as to why comments. The Assistant Secretary for the program meets the criteria listed in relevance would be documentary evidence that establishes experience in Energy Efficiency and Renewable paragraph (b) of this section, must be Energy shall issue an interim signed on behalf of the organization applying guidelines contained in the ISO/IEC Guide 25, General requirements determination on the Petition as soon as operating the program by an authorized is practicable following receipt and representative, and must be for the competence of calibration and testing laboratories, to energy efficiency review of the Petition and other accompanied by documentation that applicable documents, including, but supports the narrative statement. The testing for electric motors. (d) Disposition. The Department will not limited to, comments and responses following provides additional guidance evaluate the petition in accordance with to comments. The petitioner shall be as to the specific criteria: § 431.28, and will determine whether notified in writing of the interim (1) Standards and procedures. A copy the applicant meets the criteria in determination. DOE shall also publish of the standards and procedures for paragraph (b) of this section for in the Federal Register the interim operating a certification system and for classification as a nationally recognized determination and shall solicit granting a certificate of conformity certification program. comments, data and information with should accompany the petition. respect to that interim determination. (2) Independent status. The § 431.28 Procedures for recognition and Written comments and responsive petitioning organization should identify withdrawal of recognition of accreditation statements may be submitted as and describe any relationship, direct or bodies and certification programs. provided in paragraphs (b) and (c) of indirect, that it or the certification (a) Filing of petition. Any petition this section. program has with an electric motor submitted to the Department pursuant (e) Public announcement of final manufacturer, importer, distributor, to § 431.26(a) or 431.27(a) of this part, determination. The Assistant Secretary private labeler, vendor, trade association shall be entitled ‘‘Petition for for Energy Efficiency and Renewable or other such entity, as well as any other Recognition’’ (‘‘Petition’’) and must be Energy shall as soon as practicable, relationship it believes might appear to submitted, in triplicate to the Assistant following receipt and review of create a conflict of interest for the Secretary for Energy Efficiency and comments and responsive statements on certification program in operating a Renewable Energy, United States the interim determination, publish in certification system for compliance by Department of Energy, 1000 the Federal Register a notice of final electric motors with energy efficiency Independence Avenue, SW, determination on the Petition. standards. It should explain why it Washington, DC 20585. In accordance (f) Additional information. The believes such relationship would not with the provisions set forth in 10 CFR Department may, at any time during the
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Each Petition for units of the same product type (as listed Petition and supporting documents, or Waiver shall: in section 340(1) of the Act) and must may also be based on such additional (i) Identify the particular basic include in the notice a statement that information as the Department deems model(s) for which a waiver is DOE has published in the Federal appropriate. requested, the design characteristic(s) Register on a certain date the Petition (g) Withdrawal of recognition. constituting the grounds for the petition, for Waiver and supporting documents (1) Withdrawal by the Department. If and the specific requirements sought to from which confidential information, if the Department believes that an be waived and shall discuss in detail the any, as determined by DOE, has been accreditation body or certification need for the requested waiver; deleted in accordance with 10 CFR program that has been recognized under (ii) Identify manufacturers of all other 1004.11. Each petitioner, in complying § 431.26 or 431.27, respectively, is basic models marketed in the United with the requirements of this paragraph, States and known to the petitioner to failing to meet the criteria of paragraph must file with DOE a statement incorporate similar design (b) of the section under which it is certifying the names and addresses of characteristic(s); each person to whom a notice of the recognized, the Department will so (iii) Include any alternate test advise such entity and request that it Petition for Waiver has been sent. procedures known to the petitioner to (2) Each applicant for Interim Waiver, take appropriate corrective action. The evaluate in a manner representative of whether filing jointly with, or Department will give the entity an the energy consumption characteristics subsequent to, a Petition for Waiver opportunity to respond. If after of the basic model; and receiving such response, or no response, (iv) Be signed by the petitioner or by with DOE, must concurrently notify in the Department believes satisfactory an authorized representative. In writing all known manufacturers of correction has not been made, the accordance with the provisions set forth domestically marketed units of the same Department will withdraw its in 10 CFR 1004.11, any request for product type (as listed in Section 340(1) recognition from that entity. confidential treatment of any of the Act) and must include in the (2) Voluntary withdrawal. An information contained in a Petition for notice a copy of the Petition for Waiver accreditation body or certification Waiver or in supporting documentation and a copy of the Application for program may withdraw itself from must be accompanied by a copy of the Interim Waiver. In complying with this recognition by the Department by petition, application or supporting section, each applicant must in the advising the Department in writing of documentation from which the written notification include a statement such withdrawal. It must also advise information claimed to be confidential that the Assistant Secretary for Energy those that use it (for an accreditation has been deleted. DOE shall publish in Efficiency and Renewable Energy will body, the testing laboratories, and for a the Federal Register the petition and receive and consider timely written certification organization, the supporting documents from which comments on the Application for manufacturers) of such withdrawal. confidential information, as determined Interim Waiver. Each applicant, upon (3) Notice of withdrawal of by DOE, has been deleted in accordance filing an Application for Interim Waiver, recognition. The Department will with 10 CFR 1004.11 and shall solicit must in complying with the publish in the Federal Register a notice comments, data and information with requirements of this paragraph certify to of any withdrawal of recognition that respect to the determination of the DOE that a copy of these documents occurs pursuant to this paragraph (g). petition. have been sent to all known (2) An Application for Interim Waiver manufacturers of domestically marked § 431.29 Petitions for waiver, and must be submitted in triplicate, with the units of the same product type (as listed applications for interim waiver, of test in section 340(1) of the Act). Such procedure. required three copies of the Petition for Waiver, to the Assistant Secretary for certification must include the names (a) General criteria. Energy Efficiency and Renewable and addresses of such persons. Each (1) Any interested person may submit Energy, U.S. Department of Energy. applicant also must comply with the a petition to waive for a particular basic Each Application for Interim Waiver provisions of paragraph (c)(1) of this model any requirements of § 431.23 of shall reference the Petition for Waiver section with respect to the petition for this subpart, upon the grounds that by identifying the particular basic waiver. either the basic model contains one or model(s) for which a waiver and (d) Comments; responses to more design characteristics which either temporary exception are being sought. comments. prevent testing of the basic model Each Application for Interim Waiver (1) Any person submitting written according to the prescribed test shall demonstrate likely success of the comments to DOE with respect to an procedures, or the prescribed test Petition for Waiver and shall address Application for Interim Waiver must procedures may evaluate the basic what economic hardship and/or also send a copy of the comments to the model in a manner so unrepresentative competitive disadvantage is likely to applicant. of its true energy consumption result absent a favorable determination (2) Any person submitting written characteristics as to provide materially on the Application for Interim Waiver. comments to DOE with the respect to a inaccurate comparative data. Each Application for Interim Waiver Petition for Waiver must also send a (2) Any interested person who has shall be signed by the applicant or by copy of such comments to the submitted a Petition for Waiver as an authorized representative. petitioner. In accordance with provided in this subpart may also file an (c) Notification to other subparagraph (b)(1) of this section, a Application for Interim Waiver of the manufacturers. petitioner may submit a rebuttal applicable test procedure requirements. (1) Each petitioner, after filing a statement to the Assistant Secretary for (b) Submission, content, and Petition for Waiver with DOE, and after Energy Efficiency and Renewable publication. the Petition for Waiver has been Energy.
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(e) Provisions specific to interim (3) Consequence of filing petition. The the Stray-Load Loss and Direct waivers. filing of a Petition for Waiver will not Measurement of the Stator Winding (1) Disposition of application. If constitute grounds for noncompliance (I2R), Rotor Winding (I2R), Core and administratively feasible, applicant will with any requirements of this subpart, Windage-Friction Losses, or be notified in writing of the disposition until a waiver or interim waiver has (2) IEEE Standard 112–1996 Test of the Application for Interim Waiver been granted. Method B, Input-Output with Loss within 15 business days of receipt of the (4) Granting of waivers: criteria, Segregation, with IEEE correction notice application. Notice of DOE’s conditions, and publication. Waivers of January 20, 1998, except as follows: determination on the Application for will be granted by the Assistant (i) Page 8, subclause 5.1.1, Specified Interim Waiver must be published in the Secretary for Energy Efficiency and temperature, the introductory clause Federal Register. Renewable Energy, if it is determined does not apply. Instead the following (2) Consequences of filing application. that the basic model for which the applies: The filing of an Application for Interim waiver was requested contains a design The specified temperature used in Waiver shall not constitute grounds for characteristic which either prevents making resistance corrections should be noncompliance with any requirements testing of the basic model according to determined by one of the following of this subpart, until an Interim Waiver the prescribed test procedures, or the (Test Method B only allows the use of has been granted. prescribed test procedures may evaluate preference a) or b).), which are listed in (3) Criteria for granting. An Interim the basic model in a manner so order of preference. Waiver from test procedure unrepresentative of its true energy (ii) Page 17, subclause 6.4.1.3, No- requirements will be granted by the consumption characteristics as to load test, the text does not apply. Assistant Secretary for Energy Efficiency provide materially inaccurate Instead, the following applies: and Renewable Energy if it is comparative data. Waivers may be See 5.3 including 5.3.3, the separation determined that the applicant will granted subject to conditions, which of core loss from friction and windage experience economic hardship if the may include adherence to alternate test loss. Prior to making this test, the Application for Interim Waiver is procedures specified by the Assistant machine shall be operated at no-load denied, if it appears likely that the Secretary for Energy Efficiency and until the input has stabilized. Petition for Waiver will be granted, and/ Renewable Energy. The Assistant (iii) Page 40, subclause 8.6.3, or the Assistant Secretary determines Secretary will promptly publish in the Termination of test, the third sentence that it would be desirable for public Federal Register notice of each waiver does not apply. Instead, the following policy reasons to grant immediate relief granted or denied, and any limiting applies: pending a determination on the Petition conditions of each waiver granted. For continuous rated machines, the for Waiver. (g) Revision of regulation. Within one temperature test shall continue until ° (4) Duration. An interim waiver will year of the granting of any waiver, the there is 1 C or less change in terminate 180 days after issuance or Department of Energy will publish in temperature rise over a 30-minute time upon the determination on the Petition the Federal Register a notice of period. for Waiver, whichever occurs first. An proposed rulemaking to amend its (iv) Page 47, at the top of 10.2 Form interim waiver may be extended by DOE regulations so as to eliminate any need B, immediately after the line that reads for 180 days. Notice of such extension for the continuation of such waiver. As ‘‘Rated Load Heat Run Stator Winding and/or any modification of the terms or soon thereafter as practicable, the Resistance Between Terminals,’’ the duration of the interim waiver shall be Department of Energy will publish in following additional line applies: published in the Federal Register, and the Federal Register a final rule. Such Temperature for Resistance Correction lll ° shall be based on relevant information waiver will terminate on the effective (ts) = C (See 6.4.3.2). contained in the record and any date of such final rule. (v) Page 47, at the bottom of 10.2 comments received subsequent to (h) Exhaustion of remedies. In order Form B, after the first sentence to issuance of the interim waiver. to exhaust administrative remedies, any footnote tt, the following additional person aggrieved by an action under this (f) Provisions specific to waivers.—(1) sentence applies: section must file an appeal with the Rebuttal by petitioner. Following The values for ts and tt shall be based DOE’s Office of Hearings and Appeals as publication of the Petition for Waiver in on the same method of temperature provided in 10 CFR Part 1003, subpart the Federal Register, a petitioner may, measurement, selected from the four C. within 10 working days of receipt of a methods in subclause 8.3. copy of any comments submitted in Appendix A to Subpart B of Part 431— (vi) Page 47, at the bottom of 10.2 accordance with paragraph (b)(1) of this Uniform Test Method for Measuring Form B, below the footnotes and above section, submit a rebuttal statement to Nominal Full Load Efficiency of ‘‘Summary of Characteristics,’’ the the Assistant Secretary for Energy Electric Motors following additional note applies: Note: The temperature for resistance Efficiency and Renewable Energy. A 1. Definitions. petitioner may rebut more than one correction (ts) is equal to [(4)¥(5) + Definitions contained in section 431.2 ° response in a single rebuttal statement. are applicable to this appendix. 25 C]. (2) Disposition of petition. The 2. Test procedures. (vii) Page 48, item (22), the torque petitioner will be notified in writing as Efficiency and losses shall be constants ‘‘k = 9.549 for torque, in N•m’’ soon as practicable of the disposition of determined in accordance with NEMA and ‘‘k = 7.043 for torque, in lbf•ft’’ do each Petition for Waiver. The Assistant MG1–1993 with Revisions 1 through 4, not apply. Instead, the following Secretary for Energy Efficiency and paragraph 12.58.1, ‘‘Determination of applies: Renewable Energy will issue a decision Motor Efficiency and Losses,’’ and ‘‘k2 = 9.549 for torque, in N•m’’ and on the petition as soon as is practicable either ‘‘k2 = 7.043 for torque, in lbf•ft.’’ following receipt and review of the (1) CSA International (or Canadian (viii) Page 48, at the end of item (27), Petition for Waiver and other applicable Standards Association) Standard C390– the following additional reference documents, including, but not limited 93 Test Method (1), Input-Output applies: to, comments and rebuttal statements. Method with Indirect Measurement of ‘‘See 6.4.3.2’’.
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(ix) Page 48, item (29), ‘‘See 4.3.2.2, procedures required under part 431 and § 431.42 Energy conservation standards Eq. 4,’’ does not apply. Instead the this appendix A, unless and until part and effective dates. following applies: 431 and this appendix A are amended. (a) Each electric motor manufactured Is equal to (10) • [k1 + (4) ¥ (5) + (alone or as a component of another 25°C] / [k1 + (7)], see 6.4.3.3’’. Subpart CÐEnergy Conservation 3. Amendments to test procedures. Standards piece of equipment) after October 24, Any revision to IEEE Std 112–1996 1997, or in the case of an electric motor Test Method B with correction notice of § 431.41 Purpose and scope. which requires listing or certification by January 20, 1998, to NEMA Standards This subpart contains energy a nationally recognized safety testing Publication MG1–1993 with Revisions 1 conservation standards for certain types laboratory, after October 24, 1999, shall through 4, or to CSA Standard C390–93 of covered equipment pursuant to Part have a nominal full load efficiency of Test Method (1), subsequent to C–Certain Industrial Equipment, Energy not less than the following: promulgation of this appendix A, shall Policy and Conservation Act, as not be effective for purposes of test amended (42 U.S.C. 6211 et seq.).
Nominal Full Load Efficiency Number of poles Open Motors Enclosed Motors 6 4 2 6 4 2
Motor Horsepower/Standard Kilowatt Equivalent
1/.75 ...... 80.0 82.5 ...... 80.0 82.5 75.5 1.5/1.1 ...... 84.0 84.0 82.5 85.5 84.0 82.5 2/1.5 ...... 85.5 84.0 84.0 86.5 84.0 84.0 3/2.2 ...... 86.5 86.5 84.0 87.5 87.5 85.5 5/3.7 ...... 87.5 87.5 85.5 87.5 87.5 87.5 7.5/5.5 ...... 88.5 88.5 87.5 89.5 89.5 88.5 10/7.5 ...... 90.2 89.5 88.5 89.5 89.5 89.5 15/11 ...... 90.2 91.0 89.5 90.2 91.0 90.2 20/15 ...... 91.0 91.0 90.2 90.2 91.0 90.2 25/18.5 ...... 91.7 91.7 91.0 91.7 92.4 91.0 30/22 ...... 92.4 92.4 91.0 91.7 92.4 91.0 40/30 ...... 93.0 93.0 91.7 93.0 93.0 91.7 50/37 ...... 93.0 93.0 92.4 93.0 93.0 92.4 60/45 ...... 93.6 93.6 93.0 93.6 93.6 93.0 75/55 ...... 93.6 94.1 93.0 93.6 94.1 93.0 100/75 ...... 94.1 94.1 93.0 94.1 94.5 93.6 125/90 ...... 94.1 94.5 93.6 94.1 94.5 94.5 150/110 ...... 94.5 95.0 93.6 95.0 95.0 94.5 200/150 ...... 94.5 95.0 94.5 95.0 95.0 95.0
(b) For purposes of determining the or (b)(2) of this section, whichever an energy conservation standard or required minimum nominal full load applies. other requirement respecting energy use efficiency of an electric motor that has (c) This section does not apply to or energy efficiency of a type (or class) a horsepower or kilowatt rating between definite purpose motors, special of covered equipment not be preempted. two horsepowers or kilowattages listed purpose motors, and those motors (b) The regulations in this subpart consecutively in paragraph (a) of this exempted by the Secretary. also prescribe the procedures to be section, each such motor shall be followed in connection with petitions to deemed to have a horsepower or § 431.43 Preemption of state regulations. withdraw a rule exempting a State kilowatt rating that is listed in Any state regulation providing for any regulation prescribing an energy paragraph (a). The rating that the motor energy conservation standard, or other conservation standard or other is deemed to have shall be determined requirement with respect to the energy requirement respecting energy use or as follows: efficiency or energy use, of an electric energy efficiency of a type (or class) of (1) A horsepower at or above the motor that is not identical to a Federal covered equipment. standard in effect under this subpart is midpoint between the two consecutive § 431.62 Prescriptions of a rule. preempted by that standard, except as horsepowers shall be rounded up to the (a) Criteria for exemption from higher of the two horsepowers; provided for in sections 345(a) and 327(b) and (c) of the Act. preemption. Upon petition by a State (2) A horsepower below the midpoint which has prescribed an energy between the two consecutive Subpart DÐPetitions To Exempt State conservation standard or other horsepowers shall be rounded down to Regulation From Preemption; Petitions requirement for a type or class of the lower of the two horsepowers, or To Withdraw Exemption of State covered equipment for which a Federal (3) A kilowatt rating shall be directly Regulation energy conservation standard is converted from kilowatts to horsepower applicable, the Secretary shall prescribe using the formula, 1 kilowatt = (1/0.746) § 431.61 Purpose and scope. a rule that such standard not be horsepower, without calculating beyond (a) The regulations in this subpart preempted if he/she determines that the three significant decimal places, and the prescribe the procedures to be followed State has established by a resulting horsepower shall be rounded in connection with petitions requesting preponderance of evidence that such in accordance with subparagraph (b)(1) a rule that a State regulation prescribing requirement is needed to meet unusual
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A petition accordance with the Department of U.S. generally, and are such that when from a State for a rule for exemption Energy’s Freedom of Information evaluated within the context of the from preemption shall include the Regulations set forth in 10 CFR Part State’s energy plan and forecast, the information listed in paragraphs (a)(1)(i) 1004: costs, benefits, burdens, and reliability through (a)(1)(vi) of this section. A (i) A description of the energy of energy savings resulting from the petition for a rule and correspondence emergency condition which exists State regulation make such regulation relating to such petition shall be within the State, including causes and preferable or necessary when measured available for public review except for impacts. confidential or proprietary information against the costs, benefits, burdens, and (ii) A description of emergency submitted in accordance with the reliability of alternative approaches to response actions taken by the State and Department of Energy’s Freedom of energy savings or production, including utilities within the State to alleviate the Information Regulations set forth in 10 reliance on reasonably predictable emergency condition; market-induced improvements in CFR Part 1004. (i) The name, address, and telephone (iii) An analysis of why the efficiency of all equipment subject to emergency condition cannot be the State regulation. The Secretary may number of the petitioner; (ii) A copy of the State standard for alleviated substantially by importation not prescribe such a rule if he finds that which a rule exempting such standard of energy or the use of interconnection interested persons have established, by is sought; agreements; a preponderance of the evidence, that (iii) A copy of the State’s energy plan (iv) An analysis of how the State the State’s regulation will significantly and forecast; standard can alleviate substantially such burden manufacturing, marketing, (iv) Specification of each type or class emergency condition. distribution, sale or servicing of the of covered product for which a rule (c) Criteria for withdrawal of a rule covered equipment on a national basis. exempting a standard is sought; exempting a State standard. Any person In determining whether to make such a (v) Other information, if any, believed subject to a State standard which, by finding, the Secretary shall evaluate all to be pertinent by the petitioner; and rule, has been exempted from Federal relevant factors including: The extent to (vi) Such other information as the preemption and which prescribes an which the State regulation will increase Secretary may require. energy conservation standard or other manufacturing or distribution costs of (b) Criteria for exemption from requirement for a type or class of manufacturers, distributors, and others; preemption when energy emergency covered equipment, when the Federal the extent to which the State regulation conditions exist within State. Upon energy conservation standard for such will disadvantage smaller petition by a State which has prescribed product subsequently is amended, may manufacturers, distributors, or dealers an energy conservation standard or petition the Secretary requesting that or lessen competition in the sale of the other requirement for a type or class of the exemption rule be withdrawn. The covered equipment in the State; the covered equipment for which a Federal Secretary shall consider such petition in extent to which the State regulation energy conservation standard is accordance with the requirements of would cause a burden to manufacturers applicable, the Secretary may prescribe paragraph (a) of this section, except that to redesign and produce the covered a rule, effective upon publication in the the burden shall be on the petitioner to equipment type (or class), taking into Federal Register, that such regulation demonstrate that the exemption rule consideration the extent to which the not be preempted if he determines that received by the State should be regulation would result in a reduction in addition to meeting the requirements withdrawn as a result of the amendment in the current models, or in the of paragraph (a) of this section the State to the Federal standard. The Secretary projected availability of models, that has established that: an energy shall withdraw such rule if he could be shipped on the effective date emergency condition exists within the determines that the petitioner has of the regulation to the State and within State that imperils the health, safety, shown the rule should be withdrawn. the U.S., or in the current or projected and welfare of its residents because of sales volume of the covered equipment the inability of the State or utilities (1) Requirements of petition to type (or class) in the State and the U.S.; within the State to provide adequate withdraw a rule exempting a State and the extent to which the State quantities of gas or electric energy to its standard. A petition for a rule to regulation is likely to contribute residents at less than prohibitive costs; withdraw a rule exempting a State significantly to a proliferation of State and cannot be substantially alleviated standard shall include the information commercial and industrial equipment by the importation of energy or the use prescribed in paragraphs (c)(1)(i) efficiency requirements and the of interconnection agreements; and the through (c)(1)(vii) of this section, and cumulative impact such requirements State regulation is necessary to alleviate shall be available for public review, would have. The Secretary may not substantially such condition. except for confidential or proprietary prescribe such a rule if he/she finds that (1) Requirements of petition for information submitted in accordance such a rule will result in the exemption from preemption when with the Department of Energy’s unavailability in the State of any energy emergency conditions exist Freedom of Information Regulations set covered equipment (or class) of within a State. A petition from a State forth in 10 CFR Part 1004: performance characteristics (including for a rule for exemption from (i) The name, address and telephone reliability), features, sizes, capacities, preemption when energy emergency number of the petitioner; and volumes that are substantially the conditions exist within a State shall (ii) A statement of the interest of the same as those generally available in the include the information listed in petitioner for which a rule withdrawing State at the time of the Secretary’s paragraphs (a)(1)(i) through (a)(1)(vi) of an exemption is sought;
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(iii) A copy of the State standard for (e) Filing of petitions. for public comment shall be 60 days which a rule withdrawing an exemption (1) A petition for a rule shall be after the notice appears in the Federal is sought; submitted in triplicate to: The Assistant Register. (iv) Specification of each type or class Secretary for Energy Efficiency and (b) In addition to the material of covered equipment for which a rule Renewable Energy, U.S. Department of required under paragraph (a) of this withdrawing an exemption is sought; Energy, Section 327 Petitions, section, each notice shall contain a (v) A discussion of the factors Appliance Efficiency Standards, summary of the State regulation at issue contained in paragraph (a) of this Forrestal Building, 1000 Independence and the petitioner’s reasons for the rule section; Avenue, SW., Washington, DC 20585. sought. (vi) Such other information, if any, (2) A petition may be submitted on believed to be pertinent by the behalf of more than one person. A joint § 431.65 Consolidation. petitioner; and petition shall indicate each person DOE may consolidate any or all (vii) Such other information as the participating in the submission. A joint matters at issue in two or more Secretary may require. petition shall provide the information proceedings docketed where there exist required by § 431.62 for each person on common parties, common questions of § 431.63 Filing requirements. fact and law, and where such (a) Service. All documents required to whose behalf the petition is submitted. (3) All petitions shall be signed by the consolidation would expedite or be served under this subpart shall, if person(s) submitting the petition or by simplify consideration of the issues. mailed, be served by first class mail. a duly authorized representative. If Consolidation shall not affect the right Service upon a person’s duly authorized submitted by a duly authorized of any party to raise issues that could representative shall constitute service representative, the petition shall certify have been raised if consolidation had upon that person. not occurred. (b) Obligation to supply information. this authorization. A person or State submitting a petition (4) A petition for a rule to withdraw § 431.66 Hearing. is under a continuing obligation to a rule exempting a State regulation, all The Secretary may hold a public provide any new or newly discovered supporting documents, and all future hearing, and publish notice in the information relevant to that petition. submissions shall be served on each Federal Register of the date and Such information includes, but is not State agency, department, or location of the hearing, when he limited to, information regarding any instrumentality whose regulation the determines that such a hearing is other petition or request for action petitioner seeks to supersede. The necessary and likely to result in a timely subsequently submitted by that person petition shall contain a certification of and effective resolution of the issues. A or State. this service which states the name and transcript shall be kept of any such (c) The same or related matters. A mailing address of the served parties, hearing. person or State submitting a petition or and the date of service. other request for action shall state (f) Acceptance for filing. § 431.67 Disposition of petitions. whether to the best knowledge of that (1) Within fifteen (15) days of the (a) After the submission of public petitioner the same or related issue, act, receipt of a petition, the Secretary will comments under Sec. 431.63(a), the or transaction has been or presently is either accept it for filing or reject it, and Secretary shall prescribe a final rule or being considered or investigated by any the petitioner will be so notified in deny the petition within 6 months after State agency, department, or writing. The Secretary will serve a copy the date the petition is filed. instrumentality. of this notification on each other party (b) The final rule issued by the (d) Computation of time. served by the petitioner. Only such Secretary or a determination by the (1) Computing any period of time petitions which conform to the Secretary to deny the petition shall prescribed by or allowed under this requirements of this subpart and which include a written statement setting forth subpart, the day of the action from contain sufficient information for the his findings and conclusions, and the which the designated period of time purposes of a substantive decision will reasons and basis therefor. A copy of the begins to run is not to be included. If the be accepted for filing. Petitions which Secretary’s decision shall be sent to the last day of the period is Saturday, or do not so conform will be rejected and petitioner and the affected State agency. Sunday, or Federal legal holiday, the an explanation provided to petitioner in The Secretary shall publish in the period runs until the end of the next day writing. Federal Register a notice of the final that is neither a Saturday, or Sunday or (2) For purposes of the Act and this rule granting or denying the petition Federal legal holiday. subpart, a petition is deemed to be filed and the reasons and basis therefor. (2) Saturdays, Sundays, and on the date it is accepted for filing. (c) If the Secretary finds that he intervening Federal legal holidays shall (g) Docket. A petition accepted for cannot issue a final rule within the 6- be excluded from the computation of filing will be assigned an appropriate month period pursuant to paragraph (a) time when the period of time allowed or docket designation. Petitioner shall use of this section, he shall publish a notice prescribed is 7 days or less. the docket designation in all subsequent in the Federal Register extending such (3) When a submission is required to submissions. period to a date certain, but no longer be made within a prescribed time, DOE than one year after the date on which § 431.64 Notice of petition. may grant an extension of time upon the petition was filed. Such notice shall good cause shown. (a) Promptly after receipt of a petition include the reasons for the delay. (4) Documents received after regular and its acceptance for filing, notice of business hours are deemed to have been such petition shall be published in the § 431.68 Effective dates of final rules. submitted on the next regular business Federal Register. The notice shall set (a) A final rule exempting a State day. Regular business hours for the forth the availability for public review standard from Federal preemption will DOE’s National Office, Washington, DC, of all data and information available, be effective: are 8:30 a.m. to 4:30 p.m. and shall solicit comments, data and (1) Upon publication in the Federal (5) DOE reserves the right to refuse to information with respect to the Register if the Secretary determines that accept, and not to consider, untimely determination on the petition. Except as such rule is needed to meet an ‘‘energy submissions. may otherwise be specified, the period emergency condition’’ within the State.
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(2) Three years after such rule is This subpart applies only to electric of this section, shall be prominently published in the Federal Register; or motors manufactured after [ONE YEAR displayed: (3) Five years after such rule is AFTER PUBLICATION OF THIS RULE (i) on each page of a catalog that lists published in the Federal Register if the IN THE Federal Register]. the motor, and Secretary determines that such (ii) in other materials used to market additional time is necessary due to the § 431.82 Labeling requirements. the motor. burdens of retooling, redesign or (a) Electric motor nameplate. (2) The ‘‘ee’’ logo, or other similar distribution. (1) Required information. The logo or designations, may also be used (b) A final rule withdrawing a rule permanent nameplate of an electric in catalogs and other materials to the exempting a State standard will be motor for which standards are same extent they may be used on labels effective upon publication in the prescribed in § 431.42 must be marked under paragraph (a)(3) of this section. Federal Register. clearly with the following information: (i) The motor’s nominal full load § 431.83 Preemption of state regulations. § 431.69 Request for reconsideration. efficiency (as of the date of The provisions of this subpart E (a) Any petitioner whose petition for manufacture), derived from the motor’s supersede any State regulation to the a rule has been denied may request average full load efficiency as extent required by section 327 of the reconsideration within 30 days of determined pursuant to subpart B of this Act. Pursuant to the Act, all State denial. The request shall contain a Part; and regulations that require the disclosure statement of facts and reasons (ii) A Compliance Certification for any electric motor of information supporting reconsideration and shall be number (‘‘CC number’’) supplied by with respect to energy consumption, submitted in writing to the Secretary. DOE to the manufacturer or private other than the information required to (b) The denial of a petition will be labeler, pursuant to section 431.123(e), be disclosed in accordance with this reconsidered only where it is alleged and applicable to that motor. Such CC part, are superseded. and demonstrated that the denial was number must be on the nameplate of a based on error in law or fact and that motor beginning 90 days after either: Subpart FÐ[Reserved] evidence of the error is found in the (A) The manufacturer or private record of the proceedings. labeler has received the number upon Subpart GÐCertification and (c) If the Secretary fails to take action submitting a Compliance Certification Enforcement covering that motor, or on the request for reconsideration § 431.121 Purpose and scope. within 30 days, the request is deemed (B) The expiration of 21 days from denied, and the petitioner may seek DOE’s receipt of a Compliance The regulations in this subpart set such judicial review as may be Certification covering that motor, if the forth the procedures for manufacturers appropriate and available. manufacturer or private labeler has not to certify that electric motors comply (d) A petitioner has not exhausted been advised by DOE that the with the applicable energy efficiency other administrative remedies until a Compliance Certification fails to satisfy standards set forth in subpart C of this request for reconsideration has been § 431.123. part, and set forth standards and (2) Display of required information. filed and acted upon or deemed denied. procedures for enforcement of this part All orientation, spacing, type sizes, type and the underlying provisions of the § 431.70 Finality of decision. faces, and line widths to display this Act. required information shall be the same (a) A decision to prescribe a rule that § 431.122 Prohibited acts. a State energy conservation standard or as or similar to the display of the other other requirement not be preempted is performance data on the motor’s (a) Each of the following is a final on the date the rule is issued, i.e., permanent nameplate. The nominal full prohibited act pursuant to sections 332 signed by the Secretary. A decision to load efficiency shall be identified either and 345 of the Act: prescribe such a rule has no effect on by the term ‘‘Nominal Efficiency’’ or (1) Distribution in commerce by a other regulations of a covered product of ‘‘Nom. Eff.’’ or by the terms specified in manufacturer or private labeler of any any other State. paragraph 12.58.2 of NEMA MG1–1993, new covered equipment which is not (b) A decision to prescribe a rule as for example ‘‘NEMA Nom. Eff. labeled in accordance with an llll withdrawing a rule exempting a State .’’ The DOE number shall be in applicable labeling rule prescribed in llll standard or other requirement is final on the form ‘‘CC .’’ accordance with section 344 of the Act, the date the rule is issued, i.e., signed (3) Optional display. The permanent and in this part; by the Secretary. A decision to deny nameplate of an electric motor, a (2) Removal from any new covered such a petition is final on the day a separate plate, or decalcomania, may be equipment or rendering illegible, by a denial of a request for reconsideration is marked with the encircled lower case manufacturer, distributor, retailer, or issued, i.e., signed by the Secretary. letters ‘‘ee’’, for example, private labeler, of any label required under this part to be provided with such Subpart EÐLabeling equipment; (3) Failure to permit access to, or § 431.81 Purpose and scope. or with some comparable designation or copying of records required to be This subpart establishes labeling rules logo, if the motor meets the applicable supplied under the Act and this part, or for electric motors pursuant to section standard prescribed in § 431.42, as failure to make reports or provide other 344 of EPCA, 42 U.S.C. 6315. It determined pursuant to subpart B of this information required to be supplied addresses labeling and marking the part, and is covered by a Compliance under the Act and this part; equipment with information indicating Certification that satisfies § 431.123. (4) Advertisement of covered its energy efficiency and compliance (b) Disclosure of efficiency equipment, by a manufacturer, with applicable standards under section information in marketing materials. distributor, retailer, or private labeler, in 342 of EPCA, 42 U.S.C. 6313, and the (1) The same information that must a catalog from which the equipment inclusion of such information in other appear on an electric motor’s permanent may be purchased, without including in material used to market the equipment. nameplate pursuant to paragraph (a)(1) the catalog all information as required
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This means, in part, that manufacturer or private labeler must labeling rule applicable to that either: submit the Compliance Certification equipment; (1) the representations as to the basic either on its own behalf, signed by a (5) Failure of a manufacturer to model must be based on use of a corporate officer of the company, or supply at his expense a reasonable certification organization, or through a third party (for example, a number of units of an electric motor to (2) any testing of the basic model on trade association or other authorized a test laboratory designated by the which the representations are based representative) acting on its behalf. Secretary; must be conducted at an accredited Where a third party is used, the (6) Failure of a manufacturer to permit laboratory. Compliance Certification must identify a representative designated by the (b) Required contents. the official of the manufacturer or Secretary to observe any testing required (1) General representations. Each private labeler who authorized the third by the Act and this part, and to inspect Compliance Certification must certify party to make representations on the the results of such testing; and that: company’s behalf, and must be signed (7) Distribution in commerce by a (i) The nominal full load efficiency for by a corporate official of the third party. manufacturer or private labeler of any each basic model of electric motor The Compliance Certification must be new covered equipment which is not in distributed is not less than the submitted to the Department by certified compliance with an applicable energy minimum nominal full load efficiency mail, to Department of Energy, Assistant efficiency standard prescribed under the required for that motor by section Secretary for Energy Efficiency and Act and this part. § 431.42; Renewable Energy, Office of Building (b) In accordance with sections 333 (ii) All required determinations on Research and Standards, Forrestal and 345 of the Act, any person who which the Compliance Certification is Building, 1000 Independence Avenue, knowingly violates any provision of based were made in compliance with SW, Washington, DC 20585–0121. paragraph (a) of this section may be the applicable requirements prescribed (e) New basic models. For electric subject to assessment of a civil penalty in subpart B of this part; motors, a Compliance Certification must (iii) All information reported in the of no more than $110 for each violation. be submitted for a new basic model only Compliance Certification is true, Each violation of paragraphs (a)(1), (2), if the manufacturer or private labeler and (7) of this section shall constitute a accurate, and complete; and (iv) The manufacturer or private has not previously submitted to DOE a separate violation with respect to each Compliance Certification, that meets the unit of covered equipment, and each labeler is aware of the penalties associated with violations of the Act requirements of section 431.123, for a day of noncompliance with paragraphs basic model that has the same rating as (a)(3) through (6) of this section shall and the regulations thereunder, and of 18 U.S.C. 1001 which prohibits the new basic model, and that has a constitute a separate violation. lower nominal full load efficiency than (c) For purposes of this section: knowingly making false statements to the Federal Government. the new basic model. (1) the term ‘‘new covered (f) Response to Compliance equipment’’ means covered equipment (2) Specific data. (i) For each rating of electric motor (as Certification; Compliance Certification the title of which has not passed to a Number (CC number). purchaser who buys such equipment for the term ‘‘rating’’ is defined in the definition of basic model) which a (1) DOE processing of Certification. purposes other than: Promptly upon receipt of a Compliance (i) reselling such equipment, or manufacturer or private labeler Certification, the Department will (ii) leasing such equipment for a distributes, the Compliance Certification determine whether the document period in excess of one year; and must report the nominal full load (2) The term ‘‘knowingly’’ means: efficiency, determined pursuant to contains all of the elements required by (i) the having of actual knowledge, or §§ 431.23 and 431.24, of the least this section, and may, in its discretion, (ii) the presumed having of efficient basic model within that rating. determine whether all or part of the knowledge deemed to be possessed by (ii) The Compliance Certification information provided in the document a reasonable person who acts in the must identify the basic models on is accurate. The Department will then circumstances, including knowledge which actual testing has been performed advise the submitting party in writing obtainable upon the exercise of due to meet the requirements of section either that the Compliance Certification care. 431.24. does not satisfy the requirements of this (iii) The format for a Compliance section, in which case the document § 431.123 Compliance certification. Certification is set forth in appendix A will be returned, or that the Compliance (a) General. Beginning 24 months of this subpart. Certification satisfies this section. The after [insert date 30 days after (c) Optional contents. In any Department will also advise the publication in the Federal Register], a Compliance Certification, a submitting party of the basis for its manufacturer or private labeler shall not manufacturer or private labeler may at determination. distribute in commerce any basic model its option request that DOE provide it (2) Issuance of CC number(s). of an electric motor which is subject to with a unique Compliance Certification (i) Initial Compliance Certification. an energy efficiency standard set forth number (‘‘CC number’’) for any brand When DOE advises that the initial in subpart C of this part unless it has name, trademark or other label name Compliance Certification submitted by submitted to the Department a under which the manufacturer or or on behalf of a manufacturer or private Compliance Certification certifying, in private labeler distributes electric labeler is acceptable, either: accordance with the provisions of this motors covered by the Certification. (A) DOE will provide a single unique section, that the basic model meets the Such a Compliance Certification must CC number, ‘‘CCllll,’’ to the requirements of the applicable standard. also identify all other names, if any, manufacturer or private labeler, and The representations in the Compliance under which the manufacturer or such CC number shall be applicable to
VerDate 22-SEP-99 14:50 Oct 04, 1999 Jkt 190000 PO 00000 Frm 00050 Fmt 4701 Sfmt 4700 E:\FR\FM\A05OC0.009 pfrm08 PsN: 05OCR2 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54163 all electric motors distributed by the in a fashion which makes them readily testing of that covered equipment under manufacturer or private labeler, or accessible for review. The records must this subpart by means of a test notice (B) When required by paragraph (f)(2) include the supporting test data addressed to the manufacturer in of this section, DOE will provide more associated with tests performed on any accordance with the following than one CC number to the test units to satisfy the requirements of requirements: manufacturer or private labeler. this subpart (except tests performed by (1) The test notice procedure will only (ii) Subsequent Compliance the Department directly). be followed after the Secretary or his/ Certification. When DOE advises that (b) All such records must be retained her designated representative has any other Compliance Certification is by the manufacturer for a period of two examined the underlying test data (or, acceptable, it will provide a unique CC years from the date that production of where appropriate, data as to use of an number for any brand name, trademark the applicable basic model of electric alternative efficiency determination or other name when required by motor has ceased. Records must be method) provided by the manufacturer paragraph (f)(3) of this section. retained in a form allowing ready access and after the manufacturer has been (iii) When DOE declines to provide a to the Department upon request. offered the opportunity to meet with the CC number as requested by a Department to verify, as applicable, manufacturer or private labeler in § 431.125 Imported equipment. compliance with the applicable accordance with § 431.123(c), DOE will (a) Pursuant to sections 331 and 345 efficiency standard, or the accuracy of advise the requester of the reasons for of the Act, any person importing any labeling information, or both. In such refusal. covered equipment into the United addition, where compliance of a basic (3) Issuance of two or more CC States shall comply with the provisions model was certified based on an AEDM, numbers. of the Act and of this part, and is subject the Department shall have the discretion (i) DOE will provide a unique CC to the remedies of this part. to pursue the provisions of section number for each brand name, trademark (b) Any covered equipment offered for 431.24(a)(4)(iii) prior to invoking the or other label name for which a importation in violation of the Act and test notice procedure. A representative manufacturer or private labeler requests of this part shall be refused admission designated by the Secretary shall be such a number in accordance with into the customs territory of the United permitted to observe any reverification § 431.123(c), except as follows. DOE States under rules issued by the procedures undertaken pursuant to this will not provide a CC number for any Secretary of the Treasury, except that subpart, and to inspect the results of brand name, trademark or other label the Secretary of the Treasury may, by such reverification. name: such rules, authorize the importation of (2) The test notice will be signed by (A) For which DOE has previously such covered equipment upon such the Secretary or his/her designee. The provided a CC number, or terms and conditions (including the test notice will be mailed or delivered (B) That duplicates or overlaps with furnishing of a bond) as may appear to by the Department to the plant manager other names under which the the Secretary of Treasury appropriate to or other responsible official, as manufacturer or private labeler sells ensure that such covered equipment designated by the manufacturer. electric motors. will not violate the Act and this part, or (3) The test notice will specify the (ii) Once DOE has provided a CC will be exported or abandoned to the model or basic model to be selected for number for a particular name, that shall United States. testing, the method of selecting the test be the only CC number applicable to all sample, the date and time at which electric motors distributed by the § 431.126 Exported equipment. testing shall be initiated, the date by manufacturer or private labeler under Pursuant to sections 330 and 345 of which testing is scheduled to be that name. the Act, this part shall not apply to any completed and the facility at which (iii) If the Compliance Certification in covered equipment if (a) such covered testing will be conducted. The test which a manufacturer or private labeler equipment is manufactured, sold, or notice may also provide for situations in requests a CC number is the initial held for sale for export from the United which the specified basic model is Compliance Certification submitted by States (or such product was imported unavailable for testing, and may include it or on its behalf, and it distributes for export), unless such equipment is, in alternative basic models. electric motors not covered by the CC fact, distributed in commerce for use in (4) The Secretary may require in the number(s) DOE provides in response to the United States, and (b) such covered test notice that the manufacturer of an the request(s), DOE will also provide a equipment, when distributed in electric motor shall ship at his expense unique CC number that shall be commerce, or any container in which it a reasonable number of units of a basic applicable to all of these other motors. is enclosed when so distributed, bears a model specified in such test notice to a stamp or label stating that such covered testing laboratory designated by the § 431.124 Maintenance of records. equipment is intended for export. Secretary. The number of units of a (a) The manufacturer of any electric basic model specified in a test notice motor subject to energy efficiency § 431.127 Enforcement. shall not exceed twenty (20). standards prescribed under section 342 (a) Test notice. Upon receiving (5) Within five working days of the of the Act must establish, maintain and information in writing, concerning the time the units are selected, the retain records of the following: the energy performance of a particular manufacturer shall ship the specified underlying test data for all testing electric motor sold by a particular test units of a basic model to the testing conducted under this part; the manufacturer or private labeler, which laboratory. development, substantiation, indicates that the electric motor may not (b) Testing laboratory. Whenever the application, and subsequent verification be in compliance with the applicable Department conducts enforcement of any AEDM used under this part; and energy efficiency standard, or upon testing at a designated laboratory in any written certification received from a undertaking to ascertain the accuracy of accordance with a test notice under this certification program, including a the efficiency rating on the nameplate or section, the resulting test data shall certificate of conformity, relied on in marketing materials for an electric constitute official test data for that basic under the provisions of this part. Such motor, disclosed pursuant to subpart E model. Such test data will be used by records must be organized and indexed of this part, the Secretary may conduct the Department to make a determination
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The determination that determined to be in noncompliance maintain records that demonstrate that a manufacturer’s basic model complies with the applicable energy performance modifications have been made to all with its labeled efficiency, or the standard at the conclusion of units of the new basic model prior to applicable energy efficiency standard, Department testing in accordance with distribution in commerce. shall be based on the testing conducted the sampling plan specified in appendix (b) If a basic model is not properly in accordance with the statistical B of this subpart, the manufacturer may certified in accordance with the sampling procedures set forth in request that the Department conduct requirements of this subpart, the appendix B of this subpart and the test additional testing of the basic model Secretary may seek, among other procedures set forth in appendix A to according to procedures set forth in remedies, injunctive action to prohibit subpart B of this part. appendix B of this subpart. distribution in commerce of such basic (d) Test unit selection. A Department (2) All units tested under this model. inspector shall select a batch, a batch paragraph shall be selected and tested in sample, and test units from the batch accordance with the provisions given in § 431.129 Subpoena. sample in accordance with the paragraphs (a) through (e) of this Pursuant to sections 329(a) and 345 of provisions of this paragraph and the section. the Act, for purposes of carrying out this conditions specified in the test notice. (3) The manufacturer shall bear the part, the Secretary or the Secretary’s (1) The batch may be subdivided by cost of all testing conducted under this designee, may sign and issue subpoenas the Department utilizing criteria paragraph. for the attendance and testimony of specified in the test notice. (4) The manufacturer shall cease witnesses and the production of (2) A batch sample of up to 20 units distribution of the basic model tested relevant books, records, papers, and will then be randomly selected from one under the provisions of this paragraph other documents, and administer the or more subdivided groups within the from the time the manufacturer elects to oaths. Witnesses summoned under the batch. The manufacturer shall keep on exercise the option provided in this provisions of this section shall be paid hand all units in the batch sample until paragraph until the basic model is the same fees and mileage as are paid to such time as the basic model is determined to be in compliance. The witnesses in the courts of the United determined to be in compliance or non- Department may seek civil penalties for States. In case of contumacy by, or compliance. all units distributed during such period. refusal to obey a subpoena served upon (3) Individual test units comprising (5) If the additional testing results in any persons subject to this part, the the test sample shall be randomly a determination of compliance, a notice Secretary may seek an order from the selected from the batch sample. of allowance to resume distribution District Court of the United States for (4) All random selection shall be shall be issued by the Department. any District in which such person is achieved by sequentially numbering all § 431.128 Cessation of distribution of a found or resides or transacts business of the units in a batch sample and then basic model. requiring such person to appear and using a table of random numbers to (a) In the event that a model is give testimony, or to appear and select the units to be tested. determined non-compliant by the produce documents. Failure to obey (e) Test unit preparation. Department in accordance with such order is punishable by such court (1) Prior to and during the testing, a § 431.127 of this part or if a as a contempt thereof. test unit selected in accordance with manufacturer or private labeler § 431.130 Remedies. paragraph (d) of this section shall not be determines a model to be in prepared, modified, or adjusted in any noncompliance, then the manufacturer If the Department determines that a manner unless such preparation, or private labeler shall: basic model of a covered equipment modification, or adjustment is allowed (1) Immediately cease distribution in does not comply with an applicable by the applicable Department of Energy commerce of the basic model. energy conservation standard: test procedure. One test shall be (2) Give immediate written (a) The Department will notify the conducted for each test unit in notification of the determination of manufacturer, private labeler, or any accordance with the applicable test noncompliance, to all persons to whom other person as required of this finding procedures prescribed in appendix A to the manufacturer has distributed units and of the Secretary’s intent to seek a subpart B. of the basic model manufactured since judicial order restraining further (2) No quality control, testing, or the date of the last determination of distribution in commerce of such basic assembly procedures shall be performed compliance. model unless the manufacturer, private on a test unit, or any parts and sub- (3) Pursuant to a request made by the labeler or any other person as required, assemblies thereof, that is not performed Secretary, provide the Department delivers to the Department within 15 during the production and assembly of within 30 days of the request, records, calendar days a statement, satisfactory all other units included in the basic reports, and other documentation to the Department, of the steps he will model. pertaining to the acquisition, ordering, take to ensure that the non-compliant (3) A test unit shall be considered storage, shipment, or sale of a basic model will no longer be distributed in defective if such unit is inoperative or model determined to be in commerce. The Department will is found to be in noncompliance due to noncompliance. monitor the implementation of such failure of the unit to operate according (4) The manufacturer may modify the statement. to the manufacturer’s design and non-compliant basic model in such (b) If the manufacturer, private operating instructions. Defective units, manner as to make it comply with the labeler, or any other person as required, including those damaged due to applicable performance standard. Such fails to stop distribution of the non- shipping or handling, shall be reported modified basic model shall then be compliant model, the Secretary may immediately to the Department. The treated as a new basic model and must seek to restrain such violation in
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Secretary shall promptly assess such action under paragraph (d) of this § 431.131 Hearings and appeals. penalty, by order, after the date of the section in a court of the United States receipt of the notice under paragraph (a) or in any other court, except the (a) Pursuant to sections 333(d) and of this section of the proposed penalty. Supreme Court of the United States. 345 of the Act, before issuing an order (2) If the civil penalty has not been However, the Secretary or the General assessing a civil penalty against any paid within 60 calendar days after the Counsel shall consult with the Attorney person under this section, the Secretary assessment has been made under General concerning such litigation and shall provide to such person notice of paragraph (c)(1) of this section, the the Attorney General shall provide, on the proposed penalty. Such notice shall Secretary shall institute an action in the request, such assistance in the conduct inform such person of that person’s appropriate District Court of the United of such litigation as may be appropriate. opportunity to elect in writing within 30 States for an order affirming the days after the date of receipt of such (2) In accordance with the provisions assessment of the civil penalty. The notice to have the procedures of of sections 333(d)(5)(B) and 345 of the paragraph (c) of this section (in lieu of court shall have authority to review de Act, and subject to the provisions of those in paragraph (b) of this section) novo the law and the facts involved and section 502(c) of the Department of apply with respect to such assessment. shall have jurisdiction to enter a Energy Organization Act, the Secretary (b)(1) Unless an election is made judgment enforcing, modifying, and shall be represented by the Attorney within 30 calendar days after receipt of enforcing as so modified, or setting General, or the Solicitor General, as notice under paragraph (a) of this aside in whole or in part, such appropriate, in actions under this section to have paragraph (c) of this assessment. section, except to the extent provided in section apply with respect to such (3) Any election to have this paragraph (e)(1) of this section. penalty, the Secretary shall assess the paragraph apply may not be revoked except with the consent of the Secretary. (3) In accordance with the provisions penalty, by order, after a determination of sections 333(d)(5)(C) and 345 of the of violation has been made on the (d) If any person fails to pay an assessment of a civil penalty after it has Act, section 402(d) of the Department of record after an opportunity for an Energy Organization Act shall not apply agency hearing pursuant to section 554 become a final and unappealable order under paragraph (b) of this section, or with respect to the function of the of title 5, United States Code, before an Secretary under this section. administrative law judge appointed after the appropriate District Court has under section 3195 of such title 5. Such entered final judgment in favor of the § 431.132 Confidentiality. assessment order shall include the Secretary under paragraph (c) of this Pursuant to the provisions of 10 CFR administrative law judge’s findings and section, the Secretary shall institute an 1004.11, any person submitting the basis for such assessment. action to recover the amount of such (2) Any person against whom a penalty in any appropriate District information or data which the person penalty is assessed under this section Court of the United States. In such believes to be confidential and exempt may, within 60 calendar days after the action, the validity and appropriateness from public disclosure should submit date of the order of the Secretary of such final assessment order or one complete copy, and fifteen copies assessing such penalty, institute an judgment shall not be subject to review. from which the information believed to action in the United States Court of (e)(1) In accordance with the be confidential has been deleted. In Appeals for the appropriate judicial provisions of sections 333(d)(5)(A) and accordance with the procedures circuit for judicial review of such order 345 of the Act and notwithstanding the established at 10 CFR 1004.11, the in accordance with chapter 7 of title 5, provisions of title 28, United States Department shall make its own United States Code. The court shall Code, or section 502(c) of the determination with regard to any claim have jurisdiction to enter a judgment Department of Energy Organization Act, that information submitted be exempt affirming, modifying, or setting aside in the Secretary shall be represented by the from public disclosure. whole or in part, the order of the General Counsel of the Department of BILLING CODE 6450±01±P
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BILLING CODE 6450±01±C the labeled nominal full-load model is in compliance and testing Appendix B to Subpart G of Part 431— efficiency when the test is to is at an end. Sampling Plan for Enforcement Testing determine compliance with the (ii) If the value of n is greater than labeled efficiency value, and n1, the basic model is in non- Step 1. The first sample size (n1) must t is the 2.5th percentile of a t- compliance. The size of a second be five or more units. distribution for a sample size of n1, sample n2 is determined to be the Step 2. Compute the mean (X¯ 1) of the which yields a 97.5 percent smallest integer equal to or greater measured energy performance of confidence level for a one-tailed t- than the difference n¥n1. If the the n1 units in the first sample as test. value of n2 so calculated is greater follows: Step 6. Compare the mean of the first than 20¥n1, set n2 equal to 20¥n1. sample (X¯ 1) with the lower control 1 n1 Step 8. Compute the combined mean = limit (LCL1) to determine one of the ¯ X1 ∑ X i ()1 (X2) of the measured energy n1 i=1 following: performance of the n1 and n2 units (i) If the mean of the first sample is where Xi is the measured full-load of the combined first and second efficiency of unit i. below the lower control limit, then samples as follows: the basic model is in non- Step 3. Compute the sample standard + n1 n 2 deviation (S1) of the measured full- compliance and testing is at an end. 1 (ii) If the mean is equal to or greater X2 = ∑ X ()6 load efficiency of the n1, units in the n+ n i first sample as follows: than the lower control limit, no 1 2 i=1 final determination of compliance Step 9. Compute the standard error n or non-compliance can be made; (SE(X¯ 2)) of the mean full-load 1 2 − proceed to Step 7. efficiency of the n1 and n2 units in ∑()XXi 1 Step 7. Determine the recommended the combined first and second S = i=1 ()2 1 − sample size (n) as follows: samples as follows: n1 1 Step 4. Compute the standard error − 2 S tS1(.)120 0 2 RE () = 1 ¯ n = ()5 SE X2 ()7 (SE(X1)) of the mean full-load − n + n efficiency of the first sample as RE(.)20 0 2 RE 1 2 follows: where S1, RE and t have the values (Note that S1 is the value obtained used in Steps 3 and 5, respectively. above in Step 3.) S1 The factor Step 10. Set the lower control limit SE() X1 = ()3 (LCL2) to, n1 120− 0. 2RE Step 5. Compute the lower control limit = − RE(.)20− 0 2 RE LCL2 RE tSE() X2 ()8 (LCL1) for the mean of the first sample using RE as the desired is based on a 20 percent tolerance where t has the value obtained in mean as follows: in the total power loss at full-load Step 5, and compare the combined and fixed output power. sample mean (X¯ 2) to the lower LCL= RE − tSE() X1 ()4 Given the value of n, determine one control limit (LCL2) to find one of 1 of the following: the following: where: (i) If the value of n is less than or (i) If the mean of the combined RE is the applicable EPCA nominal equal to n1 and if the mean energy sample (X¯ 2) is less than the lower full-load efficiency when the test is efficiency of the first sample (X¯ 1) is control limit (LCL2), the basic to determine compliance with the equal to or greater than the lower model is in non-compliance and applicable statutory standard, or is control limit (LCL1), the basic testing is at an end.
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(ii) If the mean of the combined be tested, with n3 chosen such that is in compliance and testing is at an sample (X¯ 2) is equal to or greater n1 + n2 + n3 does not exceed 20. end. than the lower control limit (LCL2), Step B. Compute the mean full-load (b) If the new combined sample the basic model is in compliance efficiency, standard error, and mean is less than the lower control and testing is at an end. lower control limit of the new limit and the value of n1 + n2 + n3 is less than 20, the manufacturer Manufacturer-Option Testing combined sample in accordance with the procedures prescribed in may request that additional units be If a determination of non-compliance Steps 8, 9, and 10, above. tested. The total of all units tested is made in Steps 6, 7 or 10, above, the Step C. Compare the mean performance may not exceed 20. Steps A, B, and manufacturer may request that of the new combined sample to the C are then repeated. (c) Otherwise, the basic model is additional testing be conducted, in lower control limit (LCL2) to accordance with the following determine one of the following: determined to be in non- compliance. procedures. (a) If the new combined sample Step A. The manufacturer requests that mean is equal to or greater than the [FR Doc. 99–21119 Filed 10–4–99; 8:45 am] an additional number, n3, of units lower control limit, the basic model BILLING CODE 6450±01±P
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Federal Register Presidential Documents Vol. 64, No. 192
Tuesday, October 5, 1999
Title 3— Executive Order 13139 of September 30, 1999
The President Improving Health Protection of Military Personnel Partici- pating in Particular Military Operations
By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 1107 of title 10, United States Code, and in order to provide the best health protection to military personnel participating in particular military operations, it is hereby ordered as follows: Section 1. Policy. Military personnel deployed in particular military oper- ations could potentially be exposed to a range of chemical, biological, and radiological weapons as well as diseases endemic to an area of operations. It is the policy of the United States Government to provide our military personnel with safe and effective vaccines, antidotes, and treatments that will negate or minimize the effects of these health threats. Sec. 2. Administration of Investigational New Drugs to Members of the Armed Forces. (a) The Secretary of Defense (Secretary) shall collect intelligence on poten- tial health threats that might be encountered in an area of operations. The Secretary shall work together with the Secretary of Health and Human Services to ensure appropriate countermeasures are developed. When the Secretary considers an investigational new drug or a drug unapproved for its intended use (investigational drug) to represent the most appropriate countermeasure, it shall be studied through scientifically based research and development protocols to determine whether it is safe and effective for its intended use. (b) It is the expectation that the United States Government will administer products approved for their intended use by the Food and Drug Administra- tion (FDA). However, in the event that the Secretary considers a product to represent the most appropriate countermeasure for diseases endemic to the area of operations or to protect against possible chemical, biological, or radiological weapons, but the product has not yet been approved by the FDA for its intended use, the product may, under certain circumstances and strict controls, be administered to provide potential protection for the health and well-being of deployed military personnel in order to ensure the success of the military operation. The provisions of 21 CFR Part 312 contain the FDA requirements for investigational new drugs. Sec. 3. Informed Consent Requirements and Waiver Provisions. (a) Before administering an investigational drug to members of the Armed Forces, the Department of Defense (DoD) must obtain informed consent from each individual unless the Secretary can justify to the President a need for a waiver of informed consent in accordance with 10 U.S.C. 1107(f). Waivers of informed consent will be granted only when absolutely necessary. (b) In accordance with 10 U.S.C. 1107(f), the President may waive the informed consent requirement for the administration of an investigational drug to a member of the Armed Forces in connection with the member’s participation in a particular military operation, upon a written determination by the President that obtaining consent: (1) is not feasible; (2) is contrary to the best interests of the member; or (3) is not in the interests of national security.
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(c) In making a determination to waive the informed consent requirement on a ground described in subsection (b)(1) or (b)(2) of this section, the President is required by law to apply the standards and criteria set forth in the relevant FDA regulations, 21 CFR 50.23(d). In determining a waiver based on subsection (b)(3) of this section, the President will also consider the standards and criteria of the relevant FDA regulations. (d) The Secretary may request that the President waive the informed consent requirement with respect to the administration of an investigational drug. The Secretary may not delegate the authority to make this waiver request. At a minimum, the waiver request shall contain: (1) A full description of the threat, including the potential for exposure. If the threat is a chemical, biological, or radiological weapon, the waiver request shall contain an analysis of the probability the weapon will be used, the method or methods of delivery, and the likely magnitude of its affect on an exposed individual. (2) Documentation that the Secretary has complied with 21 CFR 50.23(d). This documentation shall include: (A) A statement that certifies and a written justification that docu- ments that each of the criteria and standards set forth in 21 CFR 50.23(d) has been met; or (B) If the Secretary finds it highly impracticable to certify that the cri- teria and standards set forth in 21 CFR 50.23(d) have been fully met because doing so would significantly impair the Secretary’s ability to carry out the particular military mission, a written justification that documents which criteria and standards have or have not been met, explains the reasons for failing to meet any of the criteria and stand- ards, and provides additional justification why a waiver should be granted solely in the interests of national security. (3) Any additional information pertinent to the Secretary’s determination, including the minutes of the Institutional Review Board’s (IRB) delibera- tions and the IRB members’ voting record. (e) The Secretary shall develop the waiver request in consultation with the FDA. (f) The Secretary shall submit the waiver request to the President and provide a copy to the Commissioner of the FDA (Commissioner). (g) The Commissioner shall expeditiously review the waiver request and certify to the Assistant to the President for National Security Affairs (APNSA) and the Assistant to the President for Science and Technology (APST) wheth- er the standards and criteria of the relevant FDA regulations have been adequately addressed and whether the investigational new drug protocol may proceed subject to a decision by the President on the informed consent waiver request. FDA shall base its decision on, and the certification shall include an analysis describing, the extent and strength of the evidence on the safety and effectiveness of the investigational new drug in relation to the medical risk that could be encountered during the military operation. (h) The APNSA and APST will prepare a joint advisory opinion as to whether the waiver of informed consent should be granted and will forward it, along with the waiver request and the FDA certification to the President. (i) The President will approve or deny the waiver request and will provide written notification of the decision to the Secretary and the Commissioner.
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Sec. 4. Required Action After Waiver is Issued. (a) Following a Presidential waiver under 10 U.S.C. 1107(f), the DoD offices responsible for implementing the waiver, DoD’s Office of the Inspector General, and the FDA, consistent with its regulatory role, will conduct an ongoing review and monitoring to assess adherence to the standards and criteria under 21 CFR 50.23(d) and this order. The responsible DoD offices shall also adhere to any periodic reporting requirements specified by the President at the time of the waiver approval. The Secretary shall submit the findings to the President and provide a copy to the Commissioner. (b) The Secretary shall, as soon as practicable, make the congressional notifications required by 10 U.S.C. 1107(f)(2)(B). (c) The Secretary shall, as soon as practicable and consistent with classifica- tion requirements, issue a public notice in the Federal Register describing each waiver of informed consent determination and a summary of the most updated scientific information on the products used, as well as other informa- tion the President determines is appropriate. (d) The waiver will expire at the end of 1 year (or an alternative time period not to exceed 1 year, specified by the President at the time of approval), or when the Secretary informs the President that the particular military operation creating the need for the use of the investigational drug has ended, whichever is earlier. The President may revoke the waiver based on changed circumstances or for any other reason. If the Secretary seeks to renew a waiver prior to its expiration, the Secretary must submit to the President an updated request, specifically identifying any new informa- tion available relevant to the standards and criteria under 21 CFR 50.23(d). To request to renew a waiver, the Secretary must satisfy the criteria for a waiver as described in section 3 of this order. (e) The Secretary shall notify the President and the Commissioner if the threat countered by the investigational drug changes significantly or if signifi- cant new information on the investigational drug is received. Sec. 5. Training for Military Personnel. (a) The DoD shall provide ongoing training and health risk communication on the requirements of using an investigational drug in support of a military operation to all military per- sonnel, including those in leadership positions, during chemical and biologi- cal warfare defense training and other training, as appropriate. This ongoing training and health risk communication shall include general information about 10 U.S.C. 1107 and 21 CFR 50.23(d). (b) If the President grants a waiver under 10 U.S.C. 1107(f), the DoD shall provide training to all military personnel conducting the waiver protocol and health risk communication to all military personnel receiving the specific investigational drug to be administered prior to its use. (c) The Secretary shall submit the training and health risk communication plans as part of the investigational new drug protocol submission to the FDA and the reviewing IRB. Training and health risk communication shall include at a minimum: (1) The basis for any determination by the President that informed consent is not or may not be feasible; (2) The means for tracking use and adverse effects of the investigational drug; (3) The benefits and risks of using the investigational drug; and (4) A statement that the investigational drug is not approved (or not approved for the intended use). (d) The DoD shall keep operational commanders informed of the overall requirements of successful protocol execution and their role, with the support of medical personnel, in ensuring successful execution of the protocol. Sec. 6. Scope. (a) This order applies to the consideration and Presidential approval of a waiver of informed consent under 10 U.S.C. 1107 and does not apply to other FDA regulations.
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(b) This order is intended only to improve the internal management of the Federal Government. Nothing contained in this order shall create any right or benefit, substantive or procedural, enforceable by any party against the United States, its agencies or instrumentalities, its officers or employees, or any other person. œ–
THE WHITE HOUSE, September 30, 1999. [FR Doc. 99–26078 Filed 10–4–99; 8:45 am] Billing code 3195–01–P
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DEPARTMENT OF HEALTH AND to apply in making an informed consent involving military exigencies should be HUMAN SERVICES waiver determination. Therefore, FDA is revoked or amended, and if so, how. In issuing a new interim final regulation 1990, FDA issued an interim rule Food and Drug Administration with an immediate effective date to (‘‘Informed Consent for Human Drugs establish criteria and standards for the and Biologics; Determination that 21 CFR Parts 50 and 312 President to apply in making a Informed Consent is Not Feasible’’ determination that informed consent is (§ 50.23(d) (21 CFR 50.23(d)) (55 FR RIN 0910±AA89 not feasible or is contrary to the best 52814, December 21, 1990)), allowing [Docket No. 90N±0302] interests of the individual recipients. the Commissioner to make the DATES: Effective October 5, 1999. determination, in response to product Human Drugs and Biologics; Submit written comments by December specific requests from DOD, that Determination That Informed Consent 20, 1999. obtaining informed consent from Is NOT Feasible or Is Contrary to the ADDRESSES: Submit written comments military personnel for the use of an Best Interests of Recipients; to the Dockets Management Branch investigational drug or biological Revocation of 1990 Interim Final Rule; (HFA–305), Food and Drug product is not feasible in certain Establishment of New Interim Final Administration, 5630 Fishers Lane, rm. battlefield or combat-related situations. Second, because information on a Rule 1061, Rockville, MD 20852. product’s efficacy in reducing or AGENCY: Food and Drug Administration, FOR FURTHER INFORMATION CONTACT: preventing toxicity of chemical or HHS. Bonnie M. Lee, Division of Compliance biological substances is important, the ACTION: Interim final rule; opportunity Policy, Office of Enforcement, Office of agency also asked when, if ever, it is for public comment. Regulatory Affairs (HFC–230), Food and ethical to expose volunteers to toxic Drug Administration, 5600 Fishers chemical and biological substances to SUMMARY: The Food and Drug Lane, Rockville, MD 20857, 301–827– test the efficacy of products that may be Administration (FDA) is revoking its 0415. used to provide potential protection 1990 interim final regulations that SUPPLEMENTARY INFORMATION: against those substances. permitted the Commissioner of Food I. Background Third, because these products are and Drugs (the Commissioner) to critically important, even if they cannot determine that obtaining informed FDA is revoking its interim final be ethically tested in humans to consent from military personnel for the regulations related to informed consent demonstrate efficacy, the agency asked use of an investigational drug or for human drug and biological products what evidence of efficacy, other than biologic is not feasible in certain that permitted the Commissioner to that from human trials, would be situations related to military combat. determine that obtaining informed appropriate to demonstrate the safety FDA also is issuing a new interim final consent from military personnel for the and efficacy of products that may rule addressing waiver of informed use of an investigational drug or provide protection against toxic consent in military operations. FDA is biologic is not feasible in certain chemical and biological substances. taking these actions based on its situations related to military combat. On In a related document published analysis and consideration of all a case-by-case basis, the interim final elsewhere in this issue of the Federal relevant facts, including its evaluation rule authorized the Commissioner to Register, FDA has addressed the second of the Department of Defense’s (DOD) make such a determination at the and third issues in a proposed experience during the Persian Gulf War, written request of the Assistant regulation that discusses the evidence its evaluation of the comments received Secretary of Defense (Health Affairs). needed to demonstrate efficacy of new by the agency in response to the Any determination made with respect to drugs for use against lethal or agency’s July 31, 1997, request for the nonfeasibility of obtaining informed permanently disabling toxic substances comments on whether the agency consent expired at the end of 1 year, when definitive efficacy studies in should revise or revoke the interim unless renewal was requested, or when humans cannot ethically be conducted. regulations, and the enactment of the DOD informed the Commissioner that The agency believes that, if issued, this Strom Thurmond National Defense the military operation had ended, proposed rule may make it possible to Authorization Act for Fiscal Year 1999 whichever was earlier. develop evidence sufficient to support (the Defense Authorization Act). Under In the Federal Register of July 31, approval of such drugs and thus should the Defense Authorization Act, the 1997 (62 FR 40996), FDA published a help minimize the need to use President is authorized to waive the document entitled ‘‘Request for investigational products in military Federal Food, Drug, and Cosmetic Act’s Comments’’ that discussed the use of exigencies. (the act) informed consent requirements investigational drugs and biologicals in With respect to the first question, in military operations if the President military and other emergency settings to waiver of informed consent in military finds that obtaining consent is infeasible treat or prevent toxicity of chemical or operations, FDA’s decision to revoke the or contrary to the best interests of biological substances (hereinafter 1990 interim rule is based on recipients and on an additional ground referred to as the July 1997 request for consideration of all relevant facts, that obtaining consent is contrary to comments). In this document, FDA including FDA’s evaluation of DOD’s national security interests. In light of the provided extensive background on the experience during the Persian Gulf War, enactment of the Defense Authorization development and implementation of the FDA’s analysis of the comments Act, with an immediate effective date, 1990 interim rule and DOD’s experience received in response to the first issue and because the President could be during the Persian Gulf War. The addressed in the July 1997 request for called upon to make a waiver agency’s request for comments included comments on whether the agency determination for military personnel specific questions in the three following should revise or revoke the interim rule engaged in a specific military operation subject areas. (62 FR 40996), and the recent enactment at any time, the agency believes that it First, the agency asked whether its of the Defense Authorization Act. is critical to have in place adequate rule permitting waiver of informed Section 731 of the Defense criteria and standards for the President consent in very limited circumstances Authorization Act, amending 10 U.S.C.
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1107(f), became effective on October 17, Authorization Act, Congress has was absolutely essential and that 1998. Under 10 U.S.C. 1107(f), the addressed that issue by explicitly military personnel, like other Commissioner of Food and Drugs no providing for waiver of the informed nonmilitary citizens, should receive longer has the authority to make waiver consent requirement by the President in adequate information about an of informed consent decisions in certain situations. In light of the investigational product before its use military operations because 10 U.S.C. immediate effective date of the Defense and have the right to refuse to receive 1107(f)(1) explicitly vests the authority Authorization Act, the agency believes it. Seventeen comments stressed the to waive the act’s informed consent that it is critical to have in place need for followup of possible adverse requirement in the President. Section adequate criteria and standards for the reactions to investigational products, 1107(f)(1) of Title 10 provides for such President to apply in making an and 15 comments indicated that DOD waiver in the case of the administration informed consent waiver determination. could not fulfill its responsibilities even of an investigational new drug or drug Based on the extensive examination of if FDA required adequate followup and unapproved for its applied use to a issues associated with the existing other requirements as part of a new member of the armed forces in interim final rule during the last 8 years, regulation. Five comments stated that connection with the member’s the agency has developed a new rule DOD had shown itself to be incapable of participation in a particular military consistent with the Defense adequate oversight and recordkeeping operation. Section 1107(f)(1) of Title 10 Authorization Act that contains new and three comments noted that the authorizes the President to waive strengthened criteria and standards that interim rule had not been implemented informed consent if the President finds the President can use in making by DOD as had been intended. Several that obtaining informed consent is: (1) informed consent waiver comments suggested that if the rule Not feasible; (2) contrary to the best determinations. The agency believes were to be used again, there must be an interests of the member; or (3) not in the that it is in the public interest to have independent board of medical and interests of national security. The first these new criteria and standards in ethical experts, there must be an two grounds (lack of feasibility or place and available for use should the institutional review board independent contrary to the best interests of President be called upon to make a of DOD, and there must be proper recipients) are specified in section waiver determination while, at the same monitoring that could only be done by 505(i) of the act (21 U.S.C. 355(i)). time, it solicits public comments on non-DOD personnel. Section 1107(f)(2) of Title 10 provides these criteria and standards. These new As described earlier in this document, that, in making a determination to waive criteria and standards are discussed in The Defense Authorization Act answers informed consent on the grounds that it greater detail later in this document. the controversial question of whether is not feasible or contrary to the best waiver of informed consent in military II. Comments Received on Whether to interests of the armed services member, operations is ever appropriate. In Revoke or Amend the 1990 Interim the President shall apply the standards passing this legislation, Congress has and criteria that are set forth in the Rule concluded that the President may waive relevant FDA regulations for a waiver of The agency received 134 comments the informed consent requirement for the prior consent requirement on that on whether it should revoke or amend military personnel engaged in a ground. the 1990 interim rule: Of these, 119 particular military operation in certain Because section 1107(f)(1) of Title 10 comments expressed opposition to the situations. The comments on the 1990 refers to waiver of informed consent in interim rule and recommended that it be interim rule pointed out significant connection with military operations, the permanently revoked, 7 comments areas that needed to be strengthened, relevant FDA regulations referenced in recommended changes to the interim including: Provision of adequate section 1107(f)(2) of Title 10 would be rule, 2 comments supported retention of information about an investigational any regulations dealing with waivers in the interim rule, and 6 comments product before its use; adequate this context. As discussed previously, misunderstood the scope of the interim followup to assess whether there are FDA originally issued such regulations rule and provided comments on a adverse health consequences that result as an interim final rule in 1990 (55 FR different regulation. from the use of the investigational 52814, December 21, 1990), at product; adequate oversight, A. Summary of Comments § 50.23(d)(1) through (d)(4). These accountability, and recordkeeping when Recommending That the Interim Rule regulations consisted of procedures to investigational agents are used; and Be Revoked be followed by the Assistant Secretary involvement of non-DOD personnel in of Defense (Health Affairs) and the The 119 comments that recommended decisions to use investigational Commissioner of Food and Drugs the revocation of the interim rule were products without informed consent. All (§ 50.23(d)(1)); standards and criteria for signed by 160 individuals including of these areas have been addressed in granting such waivers (§ 50.23(d)(1) and veterans, veterans’ relatives, active the new interim rule that establishes the (d)(2)); a discretionary provision for military personnel, active military criteria and standards for the President consultation with advisory committees families, ethicists, physicians, other to use in making an informed consent (§ 50.23(d)(3)) and time limits for such health care providers, and private waiver determination. waivers (§ 50.23(d)(4)). These citizens, as well as from an advocacy regulations conflict with section group for ailing Persian Gulf Veterans, B. Summary of Comments 1107(f)(1) of Title 10 in that they vest an organization representing grassroots Recommending Changes to the Interim FDA’s Commissioner with the authority veterans’ organizations in America and Rule to make such waiver decisions. England, and a nonprofit public interest Seven comments recommended As reflected in a number of the organization. changes to the interim rule. Three of comments FDA received on the 1990 Most of these comments opposed the these comments recommended that the interim rule, many people addressed the agency’s continued use of the interim rule be suspended and reconsidered issue of whether waiver of informed rule after the experience of the Persian only if their modifications were adopted consent in military operations involving Gulf War. Many thought it should never and adhered to by DOD. military personnel is ever acceptable, have been used. Specifically, 114 Two comments recommended that a and if so, when. In the Defense comments stated that informed consent process be established for the President
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The DOD that establishes that the authority for making a waiver of interim rule also requires DOD to recordkeeping systems are capable of informed consent determination for provide public notice in the Federal tracking the proposed treatment from military personnel involved in a Register describing each waiver of supplier to point of administration; and particular military operation. Thus, the informed consent determination, a (6) documentation that demonstrates process recommended by these summary of the most updated scientific that there are medical followup plans comments has already been established information on the products used, as for troops receiving the proposed through legislation. FDA will be well as other pertinent information. treatment. These comments stated that involved in this process through its One comment from an individual who this documentation should be made traditional role of reviewing specific was employed at the U.S. Army Medical public and public comment should be protocols under its investigational new Materiel Development Activity, Ft. sought regarding the performance of drug (IND) regulations. Detrick, MD, during the Gulf War, and both DOD and FDA. These comments One comment recommended that the who served for 22 years as an Army stated that if these requirements could rule be amended to require: (1) That officer, stated that ‘‘[a]s the largest be met, adequate information would reasonable efforts be made to inform training organization in the United need to be provided to the troops by individuals in advance that States, perhaps in the world, DoD individuals with whom they have daily investigational products are to be used, clearly has the capacity and resources to contact. (2) that the extent and appropriateness provide adequate information to each The agency agrees with the of the information provided be service member before he or she takes suggestions for documentation determined by the Commissioner of or uses an investigational product.’’ contained in these comments and has FDA, (3) that all individuals exposed to Based on this reasoning, the Army incorporated them into the new interim investigational products be informed no officer suggested that the rule be rule. Under the new interim rule, each later than 1 year after their use, and (4) amended and that DOD could, and member involved in the military that there be established a publicly should, institute training programs early operation will be given, prior to the accessible site for continuous access to in each service member’s military administration of the investigational the most updated scientific information career. Specifically, this comment new drug, a specific written information on these products. recommended that FDA demand sheet. This information sheet is The agency agrees with this comment adequate training as part of the required, under 10 U.S.C. 1107(d), to and has incorporated the suggested informed consent process and require contain specific information. The requirements into the new interim rule. that DOD develop and validate training interim rule incorporates this The interim rule requires that each guidelines for the use of investigational requirement by reference and requires member involved in the military products that might be used under a the disclosure of risks and benefits of operation be given, prior to the waiver during all phases of product the use of the investigational product, administration of the investigational development. potential side effects, and other new drug, a specific written information The agency agrees with this comment. pertinent information about the sheet. That information sheet is to The interim rule now requires DOD to appropriate use of the product. include information (in addition to provide training to the appropriate information required by 10 U.S.C. medical personnel and potential C. Comments in Support of Retaining 1107(d)) concerning the investigational recipients on the specific investigational the Interim Rule new drug, the risks and benefits of its new drug to be administered prior to its The agency received two comments in use, potential side effects, and other use. support of retaining the interim rule as pertinent information about the Two comments stressed that FDA written—one from DOD and the other appropriate use of the product. Under should regard itself as acting on behalf from a physician from academia. This 10 U.S.C. 1107(d), the information sheet of the troops, not on behalf of the latter comment stated that: is required to contain the following: (1) military or the DOD. These comments [t]he organization and activities of the DOD Clear notice that the drug being recommended that the interim rule be are not meant to be either democratic or administered is an investigational new suspended or revoked until the agency reliant upon informed consent. However, the drug or a drug unapproved for its critically reviewed requests from DOD goal of DOD activities in combat situations is applied use; (2) the reasons why the to waive informed consent that victory, and with that end in sight, it is investigational new drug or drug contained the following documentation: reasonable to expect that the condition of the unapproved for its applied use is being (1) Documentation from DOD that troops is considered carefully by DOD leadership. Decisions pertinent to the use of administered; (3) information regarding identified the threat, its nature, and its investigational drugs without informed the possible side effects of the likelihood; (2) documentation from DOD consent will most likely represent the best investigational new drug or drug that administration of the proposed interests of military personnel and the unapproved for its applied use, treatment is likely to be effective against nation. including any known side effects that threat; (3) documentation from DOD DOD’s comments in support of possible as a result of the interaction of that detailed concurrent conditions maintaining the interim rule were such drug with other drugs or (such as environmental and similar to those expressed by DOD in treatments being administered to the occupational conditions, treatment requesting the interim rule initially (see members receiving such drug; and (4) regimens that may be employed by the Assistant Secretary of Defense such other information that, as a troops serving in the forces to be (Health Affairs) letter of October 30, condition of authorizing the use of the treated) that could alter the effects of the 1990, to the Assistant Secretary for investigational new drug or drug proposed treatment; (4) documentation Health, HHS, quoted in the preamble to unapproved for its applied use, the from DOD that demonstrated that the interim rule (55 FR 52814), and in Secretary of Health and Human Services military medical services are capable of its September 13, 1996, response to the
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May 7, 1996, petition to FDA requesting protection of the health and well-being determination, a summary of the most that the Commissioner repeal the of military personnel urged by the updated scientific information on the interim rule (see summary in the July comments. As suggested by this products used, and other pertinent 1997 request for comments (62 FR comment, the new interim rule requires information. 40996 at 41000)). the IRB to include at least three The agency has concluded that the As previously stated, Congress now nonaffiliated members who are not issues associated with the 1990 interim has passed legislation providing for employees or officers of the Federal rule are very complex and difficult, as waiver of the informed consent Government. recognized by Senators Specter and requirement by the President in certain In response to the suggestion that the Rockefeller. As described in detail in military situations, thus, recognizing the rule require health surveillance to assess FDA’s July 1997 request for comments, need for waiver in limited situations. the potential health consequences of the there has been extensive examination of The agency, however, believes that the use of the product and to modify issues associated with the 1990 interim criteria and standards contained in the decisions as information is gained, the rule during the last 8 years. In addition 1990 interim rule are not sufficient and new interim rule contains two to FDA’s July 1997 request for has therefore established new criteria provisions. One requires DOD to comments, the issues have been and standards for the President to apply provide adequate followup to assess examined in comments submitted to the in making an informed consent waiver whether there are beneficial or adverse agency in the 30-day comment period determination. health consequences that result from the following the rule’s publication in the use of the investigational product. The D. Other Comments on the Interim Rule Federal Register on December 21, 1990; second requires DOD to report to FDA in litigation (Doe v. Sullivan, 756 F. A comment from Chairman Arlen and to the President any changed Supp. 12, 14 (D.D.C. 1991)); in a May 6, Specter and Ranking Minority Member circumstances relating to the standards 1994, United States Senate Committee John D. Rockefeller IV, Senate and criteria contained in the rule or that Committee on Veterans’ Affairs, stated on Veterans’ Affairs hearing on ‘‘Is otherwise might affect the Military Research Hazardous to that whether the rule should be revoked determination to use an investigational or not ‘‘* * * is a complex decision that Veterans’ Health? Lessons From World new drug without informed consent. War II, the Persian Gulf, and Today;’’ needs to be carefully considered, with In response to the comment’s reviews conducted by the Presidential input from health care professionals, recommendation that the process Advisory Committee on Gulf War ethicists, active duty military personnel, require compliance with mechanisms Veterans’ Illnesses; and in the Public veterans, and the general public.’’ They for review and sanctions, the agency Citizen, the National Veterans Legal urged FDA, if it decided not to revoke notes that the Defense Authorization Services Program, and the National Gulf the rule, to ensure that a process is Act requires the Secretary of Defense, if instituted to provide maximum the President grants the requested War Resource Center, Inc., May 7, 1996, protection to ‘‘* * * the health and well- waiver, to submit to the chairman and petition to FDA requesting that the being of military personnel prior to, ranking minority member of each Commissioner repeal the interim rule. during, and subsequent to a combat congressional defense committee a The agency believes that exceptions situation.’’ They stressed the importance notification of the waiver, together with from the informed consent requirement of establishing a process prior to any the written determination of the should apply rarely and only when combat situation that would: (1) Lay out President and the Secretary of Defense’s sufficient additional protections are how decisions would be reached in a justification for the request for the provided to the military personnel timely manner; (2) require institutional waiver of informed consent (see 10 affected. review boards (IRB’s) used during this U.S.C. 1107(f)(3)(B)). The new interim III. Revocation of the 1990 Interim Rule process to consist of at least three rule builds in accountability and persons independent of DOD because compliance by requiring the Secretary of The agency recognizes that there may the IRB will be making decisions that Defense to certify and document to the be future military combat situations result in the loss of rights of a large President that the standards and criteria where U.S. military personnel are at risk group of individuals and objectivity is in the rule have been met, including the of exposure to chemical and biological essential; (3) require health surveillance criteria that use of the investigational weapons and that DOD has a critical data from well-designed data collection drug without informed consent and legitimate interest in protecting forms be used to assess the potential otherwise conforms with applicable military personnel from such chemical health consequences of the use of law. Further, the new interim rule notes and biological agents. This was the basis products and to modify decisions as that ‘‘[n]othing in these criteria or for FDA’s 1990 interim rule issued in information is gained; and (4) require standards is intended to preempt or anticipation of the Persian Gulf War that compliance with mechanisms for review limit FDA’s and DOD’s authority or gave DOD the authority to use specified and sanctions be put in place. obligations under applicable statutes investigational products to provide The agency agrees that the decisions and regulations.’’ The agency notes that potential protection against chemical associated with the interim rule have the mechanisms for review and and biological warfare agents without been complex and there is a need to sanctions under the IND regulations obtaining informed consent from institute a process that will provide apply to the DOD and its employees individual service personnel. maximum protection to military involved in the use of products subject A. DOD’s Experience in Implementing personnel. The Defense Authorization to FDA regulation. the Rule During the Persian Gulf War Act vests authority in the President to In response to the comment’s make a waiver of informed consent suggestion that the process include DOD’s experience during the Gulf determination, and it vests in the public disclosure, the new interim rule War with pyridostigmine bromide and President the process by which such requires DOD to provide public notice the botulinum toxoid vaccine was decisions shall be made. FDA believes in the Federal Register as soon as described in detail in the July 1997 that this process, which includes use of practicable and consistent with request for comments (62 FR 40996 at the criteria and standards in the new classification requirements describing 40998 through 41000). A brief summary interim final rule, will provide the each waiver of informed consent of this experience follows.
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In December 1990, DOD submitted waiver under the interim rule. Because 15, 1991, letter that the military protocols under IND’s and requests for inadequate information was provided to command in the theater of operations in waiver of informed consent for: (1) the soldiers, at least some soldiers either the Persian Gulf decided to administer Pyridostigmine bromide 30-milligram took the wrong amount of the botulinum toxoid vaccine on ‘‘a tablets, a potentially useful pretreatment pyridostigmine or disregarded orders to voluntary basis.’’ This letter did not against soman, a nerve gas; and (2) the take it completely. state whether informed consent was botulinum toxoid vaccine, potentially There was a failure to collect, review, obtained. protective against toxins produced by and make reports of adverse experiences The military command’s decision to Clostridium botulinum (the bacterium attributed to the use of pyridostigmine allow administration of the vaccine on that produces the toxin that causes bromide in a timely manner. Although a voluntary basis indicates that the botulism). The Commissioner approved the agency waived the requirements of criteria for granting a waiver under the both of DOD’s waiver requests and each § 312.32 in regard to the 3- and 10-day interim rule was no longer met; product was administered to some of time limits for the reporting of adverse specifically that ‘‘* * * preservation of the military personnel who participated experiences, the agency expected DOD the health of the individual and the in Operation Desert Storm. FDA’s to make a reasonable effort to collect, safety of other personnel require that a agreement to waive the informed review, and make reports of adverse particular treatment [botulinum toxoid consent requirement was based, in large clinical consequences attributed to the vaccine] be provided to a specified part, on DOD’s agreement to provide use of the product in as timely a manner group of military personnel, without and disseminate specified information as conditions permitted. regard to what might be an individual’s on these products to military personnel There was a failure to label personal preference for no treatment or and upon adherence to labeling and pyridostigmine bromide with for some alternative treatment.’’ If the other prescribed requirements for the investigational labeling as required by criteria for waiver were not met, DOD use of investigational products. FDA regulations. FDA had agreed, as was required to obtain and document Concurrent with the agency’s request requested by DOD, to waive the the informed consent of military for comments on the interim rule, FDA provisions of § 312.6 in order to allow personnel receiving the vaccine in was also evaluating DOD’s experience in DOD to employ the phrase ‘‘For military accordance with §§ 50.25 and 50.27. implementing IND’s, as well as waivers use and evaluation’’ in place of the Without signed consent forms to under the interim rule, during the Gulf statement ordinarily mandated for use document that informed consent was War in order to obtain specific factual on the immediate package of an obtained, and based on testimony from information and to assess DOD’s investigational drug product, which Persian Gulf War veterans that compliance with FDA requirements. In reads ‘‘Caution: New Drug—Limited by information on the vaccine was not the agency’s ongoing evaluation of the Federal (or United States) Law to uniformly given to military personnel, use of investigational products in the Investigational Use’’. FDA’s waiver of the agency has concluded that informed Persian Gulf, the agency identified the standard statement was on condition consent was not routinely obtained from significant deviations from Federal that all of the product distributed to military personnel who received the regulations published in Title 21, Code service members would carry the new botulinum toxoid vaccine in accordance of Federal Regulations (CFR), parts 50 ‘‘military use’’ labeling. Based on with FDA regulations. and 312 (21 CFR parts 50 and 312). information provided to the agency, Experience with the use of the waiver These deviations were set forth in a July FDA believes that the pyridostigmine provision of the 1990 interim rule 22, 1997, and a December 2, 1997, letter bromide distributed to military suggests two conclusions: (1) To the from the Lead Deputy Commissioner of personnel in the Persian Gulf was not extent possible, military personnel the Food and Drug Administration to labeled as required by the conditions of should receive treatments whose safety the Acting Deputy Secretary of Defense the waiver. and effectiveness have been fully for Health Affairs (Refs. 1 through 3). evaluated; (2) where it is necessary to 2. Botulinum Toxoid Vaccine The noted deviations, and the relevant utilize investigational agents and to observations that formed the basis for There was a failure to ensure that the waive informed consent, new standards the conclusion that deviations had investigation was conducted in and criteria for doing so should be occurred, are summarized in the accordance with the general developed that will better ensure following paragraphs. investigational plan for the botulinum protection of the troops receiving the toxoid vaccine during the Gulf War. The investigational product. 1. Pyridostigmine Bromide protocol for the botulinum toxoid B. Future Use of FDA–Regulated There was a failure to meet the vaccine stated that each botulinum Products by DOD conditions set by the Commissioner for toxoid vaccine dose was to be recorded granting a waiver from the informed in the individual’s permanent FDA has concluded that there are consent requirements under the 1990 immunization record. This was not important ways for the agency to interim rule for pyridostigmine done. contribute to DOD’s mandate to protect bromide. FDA’s agreement to waive the There was also a failure to maintain military personnel that are consistent informed consent requirement at the adequate records showing the receipt, with FDA’s mission and regulations. time of the Gulf War was based, in large shipment, and disposition of the FDA’s existing mechanisms for part, on DOD’s agreement to provide investigational product botulinum providing access to investigational and disseminate information on toxoid vaccine as required by §§ 312.57 products under an IND will continue to pyridostigmine to all military personnel. and 312.59. be available to any entity that complies Based on DOD statements to FDA as On January 8, 1991, FDA granted with the agency’s specified well as FDA’s own evaluation, FDA has DOD’s request for a waiver of informed requirements. Both DOD and FDA concluded that the information sheet on consent under the interim final rule for recognize, however, that some of the pyridostigmine was not provided and use of the botulinum toxoid vaccine IND requirements may not be feasible in disseminated to military personnel in during the Gulf War. However, certain combat situations. Based on the the Gulf as required by the following the cessation of combat lessons from use of investigational Commissioner’s letter granting the activities DOD advised FDA in a March agents during the Gulf War, the agency
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The requirements for IRB review of 1107(f), the President may waive the protocols for military use of FDA shares DOD’s goal of getting the prior consent requirement for the investigational drugs without informed best products to military personnel. administration of an investigational new consent have been strengthened and Thus, FDA is committed to working drug to a member of the armed forces in further specified. Following the Gulf with DOD to resolve the safety and connection with the member’s War, the agency became aware that a effectiveness questions that may allow participation in a particular military military IRB, upon initial review of the FDA to approve the drug and biological operation. The statute specifies that proposed use of the botulinum toxoid products for use in military operations only the President may waive informed vaccine in anticipation of the Gulf War, and during military exigencies. In order consent and that the President may had recommended that the vaccine be to provide pharmaceutical agents that grant such a waiver only if the President provided with informed consent (Ref. are safe and effective in protecting determines in writing that obtaining 4). The proposed use was subsequently military personnel, the agency believes consent: Is not feasible, is contrary to reviewed by a different military IRB that that DOD must focus its efforts on drug the best interests of the military approved its use without informed development. The agency notes that member, or is not in the interests of consent. It is not clear whether the under existing regulations it can national security. The statute further conclusions of the initial IRB were expedite access to new drugs by provides that in making this shared with the subsequent IRB. In accelerating approval (subpart H of 21 determination based on the grounds that order to ensure adequate and CFR part 314 and subpart E of 21 CFR it is infeasible or contrary to the best meaningful IRB review, § 50.23(d)(1)(v) part 601). In addition, consistent with interests of the military member, the requires the duly constituted IRB to be the recent changes to the act on fast President shall apply the standards and responsible for the review of the study track products made in the Food and criteria that are set forth in the relevant and requires that the IRB review and Drug Administration Modernization Act FDA regulations for a waiver of the prior approve the investigational new drug of 1997, FDA is committed to informed consent requirements. This protocol and the administration of the facilitating development and expediting interim rule contains those standards investigational new drug without the review of drugs for serious and life- and criteria. The statute is silent about informed consent as a prerequisite for threatening conditions that address the standards and criteria that the the study to proceed. It also requires unmet needs (section 506 of the act (21 President is to apply in making a DOD’s request for a waiver to include U.S.C. 356)). Moreover, FDA is determination that obtaining consent is the documentation of minutes of IRB proposing an additional mechanism for not in the interests of national security. meetings at which the protocol was The Defense Authorization Act product approval that is described reviewed. This documentation of authorizes the Secretary of Defense to minutes is required by 21 CFR elsewhere in this issue of the Federal request an informed consent waiver Register and that relates to the evidence 56.115(a)(2). determination from the President. The Section 50.23(d)(2) describes needed to demonstrate safety and interim rule requires the Secretary of additional requirements that pertain to efficacy for drug and biological products Defense to certify and document to the this IRB that are not contained in FDA’s for use against lethal or toxic substances President that the standards and criteria IRB regulations part 56 (21 CFR part 56). when efficacy studies in humans cannot in the interim rule have been met. The IRB must include at least 3 ethically be conducted. Section 50.23(d)(1)(i) through nonaffiliated members who are not In order to minimize the need to use (d)(1)(iv) contain the fundamental employees or officers of the Federal investigational products during military information necessary to make an Government (other than for purposes of exigencies, DOD and FDA have formed informed assessment of risks and membership on the IRB). The quorum a working group for the purpose of benefits. Under these paragraphs, the required for a convened meeting must assisting DOD in its drug development Secretary of Defense must certify and include a majority of the members efforts related to these products. DOD document that: (1) The extent and including at least one member whose has agreed to identify those products strength of evidence of the safety and primary concerns are in nonscientific that may provide protection to military effectiveness of the investigational new areas, and, if feasible, a majority of the members, develop appropriate drug drug in relation to the medical risk that nonaffiliated members. The minutes of development plans for each product, could be encountered during the IRB meetings at which the protocol is and establish a timeframe for military operation supports the drug’s reviewed are to be provided to the completion. administration under an IND; (2) the Secretary of Defense for further review. military operation presents a substantial Section 50.23(d)(3) describes FDA recognizes, however, that in rare risk that military personnel may be additional review requirements that instances investigational products may subject to a chemical, biological, pertain to this IRB. For the study to be need to be used by DOD in deployment nuclear, or other exposure likely to able to proceed, the IRB must review situations. The enactment of the Defense produce death or serious or life- and approve the contents of the required Authorization Act reflects this fact and threatening injury or illness; (3) there is written information sheet on the calls for the implementation of a process no available satisfactory alternative investigational product; the adequacy of that will help ensure that when therapeutic or preventive treatment in the plan to disseminate information, informed consent is waived it will be relation to the intended use of the including the information sheet and done under standards and criteria that investigational new drug; and (4) other information (e.g., in forms other will help protect the troops receiving conditioning use of the investigational than written), to potential recipients; the the investigational product. new drug on the voluntary participation adequacy of the information and the Accordingly, FDA has issued this new of each member could significantly risk plans for its dissemination to health interim rule. the safety and health of any individual care providers, including potential side
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In addition, § 50.23(d)(4) requirement should be made rarely and Federal Register describing each waiver requires DOD to submit to FDA in narrow circumstances and that it is of informed consent determination, a summaries of IRB meetings at which the preferable to establish the safety and summary of the most updated scientific proposed protocol has been reviewed. efficacy of products before their general information on the products used, and In order to help ensure that the use in large populations, other pertinent information. President is provided all relevant § 50.23(d)(1)(xii) requires the Secretary Finally, in order to help ensure that information related to the effects of the of Defense to certify and document that DOD adheres to applicable statutes and investigational drug, § 50.23(d)(1)(vi) DOD is pursuing drug development for laws, § 50.23(d)(1)(xviii) requires the requires the Secretary of Defense to the investigational drug (that could be Secretary of Defense to document and certify and document in his or her used in a deployment situation), certify that the use of the investigational request for a waiver determination including a time line for such drug without informed consent under § 50.23(d)(1) that DOD has development, and marketing approval otherwise conforms with applicable explained: (1) The context in which the with due diligence. The rule contains law. Section 50.23(d)(5) states that investigational drug will be two provisions to help ensure that ‘‘[n]othing in these criteria or standards administered; (2) the nature of the informed consent waiver determinations is intended to preempt or limit FDA’s disease or condition for which the continue to meet the standards and and DOD’s authority or obligations preventive or therapeutic treatment is criteria of this rule after an initial under applicable statutes and intended; and (3) to the extent there are waiver has been granted by the regulations.’’ existing data or information available, President. Section 50.23(d)(1)(xv) B. Description of Conforming information on conditions that could requires the Secretary of Defense to Amendments alter the effects of the investigational certify and document that DOD has drug. stated and justified the time period for This interim rule necessitates a In order to help ensure better which the waiver is needed, not to change to the regulations for human recordkeeping than occurred during the exceed 1 year. For a waiver to exceed 1 drugs so that those regulations are Gulf War, § 50.23(d)(1)(vii), (d)(1)(ix), year, this paragraph requires such a consistent with this rule. The agency is and (d)(1)(x) require the Secretary of waiver to be separately renewed under amending § 312.42 to explicitly state Defense to document and certify that the standards and criteria contained in that an investigation may be placed on DOD’s recordkeeping system is capable § 50.23(d). Section 50.23(d)(1)(xvi) clinical hold pending a determination of tracking, and will be used to track the places a continuing obligation on DOD by the President to waive the prior proposed treatment from the supplier to to report to the FDA and to the consent requirement for the the individual recipient; that medical President any changed circumstances administration of an investigational new records of members involved in the relating to these standards and criteria drug. If the agency invokes this reason military operation will accurately or that otherwise might affect the for a clinical hold, it will mean that the document the receipt by members of the determination to use an investigational agency has completed its review of the notification required by new drug without informed consent. protocol and has concluded that the § 50.23(d)(1)(viii) as well as any Section 50.23(d)(1)(xiii) has been study may proceed; however, subjects investigational new drugs in accordance included in order to ensure that FDA may not be enrolled in the study until with FDA regulations. has completed its review of the a positive decision on the informed In order to help ensure that each investigational new drug protocol and consent waiver request has been made military member is provided adequate concluded that it may proceed subject to by the President and FDA has provided information on the investigational a decision by the President on the written notification to DOD that the product, § 50.23(d)(1)(viii) requires the informed consent waiver request. FDA clinical hold has been removed. Secretary of Defense to document and will provide a written notification to certify that each member involved in the DOD after it has completed its review of V. Request for Comments military operation will be given, prior to the investigational new drug protocol. Interested persons may, on or before the administration of the investigational This notification may either grant December 20, 1999, submit to the new drug, a specific written information permission for the protocol to proceed Dockets Management Branch (address sheet containing specified information. subject to the President’s decision on above) written comments regarding this Section 50.23(d)(1)(xiv) requires the the informed consent waiver request or rule. Two copies of any comments are Secretary of Defense to document and it may place the study on clinical hold. to be submitted, except that individuals certify that DOD will provide training to DOD should not proceed with a protocol may submit one copy. Comments are to the appropriate medical personnel and under this rule until it has received be identified with the docket number potential recipients on the specific notification from FDA that the protocol found in brackets in the heading of this investigational new drug to be may proceed. As discussed later in this document. Received comments may be administered prior to its use. document, the agency has adopted a seen in the office above between 9 a.m. In response to comments that DOD change in part 312 to help ensure that and 4 p.m., Monday through Friday. must provide adequate followup to the IND review process is efficiently FDA is revoking the December 21, determine whether there are adverse applied to the use of investigational 1990, interim rule and issuing a new consequences to the use of products under this rule. interim rule in its place effective on date investigational products, In response to a number of comments, of publication in the Federal Register. § 50.23(d)(1)(xi) requires the Secretary discussed previously, that encouraged FDA is proceeding without notice and of Defense to document and certify that public access to information about comment rulemaking because of the
VerDate 25-SEP-99 17:53 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\05OCR3.XXX pfrm03 PsN: 05OCR3 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54187 significant need to have regulations in have these new criteria and standards in through this notice of proposed place that are consistent with recently place while, at the same time, it solicits rulemaking, an opportunity to raise the enacted legislation addressing waiver of public comment. possibility of conflicts and to participate informed consent in military operations It is, therefore, in the public interest, in the proceedings. Consistent with and that provide adequate standards to establish quickly, through this new Executive Order 12612, FDA requests and criteria for such waiver interim final rule, stringent criteria and information and comments from determinations. As described in more standards for the President’s interested parties, including but not detail in the following paragraphs, FDA application. Following the comment limited to State and local authorities, on finds, in accordance with section 553(b) period, the agency intends promptly to these issues of federalism. of the Administrative Procedure Act, publish a final rule. VIII. Analysis of Impacts that it would be impracticable and VI. Environmental Impact contrary to the public interest to provide FDA has examined the impacts of the for notice and comment prior to the The agency has determined under 21 rule under Executive Order 12866 and revocation of the December 1990 rule CFR 25.30(h) that this action is of a type the Regulatory Flexibility Act (5 U.S.C. and the issuance of the new interim that does not individually or 601–612). Executive Order 12866 directs rule. cumulatively have a significant effect on agencies to assess all costs and benefits The statutory provision in the Defense the human environment. Therefore, of available regulatory alternatives and, Authorization Act that vests authority neither an environmental assessment when regulation is necessary, to select for waiver decisions in the President nor an environmental impact statement regulatory approaches that maximize overrides the 1990 rule vesting authority is required. net benefits (including potential for such waiver decisions in the VII. Executive Order 12612: Federalism economic, environmental, public health Commissioner. Thus, it invalidates and safety, and other advantages; those parts of the 1990 regulation that Executive Order 12612 requires distributive impacts; and equity). If a are inconsistent with the Defense Federal agencies to carefully examine rule would have a significant economic Authorization Act. The new interim rule regulatory actions to determine if they impact on a substantial number of small corrects this inconsistency by would have a significant effect on entities, the Regulatory Flexibility Act acknowledging the existence of the federalism. Using the criteria and requires agencies to analyze regulatory Defense Authorization Act and its grant principles set forth in the order, FDA options that would minimize these of waiver authority to the President. To has considered the impact of the interim impacts. Title II of the Unfunded require notice and comment to make rule on the States, on their relationship Mandates Reform Act (Public Law 104– this correction is unnecessary in that the with the Federal Government, and on 4) (in section 202) requires that agencies new rule codifies in regulation a clear the distribution of power and prepare an assessment of anticipated statutory mandate. responsibilities among the various costs and benefits before proposing any Since the issuance of the 1990 interim levels of Government. FDA concludes rule that may result in an expenditure rule, there has been extensive public that this rule is consistent with the in any 1 year by State, local, and tribal discussion regarding the rule on principles set forth in Executive Order governments, in the aggregate, or by the numerous occasions (see discussion in 12612. private sector, of $100 million or more section II of this document). After Executive Order 12612 states that (adjusted annually for inflation). considering all the relevant facts, agencies formulating and implementing The agency believes that the revised including the comments received on the policies are to be guided by certain rule is consistent with the regulatory July 1997 request for comments, and federalism principles. Section 2 of philosophy and principles identified in FDA’s evaluation of DOD’s experience Executive Order 12612 enumerates the Executive Order and in these two during the Persian Gulf War in fundamental federalism principles. statutes. The agency has determined implementing the 1990 rule, FDA has Section 3 of Executive Order 12612 that this rule is a ‘‘significant regulatory concluded that the rule did not work as states that, in addition to these action’’ as defined in section 3(f)(4) of intended. In light of the enactment of fundamental principles, executive Executive Order 12866 because it raises the Defense Authorization Act, with an departments and agencies shall adhere, novel policy issues. To the extent that immediate effective date and because to the extent permitted by law, to any of the standards and criteria entail the President could be called upon to certain listed criteria when formulating costs to the DOD, these standards and make a waiver determination for and implementing policies that have obligations are already assumed by military personnel engaged in a specific federalism implications. Section 4 of DOD; they are enunciated here to stress military operation at any time, the Executive Order 12612 lists special their importance to safeguarding the agency believes that it is critical to have requirements for preemption. health and welfare of military personnel in place adequate criteria and standards Section 4 of Executive Order 12612 to minimize the need to use this rule. for the President to apply in making an states that an executive department or With respect to the Regulatory informed consent waiver determination. agency foreseeing the possibility of a Flexibility Act (5 U.S.C. 605(b)), any Modifying the 1990 rule to conform to conflict between State law and federally economic cost of the rule would be the statute, without adding the protected interests within its area of incurred only by DOD, which is not a additional protections provided in this regulatory responsibility is to consult small entity. Therefore, the agency new rule is contrary to the public with States in an effort to avoid such certifies that the rule will not have interest because it would leave in place, conflict. Section 4 of Executive Order significant economic impact on a during the comment period, procedures 12612 also states that an executive substantial number of small entities. now considered insufficient. As department or agency proposing to act Under the Regulatory Flexibility Act, discussed previously, FDA has through rulemaking to preempt State therefore, no further analysis is developed new strengthened criteria law is to provide all affected States required. Similarly, because the rule and standards that the President can use notice and opportunity for appropriate does not impose any mandates on State, in making informed consent waiver participation in the proceedings. As local, or tribal governments, or the determinations. Accordingly, the agency required by the Executive Order in private sector that will result in a 1-year believes it is in the public interest to section 4(d) and (e), States have, expenditure of $100 million or more,
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FDA is not required to perform a cost- the armed forces in connection with the (v) A duly constituted institutional benefit analysis under the Unfunded member’s participation in a particular review board (IRB) established and Mandates Reform Act. military operation. The statute specifies operated in accordance with the that only the President may waive requirements of paragraphs (d)(2) and IX. Paperwork informed consent in this connection and (d)(3) of this section, responsible for This interim final rule contains no the President may grant such a waiver review of the study, has reviewed and collections of information subject to the only if the President determines in approved the investigational new drug Paperwork Reduction Act of 1995. writing that obtaining consent: Is not protocol and the administration of the X. References feasible; is contrary to the best interests investigational new drug without of the military member; or is not in the informed consent. DOD’s request is to The following references have been interests of national security. The include the documentation required by placed on display in the Dockets statute further provides that in making § 56.115(a)(2) of this chapter. Management Branch (address above) a determination to waive prior informed (vi) DOD has explained: and may be seen by interested persons consent on the ground that it is not (A) The context in which the between 9 a.m. and 4 p.m., Monday feasible or the ground that it is contrary investigational drug will be through Friday. to the best interests of the military administered, e.g., the setting or 1. Letter from the Lead Deputy members involved, the President shall whether it will be self-administered or Commissioner, FDA, to the Acting Deputy it will be administered by a health Secretary of Defense for Health Affairs, July apply the standards and criteria that are 22, 1997. set forth in the relevant FDA regulations professional; 2. Letter from the Army Surgeon General for a waiver of the prior informed (B) The nature of the disease or to the Lead Deputy Commissioner, FDA, consent requirements of section condition for which the preventive or responding to the July 22, 1997, letter, 505(i)(4) of the Federal Food, Drug, and therapeutic treatment is intended; and October 23, 1997. Cosmetic Act (21 U.S.C. 355(i)(4)). (C) To the extent there are existing 3. Letter from the Lead Deputy Before such a determination may be data or information available, Commissioner, FDA, to the Acting Deputy made that obtaining informed consent information on conditions that could Secretary of Defense for Health Affairs, from military personnel prior to the use alter the effects of the investigational December 22, 1997. drug. 4. Memorandum for record, minutes of the of an investigational drug (including an antibiotic or biological product) in a (vii) DOD’s recordkeeping system is October 4, 1990, ninety-third meeting of the capable of tracking and will be used to U.S. Army Medical Research Institute of specific protocol under an Infectious Diseases Human Use Committee, investigational new drug application track the proposed treatment from October 5, 1990. (IND) sponsored by the Department of supplier to the individual recipient. (viii) Each member involved in the List of Subjects Defense (DOD) and limited to specific military personnel involved in a military operation will be given, prior to 21 CFR Part 50 particular military operation is not the administration of the investigational new drug, a specific written information Human research subjects, Prisoners, feasible or is contrary to the best interests of the military members sheet (including information required Reporting and recordkeeping by 10 U.S.C. 1107(d)) concerning the requirements, Safety. involved the Secretary of Defense must first request such a determination from investigational new drug, the risks and 21 CFR Part 312 the President, and certify and document benefits of its use, potential side effects, Drugs, Exports, Imports, to the President that the following and other pertinent information about Investigations, Labeling, Medical standards and criteria contained in the appropriate use of the product. (ix) Medical records of members research, Reporting and recordkeeping paragraphs (d)(1) through (d)(4) of this involved in the military operation will requirements, Safety. section have been met. accurately document the receipt by Therefore, under the Federal Food, (i) The extent and strength of members of the notification required by Drug, and Cosmetic Act and under evidence of the safety and effectiveness authority delegated to the Commissioner paragraph (d)(1)(viii) of this section. of the investigational new drug in (x) Medical records of members of Food and Drugs, 21 CFR parts 50 and relation to the medical risk that could be involved in the military operation will 312 are amended as follows: encountered during the military accurately document the receipt by operation supports the drug’s members of any investigational new PART 50ÐPROTECTION OF HUMAN administration under an IND. SUBJECTS drugs in accordance with FDA (ii) The military operation presents a regulations including part 312 of this 1. The authority citation for 21 CFR substantial risk that military personnel chapter. part 50 continues to read as follows: may be subject to a chemical, biological, (xi) DOD will provide adequate nuclear, or other exposure likely to Authority: 21 U.S.C. 321, 346, 346a, 348, followup to assess whether there are 352, 353, 355, 360, 360c–360f, 360h–360j, produce death or serious or life- beneficial or adverse health 371, 379e, 381; 42 U.S.C. 216, 241, 262, threatening injury or illness. consequences that result from the use of 263b–263n. (iii) There is no available satisfactory the investigational product. 2. Section 50.23 is amended by alternative therapeutic or preventive (xii) DOD is pursuing drug revising paragraph (d) to read as treatment in relation to the intended use development, including a time line, and follows: of the investigational new drug. marketing approval with due diligence. (iv) Conditioning use of the (xiii) FDA has concluded that the § 50.23 Exception from general investigational new drug on the investigational new drug protocol may requirements. voluntary participation of each member proceed subject to a decision by the * * * * * could significantly risk the safety and President on the informed consent (d)(1) Under 10 U.S.C. 1107(f) the health of any individual member who waiver request. President may waive the prior consent would decline its use, the safety of other (xiv) DOD will provide training to the requirement for the administration of an military personnel, and the appropriate medical personnel and investigational new drug to a member of accomplishment of the military mission. potential recipients on the specific
VerDate 25-SEP-99 17:53 Oct 04, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\05OCR3.XXX pfrm03 PsN: 05OCR3 Federal Register / Vol. 64, No. 192 / Tuesday, October 5, 1999 / Rules and Regulations 54189 investigational new drug to be including at least one member whose PART 312ÐINVESTIGATIONAL NEW administered prior to its use. primary concerns are in nonscientific DRUG APPLICATION (xv) DOD has stated and justified the areas and, if feasible, including a time period for which the waiver is majority of the nonaffiliated members. 3. The authority citation for 21 CFR needed, not to exceed one year, unless The information required by part 312 is revised to read as follows: separately renewed under these § 56.115(a)(2) of this chapter is to be Authority: 21 U.S.C. 321, 331, 351, 352, standards and criteria. provided to the Secretary of Defense for 353, 355, 371; 42 U.S.C. 262. (xvi) DOD shall have a continuing further review. 4. Section 312.42 is amended by obligation to report to the FDA and to (3) The duly constituted institutional the President any changed adding paragraph (b)(6) to read as review board, described in paragraph follows: circumstances relating to these (d)(1)(v) of this section, must review and standards and criteria (including the approve: § 312.42 Clinical holds and requests for time period referred to in paragraph (i) The required information sheet; modification. (d)(1)(xv) of this section) or that (ii) The adequacy of the plan to * * * * * otherwise might affect the disseminate information, including (b) * * * determination to use an investigational distribution of the information sheet to (6) Clinical hold of any investigation new drug without informed consent. potential recipients, on the (xvii) DOD is to provide public notice involving an exception from informed investigational product (e.g., in forms as soon as practicable and consistent consent under § 50.23(d) of this chapter. other than written); with classification requirements through FDA may place a proposed or ongoing notice in the Federal Register (iii) The adequacy of the information investigation involving an exception describing each waiver of informed and plans for its dissemination to health from informed consent under § 50.23(d) consent determination, a summary of care providers, including potential side of this chapter on clinical hold if it is the most updated scientific information effects, contraindications, potential determined that: on the products used, and other interactions, and other pertinent (i) Any of the conditions in pertinent information. considerations; and paragraphs (b)(1) or (b)(2) of this section (xviii) Use of the investigational drug (iv) An informed consent form as apply; or without informed consent otherwise required by part 50 of this chapter, in (ii) A determination by the President conforms with applicable law. those circumstances in which DOD to waive the prior consent requirement (2) The duly constituted institutional determines that informed consent may for the administration of an review board, described in paragraph be obtained from some or all personnel investigational new drug has not been (d)(1)(v) of this section, must include at involved. made. least 3 nonaffiliated members who shall (4) DOD is to submit to FDA * * * * * summaries of institutional review board not be employees or officers of the Dated: May 25, 1999. Federal Government (other than for meetings at which the proposed Jane E. Henney, purposes of membership on the IRB) protocol has been reviewed. and shall be required to obtain any (5) Nothing in these criteria or Commissioner of Food and Drugs. necessary security clearances. This IRB standards is intended to preempt or Donna E. Shalala, shall review the proposed IND protocol limit FDA’s and DOD’s authority or Secretary of Health and Human Services. at a convened meeting at which a obligations under applicable statutes [FR Doc. 99–25376 Filed 10–4–99; 8:45 am] majority of the members are present and regulations. BILLING CODE 4160±01±F
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Federal Register Presidential Documents Vol. 64, No. 192
Tuesday, October 5, 1999
Title 3— Proclamation 7228 of September 30, 1999
The President National Breast Cancer Awareness Month, 1999
By the President of the United States of America
A Proclamation Across America today, women are living challenging, fulfilling lives, skill- fully balancing the responsibilities of work, family, and community, and making plans for a bright future. But for thousands of these women each year, the diagnosis of breast cancer shatters the pattern of everyday existence. For millions more, the fear of such a diagnosis casts a shadow across their lives. This year alone, an estimated 175,000 new cases will be diag- nosed, and more than 43,000 women will die from breast cancer. Despite these tragic statistics, we are beginning to see real progress in our national crusade against this disease. The breast cancer mortality rate in the United States has steadily declined over the past 10 years, and currently 2 million American women are winning the battle against this cancer. Our steadfast commitment to breast cancer research is finally bearing fruit and has led the way to new preventative treatments. Last year, the National Cancer Institute’s (NCI) landmark Breast Cancer Prevention Trial revealed that there were 49 percent fewer reported diagnoses among women who took tamoxifen. In another promising effort, researchers are looking at an alternate drug to see if we can achieve the same results but with fewer side effects. Researchers are also conducting studies to determine if other medications can provide an effective weapon in our war against breast cancer. The Food and Drug Administration has recently approved the use of a new drug that has proved to be effective in the treatment of patients already in the advanced stages of this disease. Studies indicate that the drug may benefit 25 to 30 percent of women with advanced breast cancer. Encouraged by these findings, the NCI has rapidly expanded its study to include earlier stages of breast cancer and the treatment of other cancers, such as ovarian cancer. We have also made promising strides in promoting the early detection of breast cancer, which is critical to prolonging patients’ lives. A recent survey conducted by the NCI and the Health Care Financing Administration (HCFA) showed that 88 percent of women 65 years of age and older had undergone at least one mammogram during their lifetime—a 25 percent increase from 1992. Of the women who had a mammogram, 80 percent received their most recent test within the past 2 years, and more than 75 percent knew of Medicare’s mammography coverage. The NCI and HCFA hope to build on this progress through their joint campaign to raise women’s awareness of the importance of regularly scheduled mammograms and the availability of Medicare mammography benefits. The Centers for Disease Control and Prevention (CDC) has also played a vital role in combating breast cancer by providing access to screenings for medically underserved women. Authorized by the Breast and Cervical Cancer Mortality Prevention Act of 1990, the CDC’s early detection program provides breast and cervical cancer screening services for women who might otherwise not receive them, such as older women, women with lower in- comes, and women of color. This program has provided nearly 1 million
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mammograms, resulting in the diagnosis of more than 5,800 breast cancer cases. Having lost my own mother to this devastating disease, I know all too well the pain and hardship that breast cancer inflicts on women and their families. I urge all Americans to join me in the crusade to prevent, treat, and ultimately eradicate breast cancer. By building on the breakthroughs we have achieved in research, prevention, and treatment and by promoting continued education and awareness, we can ensure that millions of women can look forward to longer lives and a brighter future. 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 October 1999 as National Breast Cancer Awareness Month. I call upon government officials, businesses, communities, health care professionals, educators, volunteers, and all the people of the United States to publicly reaffirm our Nation’s strong and continuing commitment to controlling and curing breast cancer. IN WITNESS WHEREOF, I have hereunto set my hand this thirtieth day of September, 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. 99–26129 Filed 10–4–99; 8:45 am] Billing code 3195–01–P
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Proclamation 7229 of September 30, 1999
National Disability Employment Awareness Month, 1999
By the President of the United States of America
A Proclamation As Americans, we define ourselves in many ways—not only by our families and communities, but also by our work; not only by who we are, but also by what we do for a living. Millions of Americans with disabilities, however, do not share that experience because their path to the world of work has been strewn with barriers. At a time when the unemployment rate in our Nation is at the lowest level in a generation—4.2 percent— a staggering 75 percent of Americans with disabilities remain unemployed, even though the vast majority of them want to work. One of the greatest barriers to employment for people with disabilities is that, under current law, they often become ineligible for Medicaid or Medicare if they work. That is why I have challenged the Congress to pass the bipartisan Work Incentives Improvement Act. This proposed legisla- tion would extend Medicare coverage for people with disabilities who return to work and improve access to health care through Medicaid. No American should ever be forced to choose between health care coverage and employ- ment, and this legislation will help ensure that no one has to make that choice. In addition to fully funding the Work Incentives Improvement Act, my Administration’s proposed budget includes a $1,000 tax credit to help people with disabilities offset the cost of special transportation and other work- related expenses. We are also seeking to double our investment in such assistive technology as braille translators, mobile phones, and voice recogni- tion software that give disabled citizens the tools they need to make the transition to work. And in June of this year, I signed an Executive order to expand employment opportunities for people with psychiatric disabilities and set an example for the private sector by ensuring that the Federal Government’s hiring and promotion standards are the same for these workers as they are for people with mental retardation or severe physical disabilities. Next year our Nation will celebrate the 10th anniversary of the Americans with Disabilities Act and the 25th anniversary of the Individuals with Disabil- ities Education Act—the two landmark pieces of legislation that transformed our country’s disability policy and set a standard for other nations around the world. However, putting an end to negative attitudes and shattering destructive stereotypes will require the concerted efforts of all sectors of society. Until we integrate Americans with disabilities as full participants in our social fabric, we will never reach our employment goals. This year, in addition to rededicating ourselves to breaking down employ- ment barriers, we will highlight the achievements of people with disabilities in areas such as journalism, entertainment, and the arts. People like journalist John Hockenberry prove that a wheelchair need not be an obstacle to traveling the world to report breaking news. Artists like blind sculptor Michael Naranjo and deaf painter Alex Wilhite illustrate that having a disability can be the vehicle for advancing the arts in novel ways. Performers like Laurie Rubin, a classically trained vocalist, show us that blindness need not prevent one from taking the great stage of the opera.
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To recognize the enormous potential of individuals with disabilities and to encourage all Americans to work toward their full integration into the workforce, the Congress, by joint resolution approved August 11, 1945, as amended (36 U.S.C. 121), has designated October of each year as ‘‘National Disability Employment Awareness Month.’’ NOW, THEREFORE, I, WILLIAM J. CLINTON, President of the United States of America, do hereby proclaim October 1999 as National Disability Employ- ment Awareness Month. I call upon Government officials, educators, labor leaders, employers, and the people of the United States to observe this month with appropriate programs and activities that reaffirm our determina- tion to fulfill both the letter and spirit of the Americans with Disabilities Act. IN WITNESS WHEREOF, I have hereunto set my hand this thirtieth day of September, 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. 99–26130 Filed 10–4–99; 8:45 am] Billing code 3195–01–P
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Proclamation 7230 of September 30, 1999 National Domestic Violence Awareness Month, 1999
By the President of the United States of America
A Proclamation Most families provide a nurturing web of relationships where children learn to love and respect others and themselves and absorb the values that will shape them as adults and citizens. But for millions of Americans, family life has become a battlefield where women, children, and sometimes the elderly become casualties. The tragedy of domestic violence touches all our lives by weakening families, leaving emotional scars as devastating as physical ones, and creating a destructive cycle of violence where those who were abused as children may become abusers themselves. My Administration has taken important steps to reduce domestic violence by creating a system that punishes offenders and provides victims with the information and assistance they need to escape destructive family envi- ronments. The cornerstone of this effort has been the Violence Against Women Act (VAWA), which was part of the historic Crime Bill I signed into law in 1994. This landmark legislation combined tough new penalties for offenders with funding for much-needed shelters, counseling services, public education, and research to help the victims of violence. We also have established a toll-free National Domestic Violence Hotline (1–800–799–SAFE) where staff responds to as many as 10,000 calls each month; worked to raise awareness in the workplace and among health care providers about domestic violence; and more than tripled resources for programs to combat violence against women. To build on the success of the VAWA and the Crime Bill, in May of this year I unveiled my proposal for additional legislation—the 21st Century Crime Bill—that will reauthorize the Violence Against Women Act and toughen penalties for those who commit violent crimes in the presence of children. We have increased funding for State maternal and child health programs that include child protection and family preservation services. We have worked with the Congress to pass legislation that strengthens law enforce- ment, enhances child predator tracking and protection mechanisms, and supports child abuse prevention efforts in State and local jurisdictions. And, at the end of last year, we launched the Children Exposed to Violence Initiative (CEVI), designed in part to reform Federal and State laws to provide swift and certain punishment for those who commit child abuse and neglect. CEVI will also strengthen local programs in hopes of reducing the number of children who are exposed to violence or become victims of violence themselves; it will also encourage alliances that include government as a partner with schools, communities, parents, and other family members in an effort to prevent child abuse. We can take heart in our progress and at the outpouring of concern and compassion we see for the victims of domestic violence. Whether members of the law enforcement community, health care professionals, educators, religious and community leaders, policymakers, or concerned private citizens, Americans have united in the crusade against domestic violence. With in- creased awareness, strengthened prevention, and communities united in com- mon cause, we are making the reduction of domestic violence a reality and the dream of ending it one day a possibility.
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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 October 1999 as National Domestic Violence Awareness Month. I call upon government officials, law enforcement agencies, health professionals, educators, community leaders, and the American people to join together to end the domestic violence that threatens so many of our people. IN WITNESS WHEREOF, I have hereunto set my hand this thirtieth day of September, 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. 99–26131 Filed 10–4–99; 8:45 am] Billing code 3195–01–P
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Reader Aids Federal Register Vol. 64, No. 192 Tuesday, October 5, 1999
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER
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 1999 ...... 53579 Memorandums: Proclamations: Presidential Documents April 16, 1999 ...... 53883 4865 (see Executive orders and proclamations 523±5227 Memorandum of 5 CFR The United States Government Manual 523±5227 April 16, 1999) ...... 53883 532...... 53179 7227...... 53877 Other Services 831...... 53581 7228...... 54193 842...... 53581 Electronic and on-line services (voice) 523±4534 7229...... 54195 Privacy Act Compilation 523±3187 7230...... 54197 7 CFR Public Laws Update Service (numbers, dates, etc.) 523±6641 Executive Orders: 915...... 53181 TTY for the deaf-and-hard-of-hearing 523±5229 11145 (See 13138)...... 53879 923...... 53885 11183 (See 13138)...... 53879 944...... 53181 11287 (See 13138)...... 53879 1000...... 53885 ELECTRONIC RESEARCH 12131 (Amended by 1001...... 53885 World Wide Web 13138) ...... 53880 1002...... 53885 12196 (See 13138)...... 53879 1004...... 53885 Full text of the daily Federal Register, CFR and other 12216 (See 13138)...... 53879 1005...... 53885 publications: 12345 (Amended by 1006...... 53885 http://www.access.gpo.gov/nara 13138) ...... 53879 1007...... 53885 12367 (Amended by 1012...... 53885 Federal Register information and research tools, including Public 13138) ...... 53879 1013...... 53885 Inspection List, indexes, and links to GPO Access: 12382 (See 13138)...... 53879 1030...... 53885 http://www.nara.gov/fedreg 12852 (Revoked by 1032...... 53885 E-mail 13138) ...... 53880 1033...... 53885 12871 (See 13138)...... 53879 1036...... 53885 PENS (Public Law Electronic Notification Service) is an E-mail 12876 (See 13138)...... 53879 1040...... 53885 service for notification of recently enacted Public Laws. To 12882 (See 13138)...... 53879 1044...... 53885 subscribe, send E-mail to 12900 (See 13138)...... 53879 1046...... 53885 [email protected] 12905 (See 13138)...... 53879 1049...... 53885 12961 (Revoked by 1050...... 53885 with the text message: 13138) ...... 53880 1064...... 53885 subscribe PUBLAWS-L your name 12994 (See 13138)...... 53879 1065...... 53885 13010 (Revoked in 1068...... 53885 Use [email protected] only to subscribe or unsubscribe to 1076...... 53885 PENS. We cannot respond to specific inquiries. part by 13138)...... 53880 13017 (Revoked by 1079...... 53885 Reference questions. Send questions and comments about the 13138) ...... 53880 1106...... 53885 Federal Register system to: 13021 (See 13138)...... 53879 1124...... 53885 [email protected] 13037 (Revoked by 1126...... 53885 13138) ...... 53880 1131...... 53885 The Federal Register staff cannot interpret specific documents or 1134...... 53885 13038 (Revoked by regulations. 1135...... 53885 13138) ...... 53880 1137...... 53885 13050 (Revoked by 1138...... 53885 FEDERAL REGISTER PAGES AND DATE, OCTOBER 13138) ...... 53880 1139...... 53885 13062 (Superseded in 53179±53580...... 1 1755...... 53886 part by 13138)...... 53880 53581±53882...... 4 13115 (Amended by 9 CFR 53883±54198...... 5 13138) ...... 53880 317...... 53186 13138...... 53879 381...... 53186 13139...... 54175 Administrative Orders: 10 CFR Presidential Determinations: 50...... 53582 No. 99±38 of 72...... 53582 September 21, 431...... 54114 1999 ...... 53573 Proposed Rules: No. 99±39 of 50...... 53270 September 21, 1999 ...... 53575 12 CFR No. 99±40 of 204...... 53617 September 21, 262...... 53188 1999 ...... 53577 No. 99±41 of 14 CFR September 22, 39...... 53189,
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53191, 53193, 53620, 53621, 24 CFR 3540...... 53512 47 CFR 53623, 53625 200...... 53930 3550...... 53512 1...... 53231 71 ...... 53627, 53887, 53888, 3560...... 53512 882...... 53868 13...... 53231 53889, 53890, 53891, 53892, 888...... 53450 3570...... 53512 53893, 53894, 53895, 53896, 3800...... 53213 22...... 53231 64...... 53242, 53944 53898, 53899 28 CFR 93...... 53558 44 CFR 80...... 53231 Proposed Rules: 65 ...... 53931, 53933, 53936 87...... 53231 Proposed Rules: 571...... 53872 39 ...... 53275, 53951, 53953 67...... 53938, 53939 90...... 53231 71...... 53956, 53957 30 CFR Proposed Rules: 95...... 53231 193...... 53958 67...... 53980, 53982 97...... 53231 250...... 53195 101...... 53231 15 CFR 948...... 53200 46 CFR 950...... 53202 Proposed Rules: 1...... 53220 54...... 53648 Proposed Rules: Proposed Rules: 2...... 53220 61...... 53648 30...... 53861 250...... 53298 732...... 53854 4...... 53220 69...... 53648 740...... 53854 10...... 53220, 73...... 53655 32 CFR 53230 743...... 53854 1800...... 53769 12...... 53230 748...... 53854 15...... 53220 48 CFR 750...... 53854 33 CFR 31...... 53220 752...... 53854 1...... 53264 100...... 53208, 53628 34...... 53220 15...... 53264 758...... 53854 117...... 53209 38...... 53220 762...... 53854 19...... 53264 Proposed Rules: 52...... 53220 772...... 53854 52...... 53264 20...... 53970 53...... 53220 54...... 53220 237...... 53447 17 CFR 175...... 53971 56...... 53220 210...... 53900 36 CFR 57...... 53220 49 CFR 228...... 53900 Proposed Rules: 58...... 53220 229...... 53900 59...... 53220 1002...... 53264 217...... 59074 1003...... 53264 230...... 53900 219...... 59074 61...... 53220 239...... 53900 63...... 53220 1007...... 53264 240...... 53900 37 CFR 64...... 53220 1011...... 53264 249...... 53900 67...... 53220 1012...... 53264 Proposed Rules: 260...... 53900 68...... 53220 1014...... 53264 1...... 53772 69...... 53220 1017...... 53264 3...... 53772 18 CFR 76...... 53220 1018...... 53264 5...... 53772 91...... 53220 1019...... 53264 Proposed Rules: 10...... 53772 385...... 53959 95...... 53220 1021...... 53264 38 CFR 98...... 53220 1034...... 53264 19 CFR 105...... 53220 1039...... 53264 Proposed Rules: 107...... 53220 122...... 53627 20...... 53302 1100...... 53264 108...... 53220 1101...... 53264 21 CFR 40 CFR 109...... 53220 1103...... 53264 118...... 53220 50...... 54180 52...... 53210, 53931 1104...... 53264 178...... 53925 125...... 53220 1105...... 53264 61...... 53212 133...... 53220 312...... 54180 300...... 53213, 53629 1113...... 53264 558...... 53926 147...... 53220 1133...... 53264 Proposed Rules: 151...... 53220 878...... 53927 1139...... 53264 52...... 53303, 53973 153...... 53220 900...... 53195 1150...... 53264 122...... 53304 160...... 53220 1151...... 53264 Proposed Rules: 123...... 53304 161...... 53220 5...... 53281 124...... 53304 162...... 53220 1152...... 53264 25...... 53281 130...... 53304 167...... 53220 1177...... 53264 314...... 53960 131...... 53304 169...... 53220 1180...... 53264 500...... 53281 132...... 53632 177...... 53220 1184...... 53264 510...... 53281 197...... 53304 181...... 53220 558...... 53281 258...... 53976 189...... 53220 50 CFR 601...... 53960 193...... 53220 880...... 53294 43 CFR 197...... 53220 216...... 53269 1820...... 53213 199...... 53220 635...... 53949 22 CFR 3500...... 53512 679...... 53630, 53950 514...... 53928 3510...... 53512 46 CFR Proposed Rules: Proposed Rules: 3520...... 53512 Proposed Rules: 17...... 53655 194...... 53632 3530...... 53512 5...... 53970 679...... 53305
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REMINDERS executive agent; Telecommunications Act of The items in this list were COMMENTS DUE NEXT comments due by 10-12- 1996; implementationÐ editorially compiled as an aid WEEK 99; published 8-12-99 Customer proprietary to Federal Register users. Financial institutions on DoD network information and Inclusion or exclusion from installations; comments due other customer AGRICULTURE this list has no legal by 10-12-99; published 8- information; local DEPARTMENT significance. 11-99 competition provisions Animal and Plant Health Privacy Act; implementation and directory Inspection Service Defense Security Service; assistance; comments RULES GOING INTO Animal welfare: comments due by 10-14- due by 10-13-99; EFFECT OCTOBER 5, Nonhuman primates; policy; 99; published 9-14-99 published 9-27-99 1999 comments due by 10-13- DEFENSE DEPARTMENT Telecommunications Act of 99; published 9-7-99 Engineers Corps l996; implementationÐ Competitive networks HEALTH AND HUMAN Poultry improvement: Navigation regulations: promotion in local SERVICES DEPARTMENT National Poultry St. Marys Falls Canal and Soo Locks, MI; telecommunications Food and Drug Improvement Plan and auxiliary provisionsÐ administration and markets; comments due Administration by 10-12-99; published Plan participants and navigation; comments due Animal drugs, feeds, and by 10-15-99; published 8- 9-13-99 related products: participating flocks; new program classifications 31-99 Radio stations; table of New drug applicationsÐ and new or modified ENERGY DEPARTMENT assignments: Pyrantel tartrate; sampling and testing Classified matter or special New Mexico; comments due published 10-5-99 procedures; comments nuclear material; criteria and by 10-12-99; published 8- Color additives: due by 10-12-99; procedures for determining 31-99 FD&C Blue No. 2-Aluminum published 8-10-99 access eligibility; comments Various States; comments due by 10-12-99; Lake on alumina for AGRICULTURE due by 10-15-99; published published 8-31-99 coloring bone cement; DEPARTMENT 8-16-99 FEDERAL HOUSING published 9-3-99 Food and Nutrition Service ENVIRONMENTAL PROTECTION AGENCY FINANCE BOARD Food additives: Child nutrition programs: Adjuvants, production aids, Air programs: Unpublished information Women, infants, and Fuel and fuel additivesÐ availability; comments due and sanitizersÐ children; special California; enforcement by 10-12-99; published 8- 2,4-di-tert-pentyl-6-[1-(3,5- supplemental nutrition exemptions for 13-99 di-tert-pentyl-2- programÐ reformulated gasoline; FEDERAL TRADE hydroxyphenyl)ethyl] Vendor management phenyl acrylate; extension; comments COMMISSION systems; mandatory due by 10-15-99; Trade regulation rules: published 10-5-99 selection criteria, published 9-15-99 Amplifiers utilized in home Protection of human subjects: limitation of vendors, California; enforcement entertainment products; Informed consent for use of training requirements exemptions for power output claims; investigational drugs and high-risk vendors reformulated gasoline; comments due by 10-15- biologics; waiver identification criteria, extension; comments 99; published 9-21-99 procedures for personnel etc.; comments due by due by 10-15-99; GENERAL SERVICES in certain battlefield or 10-14-99; published 9-2- published 9-15-99 combat related situations; 99 ADMINISTRATION Air quality implementation Federal Acquisition Regulation published 10-5-99 COMMERCE DEPARTMENT plans; approval and (FAR): TRANSPORTATION promulgation; various National Oceanic and Information technology; DEPARTMENT States: Atmospheric Administration interagency acquisition by Federal Aviation Fishery conservation and Delaware; comments due by executive agent; Administration management: 10-12-99; published 9-9- comments due by 10-12- Airworthiness directives: Alaska; fisheries of 99 99; published 8-12-99 Illinois; comments due by Aerospatiale; published 8- Exclusive Economic HEALTH AND HUMAN 10-13-99; published 9-13- 31-99 ZoneÐ SERVICES DEPARTMENT 99 Airbus; published 9-20-99 Pollock; comments due by Kentucky; comments due by Food and Drug Bell; published 8-31-99 10-12-99; published 9- Administration 30-99 10-13-99; published 9-13- Boeing; published 8-31-99 99 Food additives: Northeastern United States Israel Aircraft Industries, New Jersey; comments due Secondary direct food fisheriesÐ Ltd.; published 8-31-99 by 10-12-99; published 9- additivesÐ Northeast multispecies 9-99 Acidified sodium chlorite Short Brothers; published 8- and Atlantic sea 31-99 Tennessee; comments due solutions; comments scallop; comments due due by 10-15-99; Airworthiness standards: by 10-13-99; published 9- by 10-12-99; published 13-99 published 9-15-99 Rotorcraft; normal and 9-10-99 Hazardous waste program Human drugs: transport categoryÐ DEFENSE DEPARTMENT authorizations: Current good manufacturing Rotorcraft load Banks, credit unions, and Tennessee; comments due practicesÐ combination safety other financial institutions on by 10-15-99; published 9- Positron emission requirements; published DoD installations; 15-99 tomography drug 8-6-99 procedures; comments due Texas; comments due by products; comments UNITED STATES by 10-12-99; published 8- 10-14-99; published 9-14- due by 10-13-99; INFORMATION AGENCY 11-99 99 published 9-22-99 Exchange visitor program: Federal Acquisition Regulation FEDERAL HOUSING AND URBAN Au pair programs; oversight (FAR): COMMUNICATIONS DEVELOPMENT and general accountability; Information technology; COMMISSION DEPARTMENT published 10-5-99 interagency acquisition by Common carrier services: Public and Indian housing:
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Public Housing Capital Fund Information technology; International Aero Engines session of Congress which Program; formula interagency acquisition by AG; comments due by have become Federal laws. It allocation funding system; executive agent; 10-15-99; published 9-15- may be used in conjunction comments due by 10-14- comments due by 10-12- 99 with ``P L U S'' (Public Laws 99; published 9-14-99 99; published 8-12-99 Learjet; comments due by Update Service) on 202±523± INTERIOR DEPARTMENT NATIONAL ARCHIVES AND 10-14-99; published 8-30- 6641. This list is also available online at http:// Indian Affairs Bureau RECORDS ADMINISTRATION 99 www.nara.gov/fedreg. Land and water: Records management: McDonnell Douglas; comments due by 10-14- Land held in trust for benefit Agency records centers; 99; published 8-30-99 The text of laws is not of Indian Tribes and storage standard update; published in the Federal Raytheon; comments due by individual Indians; title comments due by 10-15- Register but may be ordered 10-12-99; published 9-10- acquisition; comments due 99; published 9-15-99 in ``slip law'' (individual 99 by 10-12-99; published 9- NUCLEAR REGULATORY pamphlet) form from the 14-99 COMMISSION Robinson Helicopter Co.; Superintendent of Documents, comments due by 10-12- INTERIOR DEPARTMENT Byproduct material; domestic U.S. Government Printing 99; published 8-11-99 Land Management Bureau licensing: Office, Washington, DC 20402 Saab; comments due by 10- (phone, 202±512±1808). The Land resource management: Industrial devices containing 13-99; published 9-13-99 text will also be made Rights-of-wayÐ byproduct material, generally licensed; Airworthiness standards: available on the Internet from Principles and procedures, requirements; comments Special conditionsÐ GPO Access at http:// and Mineral Leasing due by 10-12-99; Cessna Aircraft Co. Model www.access.gpo.gov/nara/ Act; comments due by published 7-26-99 525A airplane; index.html. Some laws may 10-13-99; published 6- comments due by 10- not yet be available. 15-99 Special nuclear material; domestic licensing: 13-99; published 9-13- INTERIOR DEPARTMENT 99 H.R. 2605/P.L. 106±60 Critical mass possession; Fish and Wildlife Service public health and New Piper Aircraft, Inc. Energy and Water Endangered and threatened environmental safety Meridian PA-46-400TP Development Appropriations species: measures; comments due airplane; comments due Act, 2000 (Sept. 29, 1999; California bighorn sheep; by 10-13-99; published 7- by 10-13-99; published 113 Stat. 483) Sierra Nevada distinct 30-99 9-13-99 H.J. Res. 34/P.L. 106±61 population segment; Spent nuclear fuel and high- Class E airspace; comments comments due by 10-15- level radioactive waste; due by 10-15-99; published Congratulating and 99; published 9-30-99 independent storage; 8-31-99 commending the Veterans of Golden sedge; comments licensing requirements: TRANSPORTATION Foreign Wars. (Sept. 29, due by 10-15-99; Approved spent fuel storage DEPARTMENT 1999; 113 Stat. 504) published 8-16-99 National Highway Traffic casks; list addition; H.J. Res. 68/P.L. 106±62 Scaleshell mussel; comments due by 10-12- Safety Administration comments due by 10-12- 99; published 7-29-99 Consumer information: Making continuing 99; published 8-13-99 TRANSPORTATION Seat belt positioners; appropriations for the fiscal INTERIOR DEPARTMENT DEPARTMENT comments due by 10-12- year 2000, and for other 99; published 8-13-99 purposes. (Sept. 30, 1999; National Park Service Coast Guard 113 Stat. 505) Concession contracts; Drawbridge operations: TRANSPORTATION DEPARTMENT solicitation, award, and Connecticut; comments due Last List October 1, 1999 administration; comments by 10-12-99; published 8- Research and Special due by 10-15-99; published 13-99 Programs Administration 8-30-99 Pipeline safety: New Jersey; comments due Public Laws Electronic INTERIOR DEPARTMENT Enforcement procedures; by 10-12-99; published 8- Notification Service Surface Mining Reclamation 13-99 comments due by 10-12- 99; published 8-12-99 (PENS) and Enforcement Office TRANSPORTATION Permanent program and DEPARTMENT TREASURY DEPARTMENT abandoned mine land Internal Revenue Service Federal Aviation PENS is a free electronic mail reclamation plan Administration Income taxes: submissions: notification service of newly Airworthiness directives: Trusts with foreign grantors; enacted public laws. To Indiana; comments due by Aerospatiale; comments due definition of term subscribe, go to www.gsa.gov/ 10-15-99; published 9-15- ≥ ≥ by 10-12-99; published 9- grantor ; cross reference archives/publaws-l.html or 99 10-99 and public hearing; send E-mail to comments due by 10-12- Louisiana; comments due by Airbus; comments due by [email protected] with 99; published 8-10-99 10-12-99; published 9-10- 10-12-99; published 9-10- the following text message: 99 99 Procedure and administration: JUSTICE DEPARTMENT Private foundation disclosure SUBSCRIBE PUBLAWS-L Boeing; comments due by Your Name. Privacy Act; implementation; 10-15-99; published 8-31- requirements; comments comments due by 10-12-99; due by 10-12-99; 99 Note: This service is strictly published 9-10-99 published 8-10-99 British Aerospace; for E-mail notification of new NATIONAL AERONAUTICS comments due by 10-15- laws. The text of laws is not AND SPACE 99; published 9-15-99 LIST OF PUBLIC LAWS available through this service. ADMINISTRATION Dornier; comments due by PENS cannot respond to Federal Acquisition Regulation 10-14-99; published 9-14- This is a continuing list of specific inquiries sent to this (FAR): 99 public bills from the current address.
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